Crisis Management System

Case Management: automation and flexibility for crisismanagement processes

Fabio Pozzobon – Group Business Continuity & Crisis Management

Milan, November 8th, 2012

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Employees: almost 158,000*

Branches: 9,398*

Banking operations

in 22 countries

International network spanning:

~ 50 countries

Global player in asset management: € 153.9 bn

in managed assets*

Market leader in Central end EasternEurope leveraging on the region’sstructural strengths

* Source: UniCredit Company Profile, data as at June 30, 2012

UniCredit – at a glance

The objective of the Business Continuity is to ensure the continuity ofessential processes to a predefined acceptable service level in case ofdisaster

Premisesinaccessibility

Critical Resourcesunavailability

Information Systemunavailability

Infrastructuralservices interruption

Documentation andspecific equipm. loss

ITALY

BLACK OUT

(Sep. 2003)

BLACKBERRY

BLACK OUT

(Oct. 2011)

GAS SUPPLYING

(Feb. 2012)

TSUNAMI(Dec. 2004)

ICELANDVULCANICERUPTION

(Mar. 2010)

TSUNAMIJAPAN

(Mar..11)

ATTACKS to NEW YORK

(Sep. 2001)

LONDON

(Jul. 2005)

MOSCOW

(Mar. 2010, Jan. 2011)

EARTHQUAKE L’AQUILA

(Apr.l 2009)

EARTHQUAKE JAPAN(Mar. 11)

EARTHQUAKE Emilia

(May. 12)

HURRICANEKATRINA

(Aug. 2005)

HURRICANEIRENE

(Aug. 2011)

HURRICANESANDY

(Oct. 2012)

SARS

(Feb. 2003)

FLUE H1N1

(2009)

JAPANNUCLEARDISASTER(Mar. 2011)

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Fragmented

Integrated

Resilient

The evolution of BC is to extends the boundaries of protection frombeyond unexpected events and disasters to include any changes fromnormal business activities.

4

Recovery of some assets

Preparation for big event

Capability to bealways “on the see”

Proactively manages smalldisruptions to prevent a disaster

Reacts after a disastrousevent occurs

5

Proactive andtimely response

SHORTDECISION CHAIN

Awareness andTop Management

involvment

Knowledge andinfo sharing/ integratoin

Crisis eventsMonitoring -

Early warnings andescalation levels

PreventivePreparation +

Adaptive Capacity

Efficientcommunications

Media, Customers,Stakeholders

• Building• Local area• Metropholitan area• City• Region• Country

Distruzione oInaccessibilitàdei locali

MeteorologicoTromba d’aria, uragano,gelo, tempesta di neve

VulcanicoEruzione vulcanica

IndustrialeContaminazione,esplosione,incidente

Ordine pubblicoGuerra, terrorismo,sabotaggio

IdrogeologicoInondazione,smottamento,frana, terremoto

Indisponibilità delpersonaleessenziale

SanitarioEs: epidemia,malattia

SocialeEs: sciopero,azionisindacali,licenziamento

TrasportiEs: blocco deitrasporti pubblicie/o privati

Interruzionedel sistemainformativo

GuastoRottura asistemi/retiaziendali

BloccoFermoapplicazioni

SicurezzaHacking, virus

Perdita didocumentazione odotazione specifica

IsolamentoEs: servizi ditelecomunicazione

EnergeticoEs: erogazione gas/acqua,razionamento combustibili(benzina/cherosene)

Interruzione deiserviziinfrastrutturali

BlackoutEs: erogazioneenergia elettrica

CondizionamentoEs: interruzionecondizionamento e/oriscaldamento

Eventi naturaliEs. allagamenti,incendi e furti

Azione umanaFurto

SCENARIOS

Infrastructure

IT PRoblems

Terrorism

Earthquake

Hurricane

Floodings

Ice

TYPOLOGY

LegalEntity

Subholding

Holding

LegalEntity

Subholding

Holding

ORGANIZATION

Local

CrossCompany

Systemic

Local

CrossCompany

Systemic

PERIMETER

Pamdemic

GEOGRAPHYASSET

CRISIS/ EMERGENCIESCRISIS/ EMERGENCIES

PROCESSES

PROCESSES

BUILDING

PEOPLE

IT

PROCESSES

PROCESSES

PROCESSES

BUILDING

PEOPLE

IT

PROCESSES

Dimensions of crisis & key elements to keep in mind

Mobile

Hardware

Processes

Connectivity

External sources integration

Information / Communication Management

UniCredit DB

Software

CMS

People

6

CMS to support Resilience with adaptive approachSynergic integration of hardware, software, processes and people

1°release2012

EventsIntegrator

Internal Events

Assessment

Dashboard (and dinamic browsing)

Reporting and Log

CrisisManagement

GISTool

External Events

1. Handle upcoming events/threats;

2. Managing and monitoring crisis

3. Evaluating the risk of an event onthe Group assets

4. Performing the impactsassessment on the Group assets

5. Managing response actions

6. Managing the communication flow

7. Developing reports

OBJECTIVES

7

Crisis Management System projectOverall objectives and scope

Advanced casemanagement

●Modeling of complex scenarios

Extensible object-model

Event-based processing

Role-based assignment

Adaptability of logical sequences

Discretionary activities

Refinable: versions, history

Mix of system & user-based tasks

Automatic triggers: events or time-based

Disparate data aggregation

On-the-glass (widget, mashup)

Simplified data entry

Historical data

Collaboration

Integrated instant messaging

Shared view of data & documents

Mobile-ready

Required Functionalities

8

Workflow Monitoring &Analytics

Collaboration& Social SW

RulesContent IntegrationEvents

Case Design

Models Templates Solutions

Case Runtime

Context 360o View History

Case Analytics

Structured UnstructuredReal time Persisted

Case InfrastructureCase Object

ModelsTask Object

ModelCase APIs Case Analytics

Data StoreSolution

Constructs

IBM Case Manager

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Earthquake5.9 Rich.magnitudeMantua - Medolla

Flow offeedback

9:00 a.m.9:00 a.m. 3:00 p.m.3:00 p.m.

- Alarm received

- Firstassessment

- Reporting

- Spreading ofinfo to relevantactors

- Collection offeedback fromrelevant actors

- Assessmentupdating

- First disclosurestatement

- Reaction toaftershocks

- BranchesEvacuation

- Adoption ofresponseactions towards:

- People,- Premises- Business- Communica

tions

41 2 3

13:00 a.m.13:00 a.m.10:00 a.m.10:00 a.m.

Aftershocksongoing

- Definition ofbackupbranches

- Activation ofBranch van

5

30/05 10:00 a.m.30/05 10:00 a.m.

Prescriptionof CivilDefense

Responseactionsneeded

- Re-runassessment on:

- People- Premises- Business- …

- Disclosurestatement

6

Aftershocks 5.1Novi Concordia

29/05 3:00 p.m.3:00 p.m.

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INTERNAL USE ONLY

Case Study: Northern Italy’s earthquake (Emilia 2012)