Garantire con il BPM la coerenza fra norme di processo e sistema informativo: il caso UBS Italia

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Jemimah Sanders
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1 SOLUZIONI AGILI PER IMPRESE AGILI WorkShop 29 settembre 2011 Garantire con il BPM la coerenza fra norme di processo e sistema informativo: il caso UBS Italia Paolo Poto Key Account Manager

2 Saldare disegno dei processi e software un BPMS è un sistema software generico che guidato dal disegno esplicito dei processi realizza applicazioni di gestione dei processi operativi (M. Weske, et al. 2004) ICT ORGANIZZAZIONE

esplicito dei processi realizza applicazioni di gestione

3 Processo + Form + Integrazione Normativa = Applicazione

2) Rispettare i sistemi esistenti accordando così l esigenza di

5 Processo + Form + Integrazione 1) Saldare il modello del processo con l applicazione software Normativa Applicazione! 2) Rispettare i sistemi esistenti accordando così l esigenza di specializzazione con la trasversalità dell orientamento ai processi 3) Attivare il ciclo del miglioramento controllo efficienza

6 L esperienza UBS Italia (di Osvaldo Bordoni Chief Operating Officer, UBS Italia dal Gartner Business Process Management Summit 2011)

7 Introduction The UBS Group

8 The UBS Group UBS is present in over 50 countries throughout the world with 65,000 employees and offers a variety of services, focused on wealth management, through its 4 main divisions: Wealth Management & Swiss Bank Wealth Management Americas (not shown on the map) UBS Global Asset Management UBS Investment Bank The map shows the distribution of the Wealth Management Divisions Vancouver Calgary Montreal Toronto Città del Messico Città di Panama Nassau Santiago del Cile Buenos Aires Over 100 Wealth Management offices Svizzera Over 70 Wealth Management offices in the world Over 20 Representative offices of UBS SA Birmingham Edinburgo Londra Manchester Newcastle Jersey Bordeaux Lione Marsiglia Nantes Parigi Strasburgo Punta del Este Montevideo Svizzera Amsterdam Lussemburgo Bruxelles Anversa Ghent Barcellona Bilbao Coruna Madrid Siviglia Valencia Saragozza Bad Homburg Berlino Bielefeld Brema Colonia Dortmund Duesseldorf Essen Stoccolma Praga Mosca Varsavia Kiev Budapest Salisburgo Vienna Monte Carlo Pechino Istanbul : Atene Beirut Nagoya Tokio Nicosia Tel Aviv Shanghai Cairo Abu Dhabi Guangzhou Taipei Osaka Dubai Taichung Riyadh Hong Kong Doha Kaohsiung Mumbai Bangkok Kuala Lumpur Singapore Manama Giacarta Bologna Brescia Firenze Milano Modena Padova Roma Torino Treviso Francoforte Amburgo Monaco Norimberga Rosenheim Stoccarda Wiesbaden Johannesburg Melbourne Brisbane Sydney For purely illustrative purposes.

Calgary Montreal Toronto Città del Messico Città di Panama Nassau Santiago del Cile Buenos Aires Over 100 Wealth Management offices Svizzera Over 70 Wealth Management offices in the world Over 20

9 UBS in Italy UBS has recreated its own global platform in Italy offering a full range of services through these three divisions Wealth Management Investment Bank Global Asset Management UBS (Italia) S.p.A. UBS Fiduciaria S.p.A. UBS Italia SIM S.p.A. UBS Corporate Finance Italia S.p.A. UBS Global Asset Management (Italia) S.p.A. UBS Alternative Investment (Italia) Sgr UBS Global Asset Management (Italia) Sgr UBS (Italia) S.p.A. was established in 1996 and is an Italian bank, fully owned by UBS AG. Our main activity is Wealth Management and we now have 9 branches in Italy Torino Milan o Trevis Bresci o a Padov Modena a Bologna Firenze Roma

p.A. UBS Alternative Investment (Italia) Sgr UBS Global Asset Management (Italia) Sgr UBS (Italia) S.p.A. was established in 1996 and is an Italian bank, fully owned by UBS AG.

10 From Review to Reality The Project

11 Executive Summary Existing Situation The Account Opening process took 13 days to complete Objective Reduce timeframe for account opening and set up optical archiving, Action Develop an application based on BPMS Results A 55% reduction in the account opening timeframe A huge reduction in error rate Optical Archiving in place Immediate and long term savings

Develop an application based on BPMS Results A 55% reduction in the account opening

Account opening time-frame as it was From contract signing to delivery of acceptance document to customer 12,8 days From receipt of contract by Operations to archiving of documents 8,5 days From

13 Account opening time-frame as it was From contract signing to delivery of acceptance document to customer 12,8 days From receipt of contract by Operations to archiving of documents 8,5 days From delivery of contract document to Operations to account activation 1,8 days Client 12,8 days Front office Operations 8,5 days 6,8 days 6 days 1,8 days Client sign off Documentation received by Ops Account opened Acceptance sent to client Documentation archived Area of Analysis

Operations to account activation 1,8 days Client 12,8 days Front office Operations 8,5 days 6,8 days 6 days 1,8 days

14 Overview of error rate High number of data and document inconsistencies identified (about 90% of documents received by Operations are not correct), which cause process loops Contract mistakes recorded by Operations Contracts with data entry mistakes 56% (143) Contracts with data entry mistakes and document mistakes 35% (88) 9% (22) Contract without mistakes

Contract mistakes recorded by Operations Contracts with data entry mistakes 56% (143)

KPI Target values account opening Key Performace Indicator Current Value (Average value) % Reduction Target Value Account Opening Time - Client Advisor (CA) Perspective 1.

15 KPI Target values account opening Key Performace Indicator Current Value (Average value) % Reduction Target Value Account Opening Time - Client Advisor (CA) Perspective 1.8 days - 44% 1 day Account Opening Time Time to Acceptance 6.8 days - 41% 4 days Account Opening Time - Client Perspective 12.8 days - 22% 10 days Account Opening - Average number of deficiencies per contract sent to Ops 17-53% 8 Account Opening - Time needed to correct mistakes 9 days - 40% 5.4 days Account Opening - Mistakes not detected by Operations Account Opening - Time spent per contract Below Satisfactory Above Satisfactory 6.5 hours - 75% 1.6 hours

8 days - 22% 10 days Account Opening - Average number of deficiencies per contract sent to Ops 17-53% 8 Account Opening - Time needed to correct mistakes 9

Account opening New structure The new structure features the following macro-functionalities supporting the new processes Data consistency control Data checked during entry and creates system static

16 Account opening New structure The new structure features the following macro-functionalities supporting the new processes Data consistency control Data checked during entry and creates system static data Document printing/layout Composition Standard template filled with previously entered client data Workflow and Business Process Monitoring Status monitored and authorisation process activated by specific triggers Support document completion Electronic Check to check the status of the documents Support to data & document content consistency control Electronic reports check data entered and document produced CRM Tool Core Banking System Optical Storage Tool

Process Monitoring Status monitored and authorisation process activated by specific triggers Support document completion Electronic Check to check the status of the

Validation Tool What is the Validation Tool and how does it work? It is a software layer that works between the CRM Tool and the Core Banking System.

17 Validation Tool What is the Validation Tool and how does it work? It is a software layer that works between the CRM Tool and the Core Banking System. Eliminates the Core System for static data entry Electronic checklists to ensure accuracy and completeness Automated workflows to synchronize the authorization request process. Front office enter data in CRM tool and Ops users and Front office support use the Validation Tool to manage static data. CRM Tool Core Banking System Optical Storage Tool

Eliminates the Core System for static data entry Electronic checklists to ensure accuracy and completeness Automated

18 New Account Opening process The solution manages all the tasks related to customer account in a process oriented way, delivering the correct information to the correct user at the correct time asking to them perform the required operation, all using a single tool The workflow guides the following processes: New Account opening, Due Diligence and Portfolio Management Note: the flow shown is only a simplified example of the real process

perform the required operation, all using a single tool The workflow guides the following processes: New

19 New Account Opening All the customer data are requested, checked and managed

20 New Account Opening All the customer data are requested, checked and managed The solution shows all the ongoing business processes for a given customer

New Account Opening All the customer data are requested, checked and managed The solution shows all the ongoing business processes for a given customer All the

21 New Account Opening All the customer data are requested, checked and managed The solution shows all the ongoing business processes for a given customer All the necessary documents are automatically generated, and prefilled with online data. All the documents are then merged into a single, transferable, easy to manage PDF.

22 New Account Opening All the customer data are requested, checked and managed The solution shows all the ongoing business processes for a given customer All the necessary documents are automatically generated, and prefilled with online data. All the documents are then merged into a single, transferable, easy to manage PDF. A tracking pane shows the status of all the tasks performed on the Account and who is responsible for the next action

23 Due Diligence The due diligence process collects and manages all the data and documents related to a customer trustworthiness

24 Due Diligence The due diligence process collects and manages all the data and documents related to a customer trustworthiness Management of internally collected information

25 Due Diligence The due diligence process collects and manages all the data and documents related to a customer trustworthiness Management of internally collected information Management of information collected from third party data banks

26 Portfolio management The new account is about to be created. The account type is entered and all the customer's records are linked to the account.

27 Portfolio management The new account is about to be created. The account type is entered and all the customer's records are linked to the account. Economic conditions are also managed.

Portfolio management The new account is about to be created. The account type is entered and all the customer's records are linked to the account.

28 Portfolio management The new account is about to be created. The account type is entered and all the customer's records are linked to the account. Economic conditions are also managed. Review Check-List. An automatically generated Check List guides the operator to make all the relevant checks.

electronic archiving of documentation Automatic indexing links documentation to

29 Optical Archiving project Process Issues Isolated manual processes Paper documentation Solutions provided by new processes Automated scanning and electronic archiving of documentation Automatic indexing links documentation to the account number using barcode 1. Scanning 2. Indexing 3. Interfacing Optical Storage Tool 10

Optical Archiving Barcode recognition A barcode integrated in a document provides different benefits, such as: Automatic contract recognition (by document ID) Automatic version of contract

30 Optical Archiving Barcode recognition A barcode integrated in a document provides different benefits, such as: Automatic contract recognition (by document ID) Automatic version of contract recognition (by document version ID) Automatic recognition of document (by progressive ID) The following is an example of a barcode: : UBS Italy 2 digit ID Code 12 : Doc type 2 digit ID Code 01 : Doc version 2 digit ID Code : Progressive 7 digit ID Code UCC12 8 CODE1 28

31 Overall immediate Costs & Savings Expected Overall Mandate Growth

32 Grazie! Paolo Poto Key Account Manager marketing [at] docflow.it DocFlow Italia Spa Centro Direzionale Milanofiori Strada 4 Palazzo Q Rozzano MI Tel Fax marketing@docflow.it

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