COOLMaps - Proprietary Visual Process & Mapping

Software Designed to Manage Change &

Document ControlNew York | London | Phoenix | Vancouver

800-997-4772 | www.ipsaintl.com

• Companies must constantly change to meet new and challenging demands

• Changes may be large and cultural or focused on specific departments, structures, functions, policies, procedures or controls

• Effective and lasting change occurs when stakeholders fully understand what they must do differently on a day-to-day basis

• Although banks are built on complex, cross-cutting processes, traditional two-dimensional process maps lack the functionality required to effectively manage change

• COOLMaps integrated features distinguish them from other process mapping tools: they are designed to help managers plan, communicate, drive and reinforce change.

2 COOLMaps are Specially Designed to Manage Change and Document Control!

1. Multi-level process mapping2. Point-of-occurrence issue identification and risk scoring, 3. Unlimited attachment/link capacity, 4. Project management and communication features in a

single tool designed to: • Achieve control over end-to-end compliance and operational risk• Integrate compliance and internal controls into day-to-day business• Reveal cost savings otherwise hidden within process layers• Reinforce best practices within processes• Plan and communicate present and future state projects• Expedite and improve staff training • Satisfy audit and examination information requirements• Provide effective and efficient document and information control• Create an important document trail of process, risk and controls• Serve as an issue resolution, tracking, and project management tool

COOLMaps: Four Powerful Tools in One

Specially Designed to Manage Change & Document Control!

• Financial Institution's departments and areas must constantly change to meet new and challenging demands

• Changes may be large and cultural or focused on specific departments, structures, functions, policies, procedures or controls

• Effective and lasting change occurs when stakeholders fully understand what they must do differently on a day-to-day basis

• Although financial institutions are built on complex, cross-cutting processes, traditional two-dimensional process maps lack the functionality required to effectively manage change

• COOLMaps integrated features distinguish them from other process mapping tools: they are designed to help managers plan, communicate, drive and reinforce change.

4 Why are COOLMaps Different?

5 Enterprise Level Advanced Process Mapping

6

A single click on a process step provides instant vertical descent into multiple horizontal sub-process levels where information is displayed.

Process #1-A

Process #1-B

Process #1-C

C

Solution (Action Plan)

KI IndicatorMetric

LD Internal Loss Data

Applicable Case Study

Issue Open Issues

Map FunctionalityHyperlinks Give Deep Views of Process

7

Example: High Risk Issue - a single click provides instant detailed risk analysis exactly at the process step where the risk occurs.

Map FunctionalityProcess Steps Display Icons Indicating Information is Available

8

• A single click on a process step provides instant access to forms, reports, procedures manuals, documents, etc.

• Makes document version control simple! • Process can be also linked to any internet and intranet site

Map FunctionalityProcess Steps Have Attachments and Links

COOLMaps Can be Accessed Through a Web Portal

Workspaces and Maps can be Saved as Templates• Templates are created at the Firm Level

A workspace template will include the following characteristics:• Style format• Department structure• Maps templates• BCP levels description Maps can be Cloned and Copied• The application will allow the user to clone maps within a

workspace. • When cloning a map the application will create a copy of the

map. • Maps can be copied inside workspaces or imported from one

workspace to another.

Templates, Cloning and Copying

COOLMaps can be navigated inside the maps through internal links, so that one process map flows into the next logical process map, or through Navigation Panels:

Tree View Snapshot View

COOLMaps Navigation Panels

The Navigation Panels Allow for Filtering:

Button Name Action

Control Risk Button Will filter the tree view map navigator displaying all the control risk brief descriptions.

Solution Button Will filter the tree view map navigator

displaying all solutions.

Issues Button Will filter the tree map navigator

displaying the maps that contain processes that have issues.

Attachment Button Will filter the tree view map navigator displaying the processes that have attachments.

COOLMaps have View Filters

Firm

Project

Workspace

Maps

COOLMaps are Organized Hierarchically

Issue Reporting and Project Management

14

In a single click, go from COOLMaps process maps to automated, downloadable logs containing issue and risk information, project management information, and built-in communication features.

Logs

Consulting IPSA will create COOLMaps for any area, risk, or project (e.g. regulatory remediation, future state planning, acquisitions, etc.), convert your current process maps to COOLMaps, or update COOLMaps on a regular or as required basis.

LicensingIPSA will train your team to create COOLMaps, provide templates for key process areas, and provide ongoing advice and guidance to optimize visual process and risk mapping.

Getting Started with COOLMaps

SaaS (Software as a Service) License: • Two-year subscription service• Includes client administration package, software updates,

maintenance, training, and support for a monthly fee• Immediate access with little user interface required• Unlimited viewing licenses through secure web portal

Enterprise License: • License with one-time fee• COOLMaps run on user’s server• Includes client administration package, edit licenses,

updates, training, and support

16 Flexible License Options

COOLMaps logs contain automated project management features including: •Full description of multi-issues or projects with sorting capability•Risk/issue prioritization based on accepted operational risk standards•Remediation/project requirements•Clear delineation of responsibilities•Timing and automated “tickler” system for tracking project tasks•Ability to attach unlimited information required for remediation•Built in e-mail communication features•Single-click “reference back” to process where issue arises•Control over certification of project remediation•Attaches unlimited work papers for future reference•Downloadable to MS Excel spreadsheet

17 Integrated Project Management Features

Other Process Maps – Large Single Canvas– Complex 2 dimensional views– Limited attachments/links– Limited search capability– IT/Engineering focus– Extreme vertical focus– Limited/specific uses– Deep skills to create/edit– One Person can edit at a time– No communication capability– No summary logs– No project management tools

COOLMaps v3.0 Unlimited canvas Elegantly simple 3D views Unlimited attachments/links Deep search capability Management focus Multiple uses Vertical and horizontal views Wizard creation/easy to edit Multi-edit capability Built-in communication modules Five automated log types Robust project management

tools

18 COOLMaps Software v3.0 Advantages

System Features

• Platform Options:o Enterpriseo ASP/SaaS

• Rich Browser Based View Portal:o Intranet (Enterprise)o Internet (SaaS)

• Rich Client Map Creator• Version Control• Audit Log• Full Security Controls:

o Password Controlso Multi-permission edit levelso Multi-permission view levels

19

User Features

• Highly Visual• Easy to read/display• Feature Rich• Single Click Navigation• Views by process or issues• Hyper-linking• Automatic Log Generation• Deep Search Capability• Creation Wizards• Help Features• Tutorial

Technical User and System Features

Development Tools & Technologies• ASP.NET – Microsoft Active Server Pages .NET 3.0 is the technology

used for providing the Administration web application. • The C# language is used for:

– Client application code– Admin application middleware– Data Import/Update module

• XML is used as the main data storage. Separate map and workspace files exist as XML files in the file system. XSD schemas are used to specify XML structure and contents. 

• MDB Index Files, MDB files are used for indexing and search. An MDB file is a small file that can be secured with ease. The indexing engine runs as a background thread that modifies this file.

20 COOLMaps Technology Information

Contact Us

New York | London | Phoenix | Vancouver800-997-4772 | www.ipsaintl.com

Rob ConeManaging Director, Special Projects212.205.4180rcone@ipsaintl.com