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Рисунок 1. Процессы верхнего уровня модели APQC Insurance
Перечень процессов модели APQC Insurance приведен ниже.
1. Develop Vision and Strategy
1.1. Define the business concept and long-term vision
1.1.1. Assess the external environment
1.1.1.1. Analyze and evaluate competition
1.1.1.2. Identify economic trends
1.1.1.3. Identify political and regulatory issues
1.1.1.4. Assess new technology innovations
1.1.1.5. Analyze demographics
1.1.1.6. Identify social and cultural changes
1.1.1.7. Identify ecological concerns
1.1.2. Survey market and determine customer needs and wants
1.1.2.1. Conduct qualitative/quantitative assessments
1.1.2.2. Capture and assess customer needs
1.1.3. Perform internal analysis
1.1.3.1. Analyze organizational characteristics
1.1.3.2. Create baselines for current processes
1.1.3.3. Analyze systems and technology
1.1.3.4. Analyze financial positions
1.1.3.5. Identify enterprise core competencies
1.1.4. Establish strategic vision
1.1.4.1. Align stakeholders around strategic vision
1.1.4.2. Communicate strategic vision to stakeholders
1.1.5. Conduct organization restructuring opportunities
1.1.5.1. Identify restructuring opportunities
1.1.5.2. Perform due-diligence
1.1.5.3. Analyze deal options
1.1.5.3.1. Evaluate acquisition options
1.1.5.3.2. Evaluate merger options
1.1.5.3.3. Evaluate de-merger options
1.1.5.3.4. Evaluate divesture options
1.2. Develop business strategy
1.2.1. Develop overall mission statement
1.2.1.1. Define current business
1.2.1.2. Formulate mission
1.2.1.3. Communicate mission
1.2.2. Evaluate strategic options to achieve the objectives
1.2.2.1. Define strategic options
1.2.2.2. Assess and analyze impact of each option
1.2.2.3. Develop sustainability strategy
1.2.2.4. Develop global support and shared services strategy
1.2.2.5. Develop lean/continuous improvement strategy
1.2.3. Select long-term business strategy
1.2.4. Coordinate and align functional and process strategies
1.2.5. Create organizational design
1.2.5.1. Evaluate breadth and depth of organizational structure
1.2.5.2. Perform job-specific roles mapping and value-added analyses
1.2.5.3. Develop role activity diagrams to assess hand-off activity
1.2.5.4. Perform organization redesign workshops
1.2.5.5. Design the relationships between organizational units
1.2.5.6. Develop role analysis and activity diagrams for key processes
1.2.5.7. Assess organizational implication of feasible alternatives
1.2.5.8. Migrate to new organization
1.2.6. Develop and set organizational goals
1.2.7. Formulate business unit strategies
1.3. Define distribution channel strategy
1.3.1. Determine distribution channels
1.3.2. Determine distribution channel fit with products and services
1.4. Manage strategic initiatives
1.4.1. Develop strategic initiatives
1.4.2. Evaluate strategic initiatives
1.4.3. Select strategic initiatives
1.4.4. Establish high-level measures
2. Develop and Manage Products and Services
2.1. Manage product and service portfolio
2.1.1. Perform customer and market intelligence analysis
2.1.1.1. Conduct customer and market research
2.1.1.2. Identify market segments
2.1.1.3. Analyze market and industry trends
2.1.1.4. Analyze competing organizations, competitive/substitute products
2.1.1.5. Evaluate existing products/brands
2.1.1.6. Assess internal and external business environment
2.1.2. Evaluate performance of existing products/services against customer needs and market opportunities
2.1.3. Define product/service development requirements
2.1.3.1. Identify potential improvements to existing products and services
2.1.3.2. Identify potential new products and services
2.1.3.3. Identify product and service bundling opportunities
2.1.4. Perform discovery research
2.1.4.1. Identify new technologies
2.1.4.2. Develop new technologies
2.1.4.3. Assess feasibility of integrating new leading technologies into product/service concepts
2.1.5. Confirm alignment of product/service concepts with business strategy
2.1.5.1. Plan and develop cost and quality targets
2.1.5.2. Prioritize and select new product/service concepts
2.1.5.3. Specify development timing targets
2.1.5.4. Plan for product/service offering modifications
2.1.6. Manage product and service life cycle
2.1.6.1. Introduce new products/services
2.1.6.2. Retire outdated products/services
2.1.6.3. Identify and refine performance indicators
2.1.7. Manage product and service master data
2.2. Develop products and services
2.2.1. Design, build, and evaluate products and services
2.2.1.1. Research customer and market needs
2.2.1.2. Assign resources to product/service projects
2.2.1.3. Prepare high-level business cases and technical assessments
2.2.1.4. Develop product/service design specifications
2.2.1.4.1. Define insurance benefit obligations
2.2.1.4.2. Specify reinsurance requirements for products/ services
2.2.1.4.3. Specify investment requirements for products/services
2.2.1.4.4. Design product/service support requirements
2.2.1.4.5. Design customer experience workflows
2.2.1.4.6. Build product/service rules
2.2.1.5. Document design specifications
2.2.1.6. Conduct mandatory and elective internal or external compliance reviews (legal, regulatory, standards)
2.2.1.7. Address quality and reliability problems
2.2.1.8. Determine performance indicators
2.2.1.9. Collaborate design with suppliers and service providers
2.2.1.10. Determine product/service capacity requirements
2.2.1.11. Maintain product/service design documentation
2.2.1.12. Identify requirements for changes to product/service delivery processes
2.2.2. Test market for new or revised products and services
2.2.2.1. Conduct customer tests and interviews
2.2.2.2. Conduct in-house product/service testing and evaluate feasibility
2.2.2.3. Evaluate product/service feasibility using testing feedback
2.2.2.4. Finalize product/service characteristics and business cases
2.2.2.5. Finalize technical requirements
2.2.3. Prepare for product or service launch
2.2.3.1. Develop and test product systems and/or service delivery processes
2.2.3.2. Design and obtain product/service delivery infrastructure
2.2.3.3. Develop product/service documentation
2.2.3.4. Implement product/service launch procedures
2.2.3.5. Introduce new product and/or service as a commercial offering
3. Market and Sell Products and Services
3.1. Understand markets, customers and capabilities
3.1.1. Evaluate and prioritize market opportunities
3.1.1.1. Quantify market opportunities
3.1.1.2. Determine target segments
3.1.1.3. Prioritize opportunities consistent with capabilities and overall business strategy
3.1.1.4. Validate opportunities
3.2. Develop marketing strategy
3.2.1. Define offering and customer value proposition
3.2.1.1. Define offering and positioning
3.2.1.2. Develop value proposition including brand positioning for target segments
3.2.1.3. Validate value proposition and shape offering to optimize target segments
3.2.1.4. Develop new branding
3.2.2. Define pricing strategy to align to value proposition
3.2.2.1. Establish guidelines for applying pricing of products/services
3.2.2.2. Approve pricing strategies/policies
3.2.3. Define and manage channel strategy
3.2.3.1. Evaluate channel attributes and partners
3.2.3.2. Determine channel fit with target segments
3.2.3.3. Determine channel fit with products
3.2.3.4. Select channels for target segments/products
3.2.3.5. Manage channel integration
3.2.3.6. Manage channel performance
3.2.4. Define communication strategy
3.2.4.1. Define communication guidelines and mechanisms
3.2.4.2. Determine communication/channel fit with target segments
3.3. Develop sales strategy
3.3.1. Develop sales forecast
3.3.1.1. Gather current and historic order information
3.3.1.2. Analyze sales trends and patterns
3.3.1.3. Generate sales forecast
3.3.1.4. Analyze historical and planned promotions and events
3.3.2. Develop sales partner/alliance relationships
3.3.2.1. Identify alliance opportunities
3.3.2.2. Design alliance programs and methods for selecting and managing relationships
3.3.2.3. Select alliances
3.3.2.4. Develop partner and alliance management strategies
3.3.2.5. Establish partner and alliance management goals
3.3.2.6. Establish partner and alliance agreements
3.3.2.7. Define compensation structure
3.3.3. Establish overall sales budgets
3.3.3.1. Calculate product revenue
3.3.3.2. Determine variable costs
3.3.3.3. Determine overhead and fixed costs
3.3.3.4. Calculate net profit
3.3.3.5. Create budget
3.3.4. Establish sales goals and measures
3.3.5. Establish customer management measures
3.4. Develop and manage marketing plans
3.4.1. Establish goals, objectives, and metrics for products by channels/segments
3.4.2. Establish marketing budgets
3.4.2.1. Confirm marketing alignment to business strategy
3.4.2.2. Determine costs of marketing
3.4.2.3. Create marketing budget
3.4.3. Develop and manage media
3.4.3.1. Define media objectives
3.4.3.2. Develop marketing messages
3.4.3.3. Define target audience
3.4.3.4. Engage media provider
3.4.3.5. Develop and execute advertising
3.4.3.6. Develop and execute other marketing campaigns/programs
3.4.3.7. Assess brand/product marketing plan performance
3.4.4. Develop and manage placement and campaign management
3.4.4.1. Develop marketing material
3.4.4.2. Develop market offering campaign
3.4.4.3. Prepare for marketing campaign launch
3.4.4.4. Execute the marketing campaign
3.4.5. Develop and manage premiums
3.4.5.1. Determine premiums
3.4.5.2. Determine allowable individual discounts
3.4.5.3. Execute premium plan
3.4.5.4. Evaluate premium performance
3.4.5.5. Refinepremiums as needed
3.4.6. Develop and manage promotional activities
3.4.6.1. Define promotional concepts
3.4.6.2. Plan and test promotional activities
3.4.6.3. Execute promotional activities
3.4.6.4. Evaluate promotional performance metrics
3.4.6.5. Refine promotional performance metrics
3.4.6.6. Incorporate learning into future/planned consumer promotions
3.4.7. Track customer management measures
3.4.7.1. Determine customer loyalty/lifetime value
3.4.7.2. Analyze customer revenue trend
3.4.7.3. Analyze customer metrics
3.4.7.4. Revise customer strategies, objectives, and plans based on metrics
3.5. Develop and manage sales plans
3.5.1. Generate leads
3.5.1.1. Identify potential customers
3.5.1.2. Identify leads
3.5.2. Manage customers and accounts
3.5.2.1. Identify priority customers
3.5.2.2. Develop sales/key account plan
3.5.2.3. Manage customer relationships
3.5.2.4. Manage customer master data
3.5.2.5. Administer premium payment profile
3.5.2.5.1. Set payment allocation
3.5.2.5.2. Manage responsible party
3.5.2.5.3. Assign billing attributes
3.5.2.5.4. Manage billing preferences
3.5.3. Manage customer sales
3.5.3.1. Perform sales calls
3.5.3.2. Perform pre-sales activities
3.5.3.3. Close the sale
3.5.3.4. Record outcome of sales process
3.5.4. Generate quotes
3.5.4.1. Rate quotes
3.5.4.2. Provide quotes
3.5.4.3. Adjust quotes
3.5.4.4. Convert quotes to policies
3.5.5. Manage sales applications
3.5.5.1. Accept and validate applications
3.5.5.2. Collect and maintain customer account information
3.5.5.3. Gather required customer data and documents
3.5.5.4. Collate customer data for regulatory control requirements
3.5.5.5. Determine fulfillment process
3.5.5.6. Enter applications into system
3.5.5.7. Identify/perform cross-sell/up-sell activity
3.5.5.8. Track/manage existing product applications
3.5.5.9. Handle inquiries on pending applications
3.5.6. Manage sales force
3.5.6.1. Determine sales resource allocation
3.5.6.2. Establish sales force incentive plan
3.5.6.3. Provide sales and product training
3.5.6.4. Establish sales force support process
3.5.7. Manage sales partners and alliances
3.5.7.1. Provide sales and product training to sales partners/alliances
3.5.7.2. Provide marketing materials to sales partners/alliances
3.5.7.3. Develop sales forecast by partner/alliance
3.5.7.4. Agree on partner and alliance compensation
3.5.7.5. Establish sales partner and alliances support process
3.5.7.6. Evaluate partner/alliance results
3.5.7.7. Optimize sales channels
3.5.7.8. Manage sales partner and alliance master data
3.5.8. Manage sales procedures
3.5.8.1. Establish sales compliance standards based on internal and external regulations
3.5.8.2. Monitor compliance standards for sales procedures/guidelines to comply with standards
3.5.8.3. Perform sales quality audit to check sales practices
4. Deliver Products and Services
4.1. Plan for and acquire necessary resources
4.1.1. Develop capacity and availability management strategies
4.1.1.1. Define outsourcing policies
4.1.1.2. Define capacities
4.1.1.3. Define capacity and availability constraints
4.1.2. Manage demand for products and services
4.1.2.1. Manage product/service availability
4.1.2.2. Monitor demand against forecast and revise forecast
4.1.2.3. Evaluate and revise forecasting approach
4.1.2.4. Measure forecast accuracy
4.1.2.5. Prepare and review operations plan
4.2. Procure materials and services
4.2.1. Develop sourcing strategies
4.2.1.1. Develop procurement plan
4.2.1.2. Clarify purchasing requirements
4.2.1.3. Develop inventory strategy
4.2.1.4. Represent needs to supply capabilities
4.2.1.5. Analyze spend profile
4.2.1.6. Seek opportunities to improve efficiency and value
4.2.1.7. Collaborate with suppliers to identify sourcing opportunities
4.2.1.8. Establish sourcing relationships
4.2.2. Select suppliers and develop/maintain contracts
4.2.2.1. Select suppliers
4.2.2.2. Certify and validate suppliers
4.2.2.3. Negotiate and establish contracts
4.2.2.4. Manage contracts
4.2.3. Order materials and services
4.2.3.1. Process/Review requisitions
4.2.3.2. Approve requisitions
4.2.3.3. Solicit/Track vendor quotes
4.2.3.4. Create/Distribute purchase orders
4.2.3.5. Expedite orders and satisfy inquiries
4.2.3.6. Record receipt of goods
4.2.3.7. Research/Resolve exceptions
4.2.4. Manage suppliers
4.2.4.1. Monitor/Manage supplier information
4.2.4.2. Prepare/Analyze procurement and vendor performance
4.2.4.3. Support inventory and production processes
4.2.4.4. Manage quality of product/service delivered
4.3. Deliver insurance services to customers
4.3.1. Manage and administer policies
4.3.1.1. Manage receipt and route of transactions
4.3.1.1.1. Process web-based transactions
4.3.1.1.2. Process electronic data interchange (EDI) transactions
4.3.1.1.3. Process paper transactions (mail room)
4.3.1.2. Underwrite New Business
4.3.1.2.1. Review policyholder portfolios
4.3.1.2.2. Initiate underwriting and gather required data
4.3.1.2.3. Evaluate required data
4.3.1.2.4. Request missing information
4.3.1.2.5. Rate new policies
4.3.1.2.6. Issue premium
4.3.1.2.7. Evaluate reinsurance requirements
4.3.1.2.8. Authorise new policy
4.3.1.2.9. Inform customers
4.3.1.3. Process endorsements
4.3.1.3.1. Receive endorsement requests
4.3.1.3.2. Verify policyholder/policy information
4.3.1.3.3. Evaluate impact of endorsements on policy premiums
4.3.1.3.4. Generate quotes for endorsements
4.3.1.3.5. Receive customer acceptances
4.3.1.3.6. Issue additional premium notices
4.3.1.3.7. Authorise endorsements
4.3.1.3.8. Inform customers of endorsements
4.3.1.4. Cancel policies
4.3.1.4.1. Receive policy cancellation requests
4.3.1.4.2. Authenticate customer cancellation instructions
4.3.1.4.3. Evaluate impact of cancellation on policy premiums
4.3.1.4.4. Calculate premium refunds/collections due
4.3.1.4.5. Issue premium notifications
4.3.1.4.6. Approve cancellation endorsements on original policies
4.3.1.4.7. Inform customers and other stakeholders of policy cancellations
4.3.1.5. Reinstate policies
4.3.1.5.1. Receive policy reinstatement requests
4.3.1.5.2. Evaluate impact on policy premium/conditions
4.3.1.5.3. Calculate additional premiums due
4.3.1.5.4. Obtain customer approvals for policy reinstatements
4.3.1.5.5. Issue premium adjustment notifications
4.3.1.5.6. Inform customers of policy reinstatements
4.3.1.6. Renew policies
4.3.1.6.1. Receive policy renewal requests
4.3.1.6.2. Generate renewal quotes/notices
4.3.1.6.3. Issue policy renewal notifications
4.3.1.6.4. Receive customer acceptances
4.3.1.6.5. Initiate renewal underwriting process
4.3.1.6.6. Rate renewed policies
4.3.1.6.7. Obtain reinsurance support
4.3.1.6.8. Issue premium adjustment notifications
4.3.1.6.9. Authorise policy renewals
4.3.1.6.10. Inform customers of policy renewals
4.3.1.7. Issue policies
4.3.1.7.1. Determine policy conditions
4.3.1.7.2. Determine policy schedule
4.3.1.7.3. Determine policy clauses
4.3.1.7.4. Affix stamps
4.3.1.7.5. Authorise policies
4.3.1.7.6. Release policies
4.3.1.7.7. Issue policy documentation
4.3.2. Manage and administer claims
4.3.2.1. Facilitate claim reporting
4.3.2.1.1. Receive incident notifications and claims
4.3.2.1.2. Register new claims
4.3.2.1.3. Verify claimant details
4.3.2.1.4. Verify policy coverage details
4.3.2.2. Liase with claimants
4.3.2.2.1. Gather information on incidents/claims
4.3.2.2.2. Administer pre-authorisations
4.3.2.2.3. Arrange damage appraisals
4.3.2.3. Liase with sales partners/alliances
4.3.2.3.1. Notify sales partners/alliances
4.3.2.3.2. Recognize claims on sales partner/alliance agreement
4.3.2.3.3. Determine sales partner/alliance compensation
4.3.2.4. Investigate and evaluate claims
4.3.2.4.1. Assign adjusters
4.3.2.4.2. Investigate claims
4.3.2.4.3. Make claim judgements
4.3.2.4.4. Identify potential exposures to fraudulent activities
4.3.2.5. Negotiate and settle claims
4.3.2.5.1. Calculate benefits
4.3.2.5.2. Initiate benefit payments
4.3.2.5.3. Authorize repairs
4.3.2.6. Recover money paid out
4.3.2.6.1. Perform third party recoveries
4.3.2.6.2. Recover salvage amounts
4.3.2.6.3. Invole subrogation rights
4.3.2.7. Close claims
4.3.2.7.1. Update claims and claimant records
4.3.3. Manage policy and claim information records (documents, forms etc)
4.3.3.1. Establish record retention policies
4.3.3.2. Define records management strategies
4.3.3.3. Handle and move documents
4.4. Deliver service to customers
4.4.1. Ensure quality of service
4.4.1.1. Identify completed feedback submissions
4.4.1.2. Identify incomplete submissions and service failures
4.4.1.3. Solicit customer feedback on services delivered
4.4.1.4. Process customer feedback on services delivered
5. Manage Customer Service
5.1. Interface with customers
5.1.1. Manage channel integration
5.1.2. Manage channels
5.1.3. Perform data acquisition and storage
5.2. Manage customer information
5.2.1. Manage customer service infrastructure
5.2.2. Integrate customer information
5.2.3. Analyze customer information
5.2.4. Assess customers and gain insight
5.3. Develop customer care/customer service strategy
5.3.1. Develop customer service segmentation/prioritization (e.g., tiers)
5.3.1.1. Analyze existing customers
5.3.1.2. Analyze feedback of customers' needs
5.3.2. Define customer service policies and procedures
5.3.3. Establish service levels for customers
5.4. Plan and manage customer service operations
5.4.1. Manage customers' record
5.4.2. Plan and manage customer service work force
5.4.2.1. Forecast volume of customer service contacts
5.4.2.2. Schedule customer service work force
5.4.2.3. Track work force utilization
5.4.2.4. Monitor and evaluate quality of customer interactions with customer service representatives
5.4.3. Manage customer service requests/inquiries
5.4.3.1. Receive customer requests/inquiries
5.4.3.2. Generate customer service request
5.4.3.3. Route customer requests/inquiries
5.4.3.4. Respond to customer requests/inquiries
5.4.3.5. Perform customer-based operations
5.4.4. Manage customer complaints
5.4.4.1. Manage customer service complaints
5.4.4.2. Receive customer complaints
5.4.4.3. Route customer complaints
5.4.4.4. Resolve customer complaints
5.4.4.5. Respond to customer complaints
5.4.5. Manage customer appeals and grievances
5.4.5.1. Receive appeals and grievances
5.4.5.2. Investigate appeals and grievances
5.4.5.3. Communicate with appellants
5.4.5.4. Conduct customer service grievances process
5.5. Measure and evaluate customer service operations
5.5.1. Measure customer satisfaction with customer requests/inquiries handling
5.5.1.1. Gather and solicit post-sale customer feedback on products and services
5.5.1.2. Solicit post-sale customer feedback on ad effectiveness
5.5.1.3. Analyze product and service satisfaction data and identify improvement opportunities
5.5.1.4. Provide customer feedback to product management on products and services
5.5.2. Measure customer satisfaction with customer-complaint handling and resolution
5.5.2.1. Solicit customer feedback on complaint handling and resolution
5.5.2.2. Analyze customer complaint data and identify improvement opportunities
5.5.3. Measure customer satisfaction with products and services
5.5.3.1. Gather and solicit post-sale customer feedback on products and services
5.5.3.2. Solicit post-sale customer feedback on ad effectiveness
5.5.3.3. Analyze product and service satisfaction data and identify improvement opportunities
5.5.3.4. Provide customer feedback to product management on products and services
6. Develop and Manage Human Capital
6.1. Develop and manage human resources (HR) planning, policies, and strategies
6.1.1. Develop human resources strategy
6.1.1.1. Identify strategic HR needs
6.1.1.2. Define HR and business function roles and accountability
6.1.1.3. Determine HR costs
6.1.1.4. Establish HR measures
6.1.1.5. Communicate HR strategies
6.1.1.6. Develop strategy for HR systems/technologies/tools
6.1.2. Develop and implement workforce strategy and policies
6.1.2.1. Gather skill requirements according to corporate strategy and market environment
6.1.2.2. Plan employee resourcing requirements per unit/organization
6.1.2.3. Develop compensation plan
6.1.2.4. Develop succession plan
6.1.2.5. Develop employee diversity plan
6.1.2.6. Develop other HR programs
6.1.2.7. Develop HR policies
6.1.2.8. Administer HR policies
6.1.2.9. Plan employee benefits
6.1.2.10. Develop work force strategy models
6.1.3. Monitor and update strategy, plans, and policies
6.1.3.1. Measure realization of objectives
6.1.3.2. Measure contribution to business strategy
6.1.3.3. Communicate plans and provide updates to stakeholders
6.1.3.4. Review and revise HR plans
6.1.4. Develop competency mangement models
6.2. Recruit, source, and select employees
6.2.1. Manage employee requisitions
6.2.1.1. Align staffing plan to work force plan and business unit strategies/resource needs
6.2.1.2. Develop and open job requisitions
6.2.1.3. Develop job descriptions
6.2.1.4. Post requisition
6.2.1.5. Manage internal/external job posting Web sites
6.2.1.6. Modify requisitions
6.2.1.7. Notify hiring manager
6.2.1.8. Manage requisition dates
6.2.2. Recruit/Source candidates
6.2.2.1. Determine recruitment methods and channels
6.2.2.2. Perform recruiting activities/events
6.2.2.3. Manage recruitment vendors
6.2.2.4. Manage employee referral programs
6.2.2.5. Manage recruitment channels
6.2.3. Screen and select candidates
6.2.3.1. Identify and deploy candidate selection tools
6.2.3.2. Interview candidates
6.2.3.3. Test candidates
6.2.3.4. Select and reject candidates
6.2.3.5. Obtain candidate background information
6.2.4. Manage new hire/re-hire
6.2.4.1. Draw up and make offer
6.2.4.2. Negotiate offer
6.2.4.3. Hire candidate
6.2.5. Manage applicant information
6.2.5.1. Create applicant record
6.2.5.2. Manage/track applicant data
6.2.5.3. Archive and retain records of non-hires
6.3. Develop and counsel employees
6.3.1. Manage employee orientation and deployment
6.3.1.1. Create/maintain employee on-boarding program
6.3.1.2. Evaluate the effectiveness of employee on-boarding program
6.3.1.3. Execute onboarding program
6.3.2. Manage employee performance
6.3.2.1. Define performance objectives
6.3.2.2. Review, appraise, and manage employee performance
6.3.2.3. Evaluate and review performance program
6.3.3. Manage employee development
6.3.3.1. Define employee development guidelines
6.3.3.2. Develop employee career plans
6.3.3.3. Manage employee skills development
6.3.4. Develop and train employees
6.3.4.1. Align employee and organization development needs
6.3.4.2. Align learning programs with competencies
6.3.4.3. Establish training needs by analysis of required and available skills
6.3.4.4. Develop, conduct, and manage employee and/or management training programs
6.4. Manage employee relations
6.4.1. Manage labor relations
6.4.2. Manage collective bargaining process
6.4.3. Manage labor management partnerships
6.4.4. Manage employee grievances
6.5. Reward and retain employees
6.5.1. Develop and manage reward, recognition, and motivation programs
6.5.1.1. Develop salary/compensation structure and plan
6.5.1.2. Develop benefits and reward plan
6.5.1.3. Perform competitive analysis of benefit and rewards
6.5.1.4. Identify compensation requirements based on financial, benefits, and HR policies
6.5.1.5. Administer compensation and rewards to employees
6.5.1.6. Reward and motivate employees
6.5.1.7. Deliver programs to support work/life balance for employees
6.5.2. Manage and administer benefits
6.5.2.1. Deliver employee benefits program
6.5.2.2. Administer benefit enrollment
6.5.2.3. Process claims
6.5.2.4. Perform benefit reconciliation
6.5.3. Manage employee assistance and retention
6.5.4. Administer payroll
6.6. Redeploy and retire employees
6.6.1. Manage promotion and demotion process
6.6.2. Manage separation
6.6.3. Manage retirement
6.6.4. Manage leave of absence
6.6.5. Develop and implement employee outplacement
6.6.6. Manage deployment of personnel
6.6.7. Relocate employees, and manage assignments
6.6.7.1. Manage expatriates
6.7. Manage employee information and analytics
6.7.1. Manage reporting processes
6.7.2. Manage employee inquiry process
6.7.3. Manage and maintain employee data
6.7.4. Manage human resource information systems (HRIS)
6.7.5. Develop and manage employee metrics
6.7.6. Develop and manage time and attendance systems
6.7.7. Review retention and motivation indicators
6.7.8. Manage/collect employee suggestions and perform employee research
6.8. Manage employee communication
6.8.1. Develop employee communication plan
6.8.2. Deliver employee communications
7. Manage Information Technology
7.1. Manage the business of information technology
7.1.1. Develop the enterprise IT strategy
7.1.1.1. Build strategic intelligence
7.1.1.2. Identify long-term IT needs of the enterprise in collaboration with stakeholders
7.1.1.3. Define strategic standards, guidelines, and principles
7.1.1.4. Define and establish IT architecture and development standards
7.1.1.5. Define strategic vendors for IT components
7.1.1.6. Establish IT governance organization and processes
7.1.1.7. Build strategic plan to support business objectives
7.1.2. Define the enterprise architecture
7.1.2.1. Establish the enterprise architecture definition
7.1.2.2. Confirm enterprise architecture maintenance approach
7.1.2.3. Maintain the relevance of the enterprise architecture
7.1.2.4. Act as clearinghouse for IT research and innovation
7.1.2.5. Govern the enterprise architecture
7.1.3. Manage the IT portfolio
7.1.3.1. Establish the IT portfolio
7.1.3.2. Analyze and evaluate the value of the IT portfolio for the enterprise
7.1.3.3. Provision resources in accordance with strategic priorities
7.1.4. Perform IT research and innovation
7.1.4.1. Research technologies to innovate IT services and solutions
7.1.4.2. Transition viable technologies for IT services and solutions development
7.1.5. Evaluate and communicate IT business value and performance
7.1.5.1. Establish and monitor key performance indicators
7.1.5.2. Evaluate IT plan performance
7.1.5.3. Communicate IT value
7.2. Develop and manage IT customer relationships
7.2.1. Develop IT services and solutions strategy
7.2.1.1. Research IT services and solutions to address business and user requirements
7.2.1.2. Translate business and user requirements into IT services and solutions requirements
7.2.1.3. Formulate IT services and solutions strategic initiatives
7.2.1.4. Coordinate strategies with internal stakeholders to ensure alignment
7.2.1.5. Evaluate and select IT services and solutions strategic initiatives
7.2.2. Develop and manage IT service levels
7.2.2.1. Create and maintain the IT services and solutions catalog
7.2.2.2. Establish and maintain business and IT service -evel agreements
7.2.2.3. Evaluate and report service-level attainment results
7.2.2.4. Communicate business and IT service-level improvement opportunities
7.2.3. Perform demand-side management (DSM) for IT services
7.2.3.1. Analyze IT services and solutions consumption and usage
7.2.3.2. Develop and implement incentive programs that improve consumption efficiency
7.2.3.3. Develop volume/unit forecast for IT services and solutions
7.2.4. Manage IT customer satisfaction
7.2.4.1. Capture and analyze customer satisfaction
7.2.4.2. Assess and communicate customer satisfaction patterns
7.2.4.3. Initiate improvements based on customer satisfaction patterns
7.2.5. Market IT services and solutions
7.2.5.1. Develop IT services and solutions marketing strategy
7.2.5.2. Develop and manage IT customer strategy
7.2.5.3. Manage IT services and solutions advertising and promotional campaigns
7.2.5.4. Process and track IT services and solutions orders
7.3. Develop and implement security, privacy, and data protection controls
7.3.1. Establish information security, privacy, and data protection strategies and levels
7.3.2. Test, evaluate, and implement information security and privacy and data protection controls
7.4. Manage enterprise information
7.4.1. Develop information and content management strategies
7.4.1.1. Understand information and content management needs and the role of IT services for executing the business strategy
7.4.1.2. Assess the information and content management implications of new technologies
7.4.1.3. Identify and prioritize information and content management actions
7.4.2. Define the enterprise information architecture
7.4.2.1. Define information elements, composite structure, logical relationships and constraints, taxonomy, and derivation rules
7.4.2.2. Define information access requirements
7.4.2.3. Establish data custodianship
7.4.2.4. Manage changes to content data architecture requirements
7.4.3. Manage information resources
7.4.3.1. Define the enterprise information/data policies and standards
7.4.3.2. Develop and implement data and content administration
7.4.4. Perform enterprise data and content management
7.4.4.1. Define sources and destinations of content data
7.4.4.2. Manage technical interfaces to users of content
7.4.4.3. Manage retention, revision, and retirement of enterprise information
7.4.4.4. Manage documents
7.5. Develop and maintain information technology solutions
7.5.1. Develop the IT development strategy
7.5.1.1. Establish sourcing strategy for IT development
7.5.1.2. Define development processes, methodologies, and tools standards
7.5.1.3. Select development methodologies and tools
7.5.2. Perform IT services and solutions life cycle planning
7.5.2.1. Plan development of new requirements
7.5.2.2. Plan development of feature and functionality enhancement
7.5.2.3. Develop life cycle plan for IT services and solutions
7.5.3. Develop and maintain IT services and solutions architecture
7.5.3.1. Create IT services and solutions architecture
7.5.3.2. Revise IT services and solutions architecture
7.5.3.3. Retire IT services and solutions architecture
7.5.4. Create IT services and solutions
7.5.4.1. Understand confirmed requirements
7.5.4.2. Design IT services and solutions
7.5.4.3. Acquire/Develop IT service/solution components
7.5.4.4. Train services and solutions resources
7.5.4.5. Test IT services/solutions
7.5.4.6. Confirm customer acceptance
7.5.5. Maintain IT services and solutions
7.5.5.1. Understand upkeep/enhance requirements and defect analysis
7.5.5.2. Design change to existing IT service/solution
7.5.5.3. Acquire/develop changed IT service/solution component
7.5.5.4. Test IT service/solution change
7.5.5.5. Retire solutions and services
7.6. Deploy information technology solutions
7.6.1. Develop the IT deployment strategy
7.6.1.1. Establish IT services and solutions change policies
7.6.1.2. Define deployment process, procedures, and tools standards
7.6.1.3. Select deployment methodologies and tools
7.6.2. Plan and implement changes
7.6.2.1. Plan change deployment
7.6.2.2. Communicate changes to stakeholders
7.6.2.3. Administer change schedule
7.6.2.4. Train impacted users
7.6.2.5. Distribute and install change
7.6.2.6. Verify change
7.6.3. Plan and manage releases
7.6.3.1. Understand and coordinate release design and acceptance
7.6.3.2. Plan release rollout
7.6.3.3. Distribute and install release
7.6.3.4. Verify release
7.7. Deliver and support information technology services
7.7.1. Develop IT services and solution delivery strategy
7.7.1.1. Establish sourcing strategy for IT delivery
7.7.1.2. Define delivery processes, procedures, and tools standards
7.7.1.3. Select delivery methodologies and tools
7.7.2. Develop IT support strategy
7.7.2.1. Establish sourcing strategy for IT support
7.7.2.2. Define IT support services
7.7.3. Manage IT infrastructure resources
7.7.3.1. Manage IT inventory and assets
7.7.3.2. Manage IT resource capacity
7.7.4. Manage IT infrastructure operations
7.7.4.1. Deliver IT services and solutions
7.7.4.2. Perform IT operations support services
7.7.5. Support IT services and solutions
7.7.5.1. Manage availability
7.7.5.2. Manage facilities
7.7.5.3. Manage backup/recovery
7.7.5.4. Manage performance and capacity
7.7.5.5. Manage incidents
7.7.5.6. Manage problems
7.7.5.7. Manage inquiries
8. Manage Financial Resources
8.1. Perform planning and management accounting
8.1.1. Perform planning/budgeting/forecasting
8.1.1.1. Develop and maintain budget policies and procedures
8.1.1.2. Prepare periodic budgets and plans
8.1.1.3. Prepare periodic financial forecasts
8.1.2. Perform cost accounting and control
8.1.2.1. Perform inventory accounting
8.1.2.2. Perform profit center accounting
8.1.2.3. Perform cost of sales analysis
8.1.2.4. Perform product costing
8.1.2.5. Perform variance analysis
8.1.2.6. Report on profitability
8.1.3. Perform cost management
8.1.3.1. Determine key cost drivers
8.1.3.2. Measure cost drivers
8.1.3.3. Determine critical activities
8.1.3.4. Manage asset resource deployment and utilization
8.1.4. Evaluate and manage financial performance
8.1.4.1. Assess customer and product profitability
8.1.4.2. Report on financial profitability
8.1.4.3. Evaluate new products
8.1.4.4. Perform life cycle costing
8.1.4.5. Optimize customer and product mix
8.1.4.6. Track performance of new customer and product strategies
8.1.4.7. Prepare activity-based performance measures
8.1.4.8. Manage continuous cost improvement
8.2. Perform revenue accounting
8.2.1. Process customer credit
8.2.1.1. Analyze credit scoring history
8.2.1.2. Forecast credit scoring requirement
8.2.1.3. Review existing accounts
8.2.1.4. Produce credit/collection reports
8.2.1.5. Reinstate or suspend accounts based on credit policies
8.2.2. Invoice customer
8.2.2.1. Maintain customer/product master files
8.2.2.2. Generate customer billing data
8.2.2.3. Transmit billing data to customers
8.2.2.4. Post receivable entries
8.2.2.5. Resolve customer billing inquiries
8.2.3. Process accounts receivable (AR)
8.2.3.1. Establish AR policies
8.2.3.2. Receive/Deposit customer payments
8.2.3.3. Apply cash remittances
8.2.3.4. Prepare AR reports
8.2.3.5. Post AR activity to the general ledger
8.2.4. Manage and process collections
8.2.4.1. Establish policies for delinquent accounts
8.2.4.2. Analyze delinquent account balances
8.2.4.3. Correspond/Negotiate with delinquent accounts
8.2.4.4. Discuss account resolution with internal parties
8.2.4.5. Process adjustments/write-off balances
8.2.4.6. Perform recovery
8.2.4.7. Manage default
8.2.5. Manage and process adjustments/deductions
8.2.5.1. Establish policies/procedures for adjustments
8.2.5.2. Analyze adjustments
8.2.5.3. Correspond/Negotiate with customer
8.2.5.4. Discuss resolution with internal parties
8.2.5.5. Prepare chargeback invoices
8.2.5.6. Process related entries
8.3. Perform general accounting and reporting
8.3.1. Manage policies and procedures
8.3.1.1. Negotiate service-level agreements
8.3.1.2. Establish accounting policies
8.3.1.3. Set and enforce approval limits
8.3.1.4. Establish common financial systems
8.3.2. Perform general accounting
8.3.2.1. Maintain chart of accounts
8.3.2.2. Process journal entries
8.3.2.3. Process allocations
8.3.2.4. Post and reconcile intercompany transactions
8.3.2.5. Perform contract accounting - corporate function
8.3.2.6. Perform bank accounting - corporate function
8.3.2.7. Account for financial instruments: sub-ledger
8.3.3. Perform closing of general ledger
8.3.3.1. Close sub-ledgers and post to general ledger
8.3.3.2. Process period end adjustments (e.g., accruals, currency conversions)
8.3.3.3. Reconcile general ledger accounts
8.3.3.4. Perform consolidations and process eliminations
8.3.3.5. Prepare trial balance
8.3.3.6. Prepare and post management adjustments
8.3.4. Perform fixed asset accounting
8.3.4.1. Establish fixed asset policies and procedures
8.3.4.2. Maintain fixed asset master data files
8.3.4.3. Process and record fixed asset additions and retires
8.3.4.4. Process and record fixed asset adjustments, enhancements, revaluations, and transfers
8.3.4.5. Calculate and record depreciation expense
8.3.4.6. Process and record fixed asset maintenance and repair expenses
8.3.4.7. Reconcile fixed asset ledger
8.3.4.8. Track fixed assets including physical inventory
8.3.4.9. Provide fixed asset data to support tax, statutory, and regulatory reporting
8.3.5. Manage enterprise financial assets
8.3.5.1. Plan and design investment
8.3.5.2. Procure and construct financial assets
8.3.5.3. Perform decommission and disposal
8.3.5.4. Perform asset analytics and performance optimization
8.3.6. Perform financial reporting
8.3.6.1. Prepare business unit financial statements
8.3.6.2. Prepare consolidated financial statements
8.3.6.3. Perform business unit reporting/review management reports
8.3.6.4. Perform consolidated reporting/review of cost management reports
8.3.6.5. Prepare statements for board review
8.3.6.6. Produce quarterly/annual filings and shareholder reports
8.3.6.7. Produce regulatory reports
8.3.6.8. Perform legal and management consolidation
8.4. Manage fixed asset project accounting
8.4.1. Perform capital planning and project approval
8.4.1.1. Develop capital investment policies and procedures
8.4.1.2. Develop and approve capital expenditure plans and budgets
8.4.1.3. Review and approve capital projects and fixed asset acquisitions
8.4.1.4. Conduct financial justification for project approval
8.4.2. Perform capital project accounting
8.4.2.1. Create project account codes
8.4.2.2. Record project-related transactions
8.4.2.3. Monitor and track capital projects and budget spending
8.4.2.4. Close/capitalize projects
8.4.2.5. Measure financial returns on completed capital projects
8.5. Process payroll
8.5.1. Report time
8.5.1.1. Establish policies and procedures
8.5.1.2. Collect and record employee time worked
8.5.1.3. Analyze and report paid and unpaid leave
8.5.1.4. Monitor regular, overtime, and other hours
8.5.1.5. Analyze and report employee utilization
8.5.2. Manage pay
8.5.2.1. Enter employee time worked into payroll system
8.5.2.2. Maintain and administer employee earnings information
8.5.2.3. Maintain and administer applicable deductions
8.5.2.4. Monitor changes in tax status of employees
8.5.2.5. Process and distribute payments
8.5.2.6. Process and distribute manual checks
8.5.2.7. Process period end adjustments
8.5.2.8. Respond to employee payroll inquiries
8.5.3. Process payroll taxes
8.5.3.1. Develop tax plan
8.5.3.2. Manage tax plan
8.5.3.3. Calculate and pay applicable payroll taxes
8.5.3.4. Produce and distribute employee annual tax statements
8.5.3.5. File regulatory payroll tax forms
8.6. Process accounts payable and expense reimbursements
8.6.1. Process accounts payable (AP)
8.6.1.1. Verify AP pay file with PO vendor master file
8.6.1.2. Maintain/manage electronic commerce
8.6.1.3. Audit invoices and key data in AP system
8.6.1.4. Approve payments
8.6.1.5. Process financial accruals and reversals
8.6.1.6. Process taxes
8.6.1.7. Research/resolve exceptions
8.6.1.8. Process payments
8.6.1.9. Respond to AP inquiries
8.6.1.10. Retain records
8.6.1.11. Adjust accounting records
8.6.2. Process expense reimbursements
8.6.2.1. Establish and communicate expense reimbursement policies and approval limits
8.6.2.2. Capture and report relevant tax data
8.6.2.3. Approve reimbursements and advances
8.6.2.4. Process reimbursements and advances
8.6.2.5. Manage personal accounts
8.7. Perform liability and insurance reserve valuations
8.7.1. Reconcile claim cash flows
8.7.1.1. Compile check register entries
8.7.1.2. Compare check register to cash flow invoices
8.7.1.3. Reconcile differences
8.7.1.4. Process prior period inter-company subrogation-related adjustments
8.7.1.5. Allocate other top side adjustments
8.7.2. Apply valuation standards
8.7.2.1. Compile claim data into required format
8.7.2.2. Validate data form and content
8.7.2.3. Apply business conditions, operating environment and other assumptions
8.7.2.4. Perform calculations per actuarial and regulatory standards
8.7.2.5. Reconcile and validate results for changes in business and/or operating environment
8.7.2.6. Review results of analysis with management
8.7.2.7. Process ledger entries to line of business and legal entity
8.7.2.8. Issue actuarial opinion by qualified actuary
8.7.3. Manage reserving controls, policies and procedures
8.7.3.1. Establish scope and governance of reserve setting function
8.7.3.2. Establish and publish security and controls guidelines
8.7.3.3. Document reserve setting protocols and responsibilities
8.7.3.4. Monitor reserve setting and claim reconciliation procedures
8.7.3.5. Audit reserve setting procedures
8.7.3.6. Revise and update reserve and liability determination procedures for regulatory or controls related items
8.7.3.7. Develop and confirm internal controls
8.7.3.8. Define system security requirements and permissions
8.8. Manage treasury operations
8.8.1. Manage treasury policies and procedures
8.8.1.1. Establish scope and governance of treasury operations
8.8.1.2. Establish and publish treasury policies
8.8.1.3. Develop treasury procedures
8.8.1.4. Monitor treasury procedures
8.8.1.5. Audit treasury procedures
8.8.1.6. Revise treasury procedures
8.8.1.7. Develop and confirm internal controls for treasury
8.8.1.8. Define system security requirements
8.8.2. Manage cash
8.8.2.1. Manage and reconcile cash positions
8.8.2.2. Manage cash equivalents
8.8.2.3. Process and oversee electronic fund transfers (EFTs)
8.8.2.4. Develop cash flow forecasts
8.8.2.5. Manage cash flows
8.8.2.6. Produce cash management accounting transactions and reports
8.8.2.7. Manage and oversee banking relationships
8.8.2.8. Analyze, negotiate, resolve, and confirm bank fees
8.8.2.9. Analyze/Approve new account applications for customer credit
8.8.3. Manage in-house bank accounts
8.8.3.1. Manage in-house bank accounts for subsidiaries
8.8.3.2. Manage and facilitate inter-company borrowing transactions
8.8.3.3. Manage centralized outgoing payments on behalf of subsidiaries
8.8.3.4. Manage central incoming payments on behalf of subsidiaries
8.8.3.5. Manage internal payments and netting transactions
8.8.3.6. Calculate interest and fees for in-house bank accounts
8.8.3.7. Provide account statements for in-house bank accounts
8.8.4. Manage debt and investment
8.8.4.1. Establish investment policy
8.8.4.1.1. Research investments
8.8.4.1.2. Analyse and evaluate debt and investment portfolio performance
8.8.4.2. Process and oversee debt and investment transactions
8.8.4.3. Process and oversee foreign currency transactions
8.8.4.4. Produce debt and investment accounting transaction reports
8.8.4.5. Process and oversee interest rate transactions
8.8.5. Monitor and execute risk and hedging transactions
8.8.5.1. Review product portfolio
8.8.5.2. Review counterparty credit limit
8.8.5.3. Analyze capital adequacy history
8.8.5.4. Forecast capital adequacy policy
8.8.5.5. Develop and execute hedging transactions
8.8.5.6. Evaluate and refine hedging positions
8.8.5.7. Produce hedge accounting transactions and reports
8.8.5.8. Monitor credit
8.8.6. Conduct actuarial services
8.8.6.1. Develop trends analysis
8.8.6.1.1. Develop cost and trend projections
8.8.6.2. Conduct actuarial informatics/reporting
8.8.6.3. Manage experience rating
8.8.6.3.1. Perform pre-sale underwriting reviews
8.8.6.3.2. Review claims experiences
8.8.6.3.3. Determine premiums
8.8.6.4. Perform pool/block rating management
8.8.6.4.1. Develop rating methodology
8.8.6.4.2. Publish pool/block rates
8.8.6.4.3. Manage rating tools
8.8.6.5. Conduct pool/block underwriting
8.8.6.5.1. Review experience and history
8.8.6.5.2. Determine pool/block premium
8.8.6.6. Provide underwriting support
8.9. Manage taxes
8.9.1. Develop tax strategy and plan
8.9.1.1. Develop foreign, national, state, and local tax strategy
8.9.1.2. Consolidate and optimize total tax plan
8.9.1.3. Maintain tax master data
8.9.2. Process taxes
8.9.2.1. Perform tax planning/strategy
8.9.2.2. Prepare returns
8.9.2.3. Prepare foreign taxes
8.9.2.4. Calculate deferred taxes
8.9.2.5. Account for taxes
8.9.2.6. Monitor tax compliance
8.9.2.7. Address tax inquiries
8.10. Manage international funds/consolidation
8.10.1. Monitor international rates
8.10.2. Manage transactions
8.10.3. Monitor currency exposure/hedge currency
8.10.4. Report results
8.11. Perform global trade services
8.11.1. Screen sanctioned party list
8.11.2. Control exports and imports
8.11.3. Classify products
8.11.4. Calculate duty
8.11.5. Communicate with customs
8.11.6. Document trade
8.11.7. Process trade preferences
8.11.8. Handle restitution
8.11.9. Prepare letter of credit
8.12. Manage internal controls
8.12.1. Establish internal controls, policies, and procedures
8.12.1.1. Establish board of directors and audit committee
8.12.1.2. Define and communicate code of ethics
8.12.1.3. Assign roles and responsibility for internal controls
8.12.1.4. Define business process objectives and risks
8.12.1.5. Define entity/unit risk tolerances
8.12.2. Operate controls and monitor compliance with internal controls policies and procedures
8.12.2.1. Design and implement control activities
8.12.2.2. Monitor control effectiveness
8.12.2.3. Remediate control deficiencies
8.12.2.4. Create compliance function
8.12.2.5. Operate compliance function
8.12.2.6. Implement and maintain controls-related enabling technologies and tools
8.12.3. Report on internal controls compliance
8.12.3.1. Report to external auditors
8.12.3.2. Report to regulators, share/debt-holders, securities exchanges, etc.
8.12.3.3. Report to third parties (e.g., business partners)
8.12.3.4. Report to internal management
9. Acquire, Construct and Manage Assets
9.1. Design and construct/acquire nonproductive assets
9.1.1. Develop property strategy and long-term vision
9.1.1.1. Confirm alignment of property requirements with business strategy
9.1.1.2. Assess the external environment
9.1.1.3. Determine build or buy decision
9.1.2. Develop, construct, and modify sites
9.1.3. Plan facility
9.1.3.1. Design facility
9.1.3.2. Analyze budget
9.1.3.3. Select property
9.1.3.4. Negotiate terms for facility
9.1.3.5. Manage construction or modification to building
9.1.4. Provide workspace and assets
9.1.4.1. Acquire workspace and assets
9.1.4.2. Change fit/form/function of workspace and assets
9.2. Plan maintenance work
9.2.1. Perform routine maintenance
9.2.2. Perform corrective maintenance
9.2.3. Overhaul equipment
9.2.4. Manage facilities operations
9.2.4.1. Relocate people
9.2.4.2. Relocate material and tools
9.3. Obtain and install assets, equipment, and tools
9.3.1. Develop ongoing maintenance policies for production assets
9.3.1.1. Analyze assets and predict maintenance requirements
9.3.1.2. Develop approach to integrate preventive maintenance into production schedule
9.3.2. Obtain and install equipment
9.3.2.1. Procure equipment
9.3.2.2. Install and commission equipment
9.4. Dispose of productive and nonproductive assets
9.4.1. Develop exit strategy
9.4.2. Perform sale or trade
9.4.3. Perform abandonment
10. Manage Enterprise Risk, Compliance, Remediation and Resiliency
10.1. Manage enterprise risk
10.1.1. Establish the enterprise risk framework and policies
10.1.1.1. Determine risk tolerance for organization
10.1.1.2. Develop and maintain enterprise risk policies and procedures
10.1.1.3. Identify and implement enterprise risk management tools
10.1.1.4. Coordinate the sharing of risk knowledge across the organization
10.1.1.5. Prepare and report enterprise risk to executive management and board
10.1.2. Oversee and coordinate enterprise risk management activities
10.1.2.1. Identify enterprise level risks
10.1.2.2. Assess risks to determine which to mitigate
10.1.2.3. Develop risk mitigation and management strategy, and integrate with existing performance management processes
10.1.2.4. Verify business unit and functional risk mitigation plans are implemented
10.1.2.5. Ensure risks and risk mitigation actions are monitored
10.1.2.5.1. Design risk management operating models
10.1.2.5.1.1. Design and implement risk control activities
10.1.2.5.1.2. Monitor risk management effectiveness
10.1.2.5.1.3. Remediate risk management deficiencies
10.1.2.5.1.4. Create risk management functions
10.1.2.5.2. Manage and monitor risk management operating models
10.1.2.5.2.1. Operate risk management function
10.1.2.5.2.2. Implement and maintain risk management-related enabling technologies and tools
10.1.2.5.2.3. Review and generate risk reports
10.1.2.5.2.4. Perform limit management
10.1.2.5.2.5. Manage and mitigate risk
10.1.2.5.2.6. Establish record retention policy
10.1.2.5.2.7. Define entity/unit risk tolerances
10.1.2.6. Report on risk activities
10.1.3. Manage business unit and function risk
10.1.3.1. Identify risks
10.1.3.2. Assess risks using enterprise risk framework policies and procedures
10.1.3.3. Develop mitigation plans for risks
10.1.3.4. Implement mitigation plans for risks
10.1.3.5. Monitor risks
10.1.3.6. Analyze risk activities and update plans
10.1.3.7. Report on risk activities
10.1.3.8. Manage environmental health and safety (EHS)
10.1.3.8.1. Determine environmental health and safety impacts
10.1.3.8.1.1. Evaluate environmental impact of products, services, and operations
10.1.3.8.1.2. Conduct health and safety and environmental audits
10.1.3.8.2. Develop and execute functional EHS program
10.1.3.8.2.1. Identify regulatory and stakeholder requirements
10.1.3.8.2.2. Assess future risks and opportunities
10.1.3.8.2.3. Create EHS policy
10.1.3.8.2.4. Record and manage ehs events
10.1.3.8.3. Train and educate functional employees
10.1.3.8.3.1. Communicate EHS issues to stakeholders and provide support
10.1.3.8.4. Monitor and manage functional EHS management program
10.1.3.8.4.1. Manage EHS costs and benefits
10.1.3.8.4.2. Measure and report EHS performance
10.1.3.8.4.3. Implement emergency response program
10.1.3.8.4.4. Implement pollution prevention program
10.1.3.8.4.5. Provide employees with EHS support
10.1.4. Manage operational risk
10.1.4.1. Analyze operational risk history
10.1.4.2. Forecast operational risk requirement
10.1.4.3. Provide operational risk capital allocation
10.1.4.4. Assess operational compliance to process controls
10.1.4.5. Implement segregation of duties controls
10.1.4.6. Calculate operational risks according to industry regulations and national legislation
10.1.4.7. Calculate operational risks according to internal models
10.1.4.8. Report disclosure (industry regulations) and internal reporting
10.1.4.8.1. Perform risk based capital and other solvency based reporting
10.1.4.8.1.1. Collect required documentation and national association insurance commissioners guidelines
10.1.4.8.1.2. Compile documentation associated with each risk based capital component
10.1.4.8.1.3. Quantify risks in risk based capital formula and worksheets
10.1.4.8.1.4. Validate calculations against regulatory updates
10.1.4.8.1.5. Perform sensitivity testing
10.1.4.8.1.6. Update analysis for changes in treasury management, business operations
10.1.4.8.1.7. Finalize and file risk based capital report
10.1.4.8.1.8. Coordinate required amounts with treasury (cash) management
10.1.4.9. Perform operational loss and risk event data capture
10.1.4.10. Audit information system
10.1.5. Manage financial risk
10.1.5.1. Manage credit risk
10.1.5.1.1. Acquire credit risk data
10.1.5.1.2. Develop credit policies
10.1.5.1.3. Manage global credit limits
10.1.5.1.4. Develop an early-warning system
10.1.5.1.5. Manage issuer exposure
10.1.5.1.6. Manage credit portfolio
10.1.5.1.7. Calculate regulatory capital requirements for credit risks according to industry regulations and national legislation
10.1.5.1.8. Perform stress testing
10.1.5.1.9. Calibrate and validate credit risk models (rating models, LGD-, PD-, and CCF Models)
10.1.5.2. Manage strategic investment risk
10.1.5.2.1. Perform asset liability management analytics
10.1.5.2.2. Perform asset liability management simulation
10.1.5.2.3. Plan liquidity and asset liability management
10.1.5.2.4. Perform asset liability hedging
10.1.5.2.5. Perform asset liability management reporting
10.1.5.2.6. Manage global limits of asset liability management (ALM) risk key figures
10.1.5.3. Manage market risk (includes interest risk, foreign exchange, or currency risk, etc.)
10.1.5.3.1. Manage global market limits
10.1.5.3.2. Manage early-warning system
10.1.5.3.3. Manage market data
10.1.5.3.4. Model internal market risk
10.1.5.3.5. Perform back-testing
10.1.5.4. Manage fraud and misconduct
10.1.5.4.1. Develop strategy and monitoring program
10.1.5.4.1.1. Determine capacity and size of investigation unit
10.1.5.4.1.2. Implement anti-fraud and abuse solution
10.1.5.4.2. Manage investigation unit and anti fraud and abuse operations
10.1.5.4.2.1. Set program thresholds to match investigation unit capacity
10.1.5.4.2.2. Scan incoming claims to detect anomalies and suspicious patterns
10.1.5.4.2.3. Score and prioritize transactions according to risk level
10.1.5.4.2.4. Flag and hold suspicious transactions for further investigation
10.1.5.4.2.5. Manage investigation case and bring to conclusion
10.1.5.5. Manage insurance risk
10.1.5.5.1. Manage reinsurance
10.1.5.5.1.1. Set-up proportional treaty master
10.1.5.5.1.2. Set-up non-proportional XL treaty master
10.1.5.5.1.3. Set-up non-proportional CAT XL treaty master
10.1.5.5.1.4. Set-up facultative treaty
10.1.5.5.2. Manage portfolio risk
10.1.5.5.2.1. Manage Life Risk
10.1.5.5.2.2. Manage Non-Life Risk
10.1.5.5.2.3. Manage Health Risk (non-life)
10.1.5.5.2.4. Manage Disability Risk (non-life)
10.2. Manage compliance
10.2.1. Establish compliance framework and policies
10.2.1.1. Develop enterprise compliance policies and procedures
10.2.1.2. Implement enterprise compliance activities
10.2.1.3. Manage internal audits
10.2.1.4. Maintain controls-related technologies and tools
10.2.2. Manage regulatory compliance
10.2.2.1. Develop regulatory compliance procedures
10.2.2.2. Identify applicable regulatory requirements
10.2.2.3. Perform regulatory requirements
10.2.2.3.1. Compile rate filing documentation
10.2.2.3.2. Upload information into state rating system(s)
10.2.2.3.3. Perform quality control testing on load
10.2.2.3.4. Validate rate load and internal system consistency
10.2.2.3.5. Compile rate assumptions and documentation
10.2.2.3.6. Issue actuarial memorandum by qualified actuary
10.2.2.4. Monitor the regulatory environment for changing or emerging regulations
10.2.2.5. Assess current compliance position, and identify weaknesses or shortfalls therein
10.2.2.6. Ensure compliance with Sarbanes-Oxley Act
10.2.2.7. Implement missing or stronger regulatory compliance controls and policies
10.2.2.8. Monitor and test, on an ongoing and scheduled basis, regulatory compliance position and existing controls, defining controls that should be added, removed, or modified as required
10.2.2.9. Maintain relationships with regulators
10.3. Manage remediation efforts
10.3.1. Create remediation plans
10.3.2. Contact and confer with experts
10.3.3. Identify/Dedicate resources
10.3.4. Investigate legal aspects
10.3.5. Investigate damage cause
10.3.6. Amend or create policy
10.4. Manage business resiliency
10.4.1. Develop the business resilience strategy
10.4.2. Perform continuous business operations planning
10.4.3. Test continuous business operations
10.4.4. Maintain continuous business operations
10.4.5. Share knowledge of specific risks across other parts of the organization
11. Manage External Relationships
11.1. Build investor relationships
11.1.1. Plan, build, and manage lender relations
11.1.2. Plan, build, and manage analyst relations
11.1.3. Perform corporate secretary function
11.1.4. Communicate with shareholders
11.2. Manage government and industry relationships
11.2.1. Manage government relations
11.2.2. Manage relations with quasi-government bodies
11.2.3. Manage relations with trade or industry groups
11.2.4. Manage lobby activities
11.2.5. Manage tax regulatory relationships
11.3. Manage relations with board of directors
11.3.1. Report results
11.3.2. Report audit findings
11.4. Manage legal and ethical issues
11.4.1. Create ethics policies
11.4.2. Manage corporate governance policies
11.4.3. Develop and perform preventative law programs
11.4.4. Ensure compliance
11.4.4.1. Plan and initiate compliance program
11.4.4.2. Execute compliance program
11.4.5. Manage outside counsel
11.4.5.1. Assess problem and determine work requirements
11.4.5.2. Engage/retain outside counsel if necessary
11.4.5.3. Receive strategy/budget
11.4.5.4. Receive work product and manage/ monitor case and work performed
11.4.5.5. Process payment for legal services
11.4.5.6. Track legal activity/performance
11.4.6. Protect intellectual property
11.4.6.1. Manage copyrights and patents
11.4.6.2. Maintain intellectual property rights and restrictions
11.4.6.3. Administer licensing terms
11.4.6.4. Administer options
11.4.7. Resolve disputes and litigations
11.4.8. Provide legal advice/counseling
11.4.9. Negotiate and document agreements/contracts
11.5. Manage public relations program
11.5.1. Manage community relations
11.5.2. Manage media relations
11.5.3. Promote political stability
11.5.4. Create press releases
11.5.5. Issue press releases
11.6. Provide corporate services to manage external relations
11.6.1. Manage travel
11.6.1.1. Submit travel request and obtain pre-trip approval
11.6.1.2. Plan travel - online booking
11.6.1.3. Perform travel and expense management
11.6.1.4. Ensure global travel policy compliance
11.6.1.5. Perform travel and expense analytics
12. Develop and Manage Business Capabilities
12.1. Manage business processes
12.1.1. Establish and maintain process management governance
12.1.1.1. Define and manage governance approach
12.1.1.2. Establish and maintain process tools and templates
12.1.1.3. Assign and support process ownership
12.1.1.4. Perform process governance activities
12.1.2. Define and manage process frameworks
12.1.2.1. Establish and maintain process framework
12.1.2.2. Identify cross-functional processes
12.1.3. Define processes
12.1.3.1. Scope processes
12.1.3.2. Analyze processes
12.1.3.3. Map processes
12.1.3.4. Publish processes
12.1.4. Manage process performance
12.1.4.1. Provide process training
12.1.4.2. Support process execution
12.1.4.3. Measure and report process performance
12.1.5. Improve processes
12.1.5.1. Identify and select improvement opportunities
12.1.5.2. Manage improvement projects
12.1.5.3. Perform continuous improvement activities
12.2. Manage portfolio, program, and project
12.2.1. Manage portfolio
12.2.1.1. Establish portfolio strategy
12.2.1.2. Define portfolio governance
12.2.1.3. Monitor and control portfolio
12.2.2. Manage programs
12.2.2.1. Establish program structure and approach
12.2.2.2. Manage program stakeholders and partners
12.2.2.3. Manage program execution
12.2.2.4. Review and report program performance
12.2.3. Manage projects
12.2.3.1. Establish project scope
12.2.3.1.1. Identify project requirements and objectives
12.2.3.1.2. Identify project resource requirements
12.2.3.1.3. Assess culture and readiness for project management approach
12.2.3.1.4. Identify appropriate project management methodologies
12.2.3.1.5. Create business case and obtain funding
12.2.3.1.6. Develop project measures and indicators
12.2.3.2. Develop project plans
12.2.3.2.1. Define roles and resources
12.2.3.2.2. Identify specific IT requirements
12.2.3.2.3. Create training and communication plans
12.2.3.2.4. Design recognition and reward approaches
12.2.3.2.5. Design and plan launch of project
12.2.3.2.6. Deploy the project
12.2.3.3. Execute projects
12.2.3.3.1. Evaluate impact of project management (strategy and projects) on measures and outcomes
12.2.3.3.2. Report the status of project
12.2.3.3.3. Manage project scope
12.2.3.3.4. Promote and sustain activity and involvement
12.2.3.3.5. Realign and refresh project management strategy and approaches
12.2.3.4. Review and report project performance
12.2.3.5. Close projects
12.3. Manage enterprise quality
12.3.1. Establish quality requirements
12.3.1.1. Define critical-to-quality characteristics
12.3.1.2. Define preventive quality activities
12.3.1.3. Develop quality controls
12.3.1.3.1. Define process steps for controls (or integration points)
12.3.1.3.2. Define sampling plan
12.3.1.3.3. Identify measurement methods
12.3.1.3.4. Define required competencies
12.3.1.4. Prove capability to assess compliance with requirements
12.3.1.5. Finalize quality plan
12.3.2. Evaluate performance to requirements
12.3.2.1. Test against quality plan
12.3.2.1.1. Conduct test and collect data
12.3.2.1.2. Record result(s)
12.3.2.1.3. Determine disposition of result(s)
12.3.2.2. Assess results of tests
12.3.2.2.1. Assess sample significance
12.3.2.2.2. Summarize result(s)
12.3.2.2.3. Recommend actions
12.3.2.2.4. Decide next steps
12.3.3. Manage non-conformance
12.3.3.1. Assess potential impact
12.3.3.2. Determine immediate action(s)
12.3.3.3. Identify root cause(s)
12.3.3.4. Take corrective or preventitive action
12.3.3.5. Close non-conformance
12.4. Implement and maintain the enterprise quality management system (EQMS)
12.4.1. Define the quality strategy
12.4.2. Plan and deploy the EQMS scope, targets, and goals
12.4.3. Identify core EQMS processes, controls, and metrics
12.4.4. Develop and document EQMS policies, procedures, standards, and measures
12.4.5. Assess the EQMS performance
12.4.6. Create environment and capability for EQMS improvement(s)
12.4.6.1. Reward quality excellence
12.4.6.2. Create and maintain quality partnerships
12.4.6.3. Maintain talent capabilities and competencies
12.4.6.4. Incorporate EQMS messaging into communication channels
12.4.6.5. Assure independent EQMS management access to appropriate authority in the organization
12.4.6.6. Transfer proven EQMS methods
12.5. Manage change
12.5.1. Plan for change
12.5.1.1. Select process improvement methodology
12.5.1.2. Assess readiness for change
12.5.1.3. Determine stakeholders
12.5.1.4. Engage/Identify champion
12.5.1.5. Form design team
12.5.1.6. Define scope
12.5.1.7. Understand current state
12.5.1.8. Define future state
12.5.1.9. Conduct organizational risk analysis
12.5.1.10. Assess cultural issues
12.5.1.11. Establish accountability for change management
12.5.1.12. Identify barriers to change
12.5.1.13. Determine change enablers
12.5.1.14. Identify resources and develop measures
12.5.2. Design the change
12.5.2.1. Assess connection to other initiatives
12.5.2.2. Develop change management plans
12.5.2.3. Develop training plan
12.5.2.4. Develop communication plan
12.5.2.5. Develop rewards/incentives plan
12.5.2.6. Establish change adoption metrics
12.5.2.7. Establish/Clarify new roles
12.5.2.8. Identify budget/roles
12.5.3. Implement change
12.5.3.1. Create commitment for improvement/change
12.5.3.2. Re-engineer business processes and systems
12.5.3.3. Support transition to new roles or exit strategies for incumbents
12.5.3.4. Monitor change
12.5.4. Sustain improvement
12.5.4.1. Monitor improved process performance
12.5.4.2. Capture and reuse lessons learned from change process
12.5.4.3. Take corrective action as necessary
12.5.5. Perform change and configuration management
12.5.5.1. Notify change/perform change management
12.5.5.2. Perform engineering change management
12.5.5.3. Manage change order
12.5.5.4. Perform configuration management
12.6. Develop and manage enterprise-wide knowledge management (KM) capability
12.6.1. Develop KM strategy
12.6.1.1. Develop governance model
12.6.1.2. Establish central KM core group
12.6.1.3. Define roles and accountability of core group versus operating units
12.6.1.4. Develop funding models
12.6.1.5. Identify links to key initiatives
12.6.1.6. Develop core KM methodologies
12.6.1.7. Assess IT needs and engage IT function
12.6.1.8. Develop training and communication plans
12.6.1.9. Develop change management approaches
12.6.1.10. Develop strategic measures and indicators
12.6.2. Assess KM capabilities
12.6.2.1. Assess maturity of existing KM initiatives
12.6.2.2. Evaluate existing KM approaches
12.6.2.3. Identify gaps and needs
12.6.2.4. Enhance/Modify existing KM approaches
12.6.2.5. Develop new KM approaches
12.6.2.6. Implement new KM approaches
12.7. Measure and benchmark
12.7.1. Create and manage organizational performance strategy
12.7.1.1. Create enterprise measurement systems model
12.7.1.2. Measure process productivity
12.7.1.3. Measure cost effectiveness
12.7.1.4. Measure staff efficiency
12.7.1.5. Measure cycle time
12.7.2. Benchmark performance
12.7.2.1. Conduct performance assessments
12.7.2.2. Develop benchmarking capabilities
12.7.2.3. Conduct internal process and external competitive benchmarking
12.7.2.4. Conduct gap analysis to understand need for change and degree needed
12.7.2.5. Establish need for change
12.7.2.6. Generate "what if" scenarios
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