1. Business Continuity Plan Training
Banks Name
Business Continuity Plan Training

2. General Information What is a Business Continuity Plan?
Business Continuity Plan (BCP)
A plan created to restore critical functions after a disaster
A plan that allows the institution to recover from a variety of disaster
A plan that outlines all the critical functions of an institution

3. General Information Clarification of the term BCP is referred to as a
Business Continuity Plan
Business Continuation Plan
Disaster Recovery Plan
The plans purpose is to allow recovery from a variety of disasters; both BIG and small

4. General Information Stages of Plan Development Threat Analysis
Risk Assessment
Business Impact Analysis
Critical Business Processes
Team Plans
Training
Testing

5. Plan Development Threat Analysis
Categorize threats by natural, man-made, political, and technological threats.
What are the internal and external threats that each location of the institution faces?
What controls are in place to mitigate these threats?
Are there areas where we can improve or mitigate the threat further?

6. Plan Development Risk Assessment Identify all institution assets
Hardware
Software
Business Processes; New Accounts, Lending, Operations, etc
Identify vendors related to assets
Determine controls in place to recover asset
Identify resources required to recover assets

7. Plan Development Risk Assessment
Determine RPO (Recovery Point Objective)
The point in time that the data needs to be recovered from; i.e. EOD, EOM, Last Transmission, etc.
Determine RTO (Recovery Time Objective)
The length of time that the asset needs to be recovered; i.e. 4 hours, 24 hours, 48 hours, etc.
Risk Rating
Determine a risk rating for each asset; i.e. Low, Medium, High

8. Plan Development Business Impact Analysis
Determine the financial impact of non-recovery of assets or department functions
Determine the impact of non-recovery of assets on:
Reputation
Operating Efficiency
Customer Service
Legal Requirements
Fraud
Unmanageable Backlogs

9. Plan Development Critical Business Processes
Based on Threat Analysis, Risk Assessment, and Business Impact Analysis a list of critical business processes was developed
This list is used as a “roadmap” for the institution’s recovery process

10. Plan Development Team Plans
Team plans were created to recover as efficiently as possible
Teams are:
Crisis Management
Administrative
Operations
Facilities
Information Technology
Lending
Retail Banking

11. Plan Development Training All employees will receive training on:
Overall BCP recovery efforts
Emergency procedures
Overall training will be done annually
New employees will receive initial training

12. Plan Development Testing A BCP is not possible without testing
Testing proves recovery strategies
Failed tests are not a failure of the plan, but rather and opportunity to improve the plan and recovery process
Testing is done annually on critical business processes

13. Plan Structure Team Plan Breakdown
Crisis Management Team – Responsibilities
Safety and care of staff and/or customers
Evacuation
Assess damage
Coordinate recovery process
Activate BCP

14. Plan Structure Team Plan Breakdown
Administrative Recovery Team – Responsibilities
Executive notification
Handling media
Notification of insurance, attorneys, landlord
Manage information release to customers
Purchasing
Human Resources
Accounts payable and receivable

15. Plan Structure Team Plan Breakdown
Operations Recovery Team – Responsibilities
Restore bank operations
Wire transfers
Electronic banking
ACH
Website
Remote deposit
Data processing

16. Plan Structure Team Plan Breakdown
Facilities Recovery Team – Responsibilities
Securing facility and assets
Assessing damage
Preserving/restoring paper documents
Working with contractors for reconstruction
Managing facility construction

17. Plan Structure Team Plan Breakdown
Information Technology Recovery Team – Responsibilities
Assess damage
Recover data
Recover systems
Establish communications and connectivity
Rebuild network infrastructure

18. Plan Structure Team Plan Breakdown
Lending Recovery Team – Responsibilities
Assess damage
Service customer base
Communicate with key customers
Assist in recovery of lending operations

19. Plan Structure Team Plan Breakdown
Retail Banking Recovery Team – Responsibilities
Assess damage
Service customer base
Communicate with key customers
Assist in recovery of retail banking operations
Assist in recovery of teller operations

20. Employee Assignment All employees part of recovery
Each team has members that will develop plans
Not every employee is assigned to a team
If you are not assigned to a team you will be notified of where you are needed at the time of the disaster
Every employee is a vital part of the recovery

21. Plan Maintenance Business Continuity Plans are NEVER done!
BCP’s are living documents that require constant attention and updating
Team Leaders will work to keep team plans up to date
Annual testing will help identify plan deficiencies
Annual updates will help keep the plan information up to date
Employee contact information
Recovery strategies
Vendor information

22. Questions ?