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Presented By:Vallabh Deshpande
Summer Project Presentation
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Introduction RBIAM old Process
Expectations Execution RBIAMS Conclusion & Recommendations
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One of the Largest state owned bank
3020 Branches in 533 districts
Good People To Bank With
Techno-savvy & front runner among PSBs
Pioneer in launching CBS among PSBs
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54 offices eachcontrolling 40-50
Branch Offices
2 offices at Pune &Bhopal
At Ahmedabad,Pune, Lucknow,Delhi, Banglore,Bhopal, Mumbai,
Calcutta and Chennai
CorporateOffice
ZonalOffice
RegionalOffice
RegionalOffice
ZonalOffice
RegionalOffice
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Located at Powai
Dedicated to provide: IT infrastructure
Required technology solutions
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To Envision, Evaluate & Plan development ofRBIAMS
Scope & Objective
To work as a liaison among stakeholders
To elicit, analyze, communicate, and validate
requirements for development
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Corporate CA&ID
Regional CA&ID
Branch Auditors
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Centralize data capture
Facilitate customized real time reporting
Calculate operational risk parameters
E2 Monitoring of Deviations
Reduce process cycle time
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Model for Development Waterfall model
4 Stage Execution approach
Sub ledger Application for Parameter Setting
Web system to Capture Operational Risk Parameters
Role Based Access Model
Calculation Engine for calculating risk parameters
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Project Phases of RBIAMS
Main Phase Sub-PhaseWeek
1Week
2Week
3Week
4Week
5Week
6
Envision
As Is Assessment
Identify Process Drivers
High Level System As IsReview
Application PortfolioAssessment
To Be Strategy
Define Proposed Future State
Define IT and BusinessArchitecture
High level Gap Analysis
Final recommendations to retire,replace, restructure, or relocate
applicationsBusiness Case
Define business case
Plan, Prioritize and sequenceTransformation Activities
Deployment Planning
Finalize Deployment Strategy &Phased deliverables
Define Conversion Approach
Data Migration Strategy
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Main Phase Sub-PhaseWeek
1Week
2Week
3Week
4Week
5Week
6
Execution
Create Business Requirement
Interface Requirement
Functional ConversionRequirements
Conversion
Data Mapping
Rules for Data Filtering
Verification and Validation
Procedure
Development of Data
Conversion and Merge Programs
Shakeout Conversions and
Verification & Validation
Develop Required Interfaces
Design
Develop
Component testing
Validate
Mock Conversion
Dress Rehearsal
Integration Testing
UAT
Deploy Implementation & Cut over
Implementation & Cut over
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Systems Environment
3.2.2.1 RISK BASED INTERNAL AUDIT SYSTEM
CA&ID
REPORTS
BRANCH
AUDITOR
RMD
DATABASEDATABASE
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Functional Requirements Specifications
Use Case:
CA&ID Administrator Interface
Use Case: Inspection of branches to collect auditinformation
Use Case: Verification of collected audit information
Use Case: Required Report Generation
AUTHENTICATION
LEVEL
USER
PARAMETER
USER CODE
USER
NAME
PARAMETER
NAME
PARENT
NAME
Max Score
PARAMETER
WEIGHTAGE
ADMIN LOGIN
CA&ID
CA&ID Administrator Interface
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AUDIT OFFICIALS
AUDIT
BRANCH
DETAILS
BRANCH
PROFILE
BUSINESS
RISK
Annexure
Entry
Annexure 4
Annexure 14
& 14A
Annexure 15
& 15A
Annexure 17,
17A 17B 17C
De osits
Advances
Others
Incumbent
Details
Business
Profile
Asset
Classification
Impersonal
Accounts
Inspection
Details
Observations
Branch Name
Branch Code
R O Name
Zone Name
Nature of Audit
Branch Category
Group of Branch
Inspection of branches to collect audit information
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Diagram:
VERIFIER
DATABASE
VERIFY
Verification of collected auditinformation
AUTHENTICATED
USER
DATABASE
Required Report Generation
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Hardware:
Client MachinePentium (P1) or Celeron machine with 733MHz and above, 128 MB
RAM, 20 GB HDD, and NIC Card.
Server MachinePentium IV processor 2.8 GHz, 512 MB RAM,80 GB HDD, NIC Card etc. / Any High-End Server Class Machine
Operating System: Windows that can support SQL version used.
Application Software:
Client SideOperating System : Windows 98 and above.Browser : Internet Explorer 6.0 and above
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Server SideOperating System : Windows 2003 ServerBrowser : Internet Explorer 6 and aboveWeb Server : IIS 6.0RDBMS : SQL Server 2005
Development Tools:Language: ASP.NetDatabase: SQL 2005
Performance: No noticeable delays in performance
Network Interface: Internet connectivity
Code Standards:Each code module fully documented using departmentalstandards. Avoid data redundancy by designing proper database.
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Activity Module Menu Sub Menu Screen Controls / Features
itor Login Login Page --- ----Verification of authenticated access
via User Name & Password
udit Data
EntryBranch Audit
Home --- Welcome Page
Audit
New Audit
Audit Form
Branch Details
Branch Profile
Business Risk
Annexure Entry
Report --- ---
Sign Out --- ---
ifier Login Login Page --- ----Verification of authenticated access
via User Name & Password
Audit
rification
Audit Data
Verification
Home --- Unverified & Unclear Transactions
Verify Audit
Search
Branch Name Search by Name of Branch
Audit Name Search by Audit Name
Report --- As required (Ref: 3.2)
Sign Out --- ---
inistrator
LoginLogin Page --- ---
Verification of authenticated access
via User Name & Password
ine Users&
Audit
rameters
User & Audit
Parameter
Creation
Administration
Parameter MasterDefining Parameters in Parent Child
Fashion
Parameter Value
Master
Defining Value and Weightage to
Parameters Created
User MasterCreating Users and Controlling Access
Rights
Audit Status AuditCurrent Audits Display Status of Current Audits
Verified Audits Show Verified Audits
ReportGeneration
ReportsAudit Reports
Display Region wise, Branch wise, etc
Audit Reports
Parameter Reports Display Parameter wise reports
ChangePassword
Change Password --- To Change Existing Password
Sign out --- ---
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Parameter Master
User Master
Branch Master
Audit Master
Audit Details Master
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Risk Category wise (EHR,
VHR, HR, MR, LR ) Parameter wiseRO wise
Risk Category wise (EHR,VHR, HR, MR, LR )
Parameter wiseZonewise
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Login Page Home Page
Audit Parameter Setting
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Parameter Master Parameter Search
Credit Operations Audit Verification Audit Reports
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New Audit Business Risk Audit
Edit Inspection Details Edit Audit
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RBIAMS is now operational in all branches of UBI
Helps to identify high risk areas
Enables control on a priority basis
Allocates quantitative metric to all evaluated
parameters based on extent of deviations
Holistic view of operational risk
Reduced process time to 1 day (8-10 days)
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Stand alonesystem
Enhancementin current user
interfacebased on user
reviews
Training AuditOfficials
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Project
documentation
TrainingSessions forDevelopers
Standardizationof developmentprocesses
Eg: Design, controls,logic, coding practices
Need of KMS
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