BPCE NATIXIS SA France Entity

(with support of Outsourcing office)

ISS-BC correspondent
Natixis Committee

Entity committee
BPCE Committee

Business Lines

Procurement
Natixis OKFH
BPCE Achats

Compliance

Compliance
BPCE OKFH

Local OKFH
Oversight

Oversight
Risk Op

Risk Op
ISS-BC

Legal

Legal
Phase Macro task

Develop Group Outsourcing Policy

Define the Group Outsourcing Policy and communicate to the Entities for application. C C I RA - - - - - - - - -
Develop APAC Outsourcing
Procedures Develop and maintain the APAC Outsourcing Procedures including relevant processes
to guide users to comply with the local and EBA regulatory requirements. - - - C - - I - - - C I C C A C R C I
Countries can develop DD Checklist to address local requirements as country annex.

Manage the APAC Outsourcing Complete the Governance Review for Outsourcing arrangements with Internal and
Governance Process - - - - - - - - C I R - - - C - C C RA
External Service Providers
Manage the APAC OC (Quaterly) Responsible to develop the Terms of Reference of the OC, schedule and record the - - - I - - - - I I R C - - A - R I C
minutes.
Collect data on potential Collect and Check contract information from BL and Harmoni, and update the
Outsourcing scope C - - RA - - - - I - C C - - C C C - -
Outsourcing List as appropriate

Outsourcing & PECI qualification Fill in the ‘Outsourcing questionnaire' - - - C - - - - - - I RA - - C C C - -

Complete the Risk Assessment for all Outsourcing arrangements - - - C - - - - - - C RA - - C C C C -

Risk assessment
Consolidate and challenge the feeding of the risk assessment matrix by experts and BL C - - RA - - - - I - RA C C C C C C C -

Matrix Feeding ( dedicated part for each contributor) RA - - - - - - - - - I RA RA RA RA RA I C -

Due Diligence Complete the Due Diligence for all Outsourcing arrangements (Refer to Due Diligence - - - - - - - - I - C RA C C C C C - I
Checklist).

Review and record the Due Diligence Checklist - - - - - - - - I RA - - - - - C C I

Risk assessment support preparation (PPT) - - - R - - - - C - I RA - - - - CI C I
Risk assessment presentation - R - - - - C - I RA - - - - CI - I
Decision / validation Decision at Ordering Department Committee level - - - C - - - - - - C R - - - - C C A
Decision at Natixis Outsourcing Committee level - I - C - - - C R A C R - - - C R C -
Decision at BPCE Outsourcing Committee level - R A C - - - C R - C I - - - C R C -
=> If contract validated at Natixis Outsourcing Committee level :
On critical contracts : Collect data, analyse contract and propose adapted clauses (exit I - - - - - - C I - I C C C C RA I C -
clause, …)
Legal review
=> If contract validated at BPCE Outsourcing Committee level :
On critical contracts : Collect data, analyse contract and propose adapted clauses (exit C I I - - - - C I - I C C C C RA I C -
clause, …)
=> If contract validated at Natixis Outsourcing Committee level :
On critical contracts : Finalization of the contract renewal after application of decision I - - I - - - C I - I RA C C C C I C -
committee requirements and additional details on operational appendix
Contractualization
=> If contract validated at BPCE Outsourcing Committee level :
On critical contracts : Finalization of the contract renewal after application of decision C I I I - - - C I - I RA C C C C I C -
committee requirements and additional details on operational appendix

Provide the data requested for the register - I - I - - - - I - C RA C C C C I I -

Register management
Coordinate and consolidate the Register data collected from BL, experts and providers - I - RA - - - - I - RA C C C C C I C -

Build and monitor indicators for outsourcing monitoring - I - RA - - - - I I RA C C C C C I C -

Complete the Governance Review for Outsourcing arrangements with External Service C
- I - - - - - - I - RA - - - - C C I
Monitoring Providers

- I - - - - - I - C RA - - - I C I
Outsourcing CPN Control (Monthly)

Report significant Non-Compliance to EBA - I - RA - - - - I I I RA - - A - A - I

Reporting Non-Compliance
Report significant Non-Compliance to Local regulators - I - I I C RA I I A I A I I

#C2 - Inte rnal Na tixis