Banks Name

1. 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 ?