The following details the standard LAKE methodology for a typical upgrade of SunSystems, SAP Business One, Proactis or Infor EPM.

There are 10 stages in an upgrade project:

1. Project Initiation
2. Software Installation and Technical Environment
3. Project Team Orientation
4. Agreement of Design Changes
5. Data Migration and Reconfiguration
6. End User Training
7. End User Acceptance Testing
8. Migration and Preparation for Live Running
9. Live Running
10. Post Implementation Review

Stage 1 – Project Initiation

1.1 Purpose

The purpose of the Project Initiation Stage is to confirm the project requirements, scope, timescales and participants, and agree the framework reflecting the respective LAKE and the Client roles and responsibilities. This will involve setting realistic expectations to ensure the success of the implementation and will lay the foundation for everything that follows. This critical stage includes activities to:

• Identify and agree the overall scope and objectives
• Assess and communicate significant project risks
• Assign responsibilities and clearly define the share of work between LAKE and the Client
• Identify and agree project management and quality control procedures including project reporting mechanisms and frequency
• Approve the implementation approach, plan, deliverables and budget

1.2 Scope

The duration of this Stage will be kept as short as possible by containing the discussions to a morning meeting, followed by off-line resource scheduling and documentation.

1.3 Deliverables

• Upgrade Planning meeting
• Project Initiation Document (PID) – This MUST be signed off by both parties before further work is carried out. Where dense scheduling of days makes this impractical the document must be signed off at the latest within 7 days of submission

Stage 2 – Software Installation and Technical Environment

2.1 Purpose

This stage is focused on installing the new version of the applications in scope on the Client’s infrastructure and the publication of these applications to the chosen users.

It will also provide the Client’s IT team with an overview of the patching and other maintenance/roll-out activities required, supported by documentation that they have tailored and tested within their own technical environment.

2.2 Scope

Outside these installation activities there will be no further technical training for the Client’s IT team. Please ask for an estimate of costs if you would like to organise some additional training time.

2.3 Assumptions

• Relevant hardware and software licences are procured and/or redeployed in line with our recommendations in time for the installation activities
• LAKE has been paid in full for all software licences and related maintenance before the date of installation
• All technical prerequisites for the applications are met
• The Client’s IT Representative or an appropriate deputy is available on the days of our work and LAKE are given timely and appropriate administrator access to the relevant machines
• If any reboots or downtime is required on any servers, this will be facilitated without delay

2.4 Deliverables

The deliverables from this Stage will be as follows:

• A working installation of the relevant applications on the new production environment
• A Client Installation process and documentation that has been tested and adapted by the Client’s IT team in the context of the Client’s network and security environment
• A patch set application process and documentation that has been tested and adapted by the Client’s IT team in the context of the Client’s network and security environment
• An internal IT team that has learned from the Installation procedure and is equipped to roll out further clients and support the Client’s Finance Team in the future, including management of the ongoing task of applying patches

2.5 Notes on Workshare

The following notes are relevant to this Stage:

• LAKE will lead in the installation of the new Applications to the Client’s servers including relevant patch set application tools
• Where relevant, LAKE will work with the Client’s IT team to apply Application patch sets to the server as required on the date(s) of installation
• Work to roll-out the applications and patch sets to clients will be taken over by the Client’s IT team after one example together
• The Client’s IT team will take our standard issue installation documentation and tailor it to recognise Client-specific environmental considerations such as server names, paths, security, etc. This documentation will then be tested as the roll-out continues

Stage 3 – Project Team Orientation

3.1 Purpose

This Stage gives decision makers and key users of the software an overview of the changes in the new system. This allows them to assess the impact on their users and processes and prepares them for participation in the subsequent Design stage.

3.2 Scope

In the Orientation session, the LAKE consultant will walk the attendees through the new application(s). Attendees will participate fully in the discussions. This Stage is not intended to be a detailed or hands-on training course.

3.3 Assumptions

The Client will provide a suitable room and other facilities including a VGA projector or large screen. All key project team members will attend for the whole of the session.

3.4 Deliverables

Project Team Orientation session.

3.5 Notes on Workshare

LAKE consultants are present as product experts to explain how the applications work and highlight key differences being introduced as part of the upgrade. The Client’s Project Manager will ensure that relevant people attend, and will actively encourage people to participate in discussions during the day.

Stage 4 – Agreement of Design Changes

4.1 Purpose

This stage involves making decisions as to how each of the application areas is to be reconfigured to meet the Client’s requirements. During this stage there will be workshops, one to one discussions, and a small amount of system setup.

4.2 Scope

The range of our discussions during this stage will not extend beyond the scope of the project.

We will operate within the schedule of agreed workshops and interviews, and will not go further out into the business to poll further opinions and views. The Client will do this where required.

4.3 Assumptions

• All decisions are made in a timely manner to enable completion in the required timescale
• A definitive analysis of business and reporting requirements is provided by the Client on demand
• The Client’s Project Manager will update the Project Plan after this stage, if necessary

4.4 Deliverables

• System Design workshops

4.5 Notes on Workshare

The Client’s Project Manager will ensure that appropriate time and energy is committed to prepare for these sessions to bring along a clear analysis of business and reporting requirements.

During workshops the LAKE consultants will use their experience to guide the participants as to what works well, and what does not. Ultimately, though, the success of these sessions will be determined by the commitment and participation of the Client team.

Stage 5 – Data Migration and Reconfiguration

5.1 Purpose

During this stage, LAKE and the Client will work together to upgrade the data from existing software versions and, if appropriate, to reconfigure the applications as agreed in Stage 4.

The Project Team will carry out tests to ensure the integrity of the data migration and test any reconfigured areas, and make any final changes. The system is then agreed as the basis for End User Testing and Training.

If required, the Project Team will compile the End User Training and End User Acceptance Test Plans.

5.2 Scope

The scope of data and setup to be migrated, and any re-design of the system is limited as discussed in the Scope section of the relevant Project Initiation Document.

5.3 Assumptions

• The Client will provide appropriate test data to test the system (this testing does not constitute user acceptance testing)
• The Client’s staff will run reports and otherwise ensure the integrity of the data migration
• The Client’s staff will resource reconfiguration processes as required by LAKE consultants
• Changes in design will not be allowed without express agreement of the Project Sponsor and Customer Success Manager. Where there is pressure for change, each change will only be included after consideration of its impact on project costs, timescales, and other resource implications

5.4 Deliverables

At the end of this process the system will be available for user acceptance testing and end user training. The deliverables from this stage may include:

• End User Acceptance Test Plan
• End User Training Plan, accompanied if required by Training and/or other End User Documentation
• A system with data migrated that operates in accordance with the agreed and documented scope, and is ready for testing and training
• A log of configuration changes will be maintained (the “Configuration Log”). This will form a checklist to allow the system to be reconfigured rapidly following Live Data Migration in line with the system that has been subjected to User Acceptance Testing

5.5 Notes on Workshare

The LAKE consultants will carry out the following activities without necessarily involving the Client:

• Migration of data from old versions of the software to new versions
• Migration of Reports and Business Documents to the new system as specified in the Schedule to this PID
• Migration/reconfiguration of integration links to other systems as specified in the Schedule to this PID

The remainder of migration and reconfiguration activities will be the responsibility of the Client, with advice, guidance and hands-on assistance from LAKE in so far as budgeted time is available.

In particular, the following activities will expressly be carried out by the Client with assistance from LAKE as time permits:

• Document the System Test plan, if required
• Reconcile new system to old, to ensure integrity of the data migration
• Execute System Tests, as desired, to ensure the system operates as intended
• Produce the End User Acceptance Test Plan
• Produce the End User Training Plan, if one is required
• Produce End User Training or Operating Manuals as required
• Such other migration and reconfiguration work as directed by the LAKE team.

Stage 6 – End User Training

6.1 Purpose

The purpose of this stage is to train users on the new system, its scope and functionality.

6.2 Scope

This stage deals only with the training of end users and not the IT team. That element of training is discussed in the Software Installation section 1.2 above.

6.3 Assumptions

• The Client will provide all facilities required for training as desired
• A Training Plan has been prepared if required
• Any documentation required for the Training has been produced in advance

6.4 Deliverables

• End User Training
• Assessment of additional training needs if appropriate

6.5 Notes on Workshare

• LAKE will assist with planning of Training as permitted by the budget
• LAKE will assist with hands-on training of those End Users chosen for User Acceptance Testing insofar as budget permits
• Client staff will then resource any further training required on an ongoing basis according to job role and specific training needs

Stage 7 – End User Acceptance Testing

7.1 Purpose

The purpose of this activity is to ensure the delivered system is fully tested and signed off to the Client’s satisfaction. The testing will measure product functionality, user procedures and system performance against the Client’s expectations set in key objectives in Project Initiation and Planning and further analysed in the End User Acceptance Test Plan.

It is important to ensure that the system is capable of performing in the Client’s environment. On a functional level, user acceptance testing should be a verification process to ensure the delivered system correctly addresses the Client’s business and operational requirements according to the scope agreed.

This will ensure the new system works as expected in a simulation of the live environment, and give the users an opportunity to test their own skills and the resilience of the system in a near-live scenario. The Client will operate the system on a pre-agreed set of data making sure that the system responds in a way that enables the Client to complete their normal functions.

LAKE will provide input to this stage subject to the agreed budget in order to assist with planning the test schedule and to provide ad-hoc troubleshooting as client staff work through the test programme.

7.2 Scope

During this Stage, change control will be rigorously applied to ensure the system does not creep outside its original scope, and avoid changes which could have an unexpected knock-on effect in other areas of the application. If additional desirable functionality is identified, then LAKE and the Client’s Project Manager will collate the information and include it for further review.

7.3 Assumptions

• The End User Acceptance Test Plan has been compiled and agreed in advance
• Any User Procedures Manuals and/or other items of documentation have been written and are available for testing alongside the system
• A test pack of appropriate data and business scenarios has been compiled in advance

7.4 Deliverables

• Completed Test Results
• Users who have tested the system and learned through the process
• List of snags and issues for re-work and/or resolution
• List of requests for additional desirable functionality for consideration immediately or at Post Implementation Review
• Updated Configuration Log ready for the Live Cutover

7.5 Notes on Workshare

• The Client will undertake test execution and record all test results for review
• LAKE will attend site to pick up any issues encountered and provide advice on re-work and resolution
• LAKE will provide such assistance within the agreed budget for this Stage or as provided for in additional PO’s if appropriate

Stage 8 – Migration and Preparation for Live Running

8.1 Purpose

The purpose of this stage is to ensure all data is migrated from the old system to the new and that any agreed configuration changes are re-applied to give an opening position that is ready for live running.

The Client’s IT team will coordinate resource in parallel with these activities to roll out access to all new applications to End Users as required.

At the end of this Stage, LAKE and the Client will sign a Go-Live Authorisation Document to evidence their authorisation of live running and commitment to manage the Go-Live period in accordance with the plan.

8.2 Scope

The scope of the Live Cutover will be:

• Data Migration will be repeated as set out in 1.2 above, and as further set out in the Schedule
• Configuration changes will be re-applied from the Configuration Log
• The system will be deployed out to all users as required

8.3 Assumptions

• The system has passed End User Acceptance Testing and there is a workaround or mitigation and longer term resolution plan for any open issues

8.4 Deliverables

• System and data ready for live running
• Reconciliation between new and old systems
• A Cutover Plan to explain how the systems will be put Live
• A Go-Live Authorisation Document – This MUST be signed off before the cutover can be executed

8.5 Notes on Workshare

• LAKE will produce the Go-Live Authorisation Document for sign-off and initial Cutover Plan for review
• LAKE will repeat the data migration as described in Section 1.2, reconfigure the system in line with the Configuration Log and direct the Client team to assist in this work as required
• The Client’s staff will check and reconcile all balances and data items back to source records
• The Client’s IT staff will roll out access to the system to all users as required and disable End User access to the old system
• Both parties will sign the Go-Live Authorisation Document.

Stage 9 – Live Running

9.1 Purpose

The purpose of the Live Running Stage is to provide a stress-free Go-Live experience based on a reconciled start position, and on a fully tested system. There will be an agreed escalation framework should issues arise.

During Live Running the system will be monitored carefully and any issues or suggestions for change or improvement will be logged. These logged items will be escalated to LAKE using the agreed priorities and channels.

It is important that responsibility is assigned within the Client’s project team for the monitoring, collation and documentation of all live running issues and the escalation of these through to LAKE in a controlled way as set out in the Go-Live Authorisation Document.

9.2 Scope

The most likely area for problems to occur during live operation is incorrect/unsure operation of the system in the early days by the end users. Where issues do arise that were not picked up during Acceptance Testing, these will be escalated as agreed in the Go-Live Authorisation Document.

9.3 Assumptions

• A Go-Live Authorisation Document has been agreed and signed off before Live Running is authorised, and includes a process for logging and escalating issues and/or change requests
• There will be no changes of the project team immediately before or during Go-Live
• All Training and Testing has been carried out and signed off.

9.4 Deliverables

• Go-Live Authorisation Document – This MUST be signed off before the cutover can be executed
• Live Running Issues Log and (if required) Change Request Forms for any significant changes
• Live Running Assistance from LAKE as per the resource budget

9.5 Notes on Workshare

• The Client will manage the expectations and reactions of users during the Go-Live period according to the Go-Live Authorisation Document
• The Client will record and log all issues and change requests in the manner agreed in the Go-Live Authorisation Document
• Input from LAKE to this stage is limited as agreed in the budget, or as provided under separate PO’s

Stage 10 – Post Implementation Review

10.1 Purpose

The Post Implementation Review provides a forum for the Project Team to assess all logged issues and change requests captured during the first few weeks of live use of the new system, to review the project’s objectives, and to sign off its successful delivery.

A block of additional work may be agreed at this stage to re-work or resolve any issues that have arisen, or to implement any accepted change requests.

10.2 Scope

The Review will involve a meeting with the Project Team and formal Project sign-off. The LAKE Lead Customer Success Manager will attend.

10.3 Assumptions

• All Live Running issues and change requests have been captured for evaluation
• At least two month-ends have gone by since the system went live

10.4 Deliverables

• Post Implementation Review meeting
• Post Implementation Review Document incorporating Project Sign-off
• Additional work plan (if appropriate)

10.5 Notes on Workshare

• The Client will ensure all issues and change requests have been logged, and that the log is available for review at the meeting
• The Client will provide the facilities and the Client’s Project Manager will ensure that the Project Team attends the meeting