The Chronology of A Disaster - Jack Henry & Associates...Crisis Management Phase Tasks Provide...

The Chronology of A Disaster

Tom Williams

1

Thursday – February 25, 2016

1:00 – 2:00 Central Time

© 2015 Jack Henry & Associates, Inc.

Agenda

• The Business Continuity Plan Elements

• COPE – Centurion’s Business Continuity Planning

Software

• The Recovery Timeline

• Centurion Business Continuity Planning Services

• Q&A


Centurion Webinar Series

Webinar Name Date / Time

CELR for Core Director Thursday – March 24 - 1:00 CT

Disaster Avoidance – Always

On – Always Ready

Conducted on Tuesday –

February 23 (Recorded)


4

Why we need a Business Continuity / DR Plan


For our discussion today assume this is your bank

after the disaster that requires you to execute your

Business Continuity Plan.


6

How do you put all the pieces together after the

disaster?


The Major Components of a Business

Continuity Plan

PeopleEmployees

Customers

BCP / DR Teams

Vendors

Support organizations

Fire / Police

Utilities

Regulators

Plans / Procedures

Documentation

FacilitiesAlternate work areas

Repaired facilities

Recovery centers

Hospitals

Shelter areas

Mobile Recovery Units

Off-site storage facilities

TechnologySystems

Servers

Applications

Data

Telecommunications


Business Unit Recovery Team Plan - TOC

1. Team Information

1. BU Recovery Team - Recovery Organization Charts

2. Workspace & Equip. Summary - Facilities & Locations

2. Notifications

1. Personnel Notification Script - Business Unit Call List

2. Call List Team Leaders – External/Internal Notifications

3. Recovery Tasks

1. Recovery Phases – Recovery Tasks for Rec. Team

4. Business Impact Analysis Reports

5. Business Function Recovery Procedures

6. Recovery Forms

7. Appendix


Team members require training and testing

9


Business Continuity Teams

Business Unit Recovery Teams

FinanceTeam Leader

Alt. Team Leader

AdministrationTeam Leader

Alt. Team Leader

Information SystemsTeam Leader

Alt. Team Leader

Loan OperationsTeam Leader

Alt. Team Leader

Deposit OperationsTeam Leader

Alt. Team Leader

Bookkeeping Finance

Accounting eBankingAudit

Compliance

HR

Training

Marketing

Investments

Maintenance

Loan Analyst

Loan Processing

Commercial Lending

RE Mortgage

Deposit Operations

Retail Banking/Consumer Lending

ManagementTeam Leader

Alt. Team Leader

Crisis Management Team


11

Critical team members must protect their family

first


Communicating with Employees / Customers

Emergency Notification System - Everbridge

12


Physical Recovery Considerations -

Agility

• Branch Offices

• Work from Home

• Vendor Recovery Site

• Internal Recovery Site

• Mobile Recovery Unit

• Office/Remote Workspace

• Temporary Lease Facility


Equipment Recovery Considerations

• Store in advance

• Purchase when needed

• Drop Ship Service• Mainframe

• Servers

• Workstations

• Printers / Fax Machines

• Phones

• Routers / Switches

• Vendor provided at Recovery Site


15

COPE – Centurion’s On-Line Planning Expert

Business Continuity Planning Software Tool

• Based on Best Practices of the Financial and Business Continuity industry

• A web-based business continuity plan built on an SQL server platform utilizing a relational database

• Built by In-House by JHA software developers

• Fosters plan ownership at the business unit level

• Imports existing plans developed by Centurion

• Designed solely for financial institutions

• Access plans for planning purposes, testing, maintenance and plan execution from any web browser

• A more effective way to manage the business continuity plan over traditional methods

The Chronology of a Disaster

The Recovery Timeline

16


Typical Operating Environments

SCENARIO 1

• CORE: In-House

• SERVERS: In-House

SCENARIO 3

• CORE: In-House

• SERVERS: Outsourced

SCENARIO 2

• CORE: Outsourced


SCENARIO 4




Plan Execution Phases

Pre – Disaster Activity

Crisis Manage

ment Phase

Relocate Phase

Restore Operations

Phase

Rebuild Phase


Crisis Management Phase – Use the Crisis Management Plan Bu

sine

ss as Usu

al

Crisis Management Plan

Relocation Phase – Use Business Continuity Plan consisting of IT & BU Plans

I/T Disaster Recovery Plan

Recover Business Functions PhaseBusiness Unit

Recovery Plans Plans

Restoration Plan - Rebuild & Return Phase

19

Plan Execution Phases

Disaster Timeline


Plan Execution / Recovery Timeline

Crisis Management Phase

Relocate & Restore Phase

Recover Business

Functions Phase

Disaster


Evacuation & SafetyDamage AssessmentCommunicationsDisaster Declaration

NotificationsMobilizationRelocationRestore


Crisis Management PhaseRelocate &

Restore Phase

Recover Business

Functions Phase

Disaster


Emergency Management Plan for each location

• Notification List for Main and Branch Offices

• Policies

• General Emergency Policies

• Evacuation Policy

• Tasks

• Accounting for Personnel After a Disaster

• Reacting to a Disaster

• Evacuation Meeting Place per Facility / Department

• Disaster Scenarios

• In Case of Fire:

• In Case of Severe Thunderstorms/High Winds:

• In Case of Bomb Threat:

• Bomb Threat Report Form

• In Case of Equipment Failure:

• In Case of Suspicious Letters or Packages:

• In Case of Flood:

• In Case of Hurricane Watches/Warnings:

• In Case of Power Failure:


23

Crisis Management Phase Tasks

Provide safety and shelter for employees / customers. Provide medical assistance as required. Activate Business Continuity Plan

Declare official disaster with employees, customers, vendors, etc.

Shut off gas, water and other utilities. Secure vaults, cash drawers, etc. Power down and protect equipment. Perform damage assessment

Order fuel in advance for generator if applicable

Perform a system backup if applicable

Take employee / customer head count prior / after the event

Notify Human Resources and authorities of people not accounted for


24

Crisis Management Phase Tasks

Secure the facility. Establish a liaison to Interact with authorities as required. Establish Emergency Command Center for the bank.

Determine who is available to work and conduct initial status meeting. Assign initial tasks based on available resources

Communicate with key vendors, i.e. alarm company, recovery center, temporary workspace provider, telecommunications, regulatory agency, etc.

Secure critical documents, files, etc.

Salvage equipment as required

Establish communication protocol.

Update web site as required


Evacuation & SafetyNotificationsDamage AssessmentCommunicationsDisaster Declaration

MobilizationRelocationRestore




Recover Business

Functions Phase

Disaster


26

Relocate and Restore Phase Tasks

Retrieve critical resources, documents from off-site location

Set up alternate work locations; mobile trailer, internal recovery center, alternate workspace

Travel to alternate work locations. Set up security at alternate facility

Put signage on damaged facility

Re-establish communications between alternate data processing site and branches

Provide authorities and security staff with list of employees allowed to enter damaged facility

Notify vendors of alternate work address for deliveries. Redirect mail and courier deliveries


Restore Business Unit Functions & Processes using Business Unit Recovery Plans


Evacuation & SafetyDamage AssessmentCommunicationsDisaster Declaration

NotificationsMobilizationRelocationRestore



Recover Business

Functions Phase

Disaster


28

Recover Business Function Phase Tasks

Execute Business Unit Recovery Plans

Determine time needed to process backlog work

Reconstruct / Re-enter “Work in Process”

Implement business unit contingency strategies

Install salvaged equipment

Develop personnel work schedule

Update web-site and media sources


Rebuild & Return Phase

• Warnings / Public Information• Debris clearance, removal & disposal• Utilities & communications restoration• Temporary housing• Detailed building inspections


• Redevelopment planning• Environmental assessments• Demolition• Reconstruction• Hazard mitigation

Disaster



Recover Business Functions Phase


1st Segment

Evaluation and

DecisionDISASTER

DECISION

Time:

Actual: hrs

3.75 hrs

CONSOLIDATED

ACTION

PLAN

Duration: 1.0 hrs

Start: 3.75 hrs

Time:

Actual: hrs

ASSESSMENT

BRIEFING

Duration: 0.5 hrs

Start: 2.75 hrs

Time:

Actual: hrs

DAMAGE

ASSESSMENT

Duration: 1.0 hrs

Start: 1.75 hrs

Time:

Actual: hrs

INITIAL

BRIEFING

Duration: 0.25 hrs

Start: 1.5 hrs

Time:

Actual: hrs

Evaluation and Decision

NOTIFICATION

and

ASSEMBLY

Duration: 1.5 hrs

Start: 0.0 hrs

Time:

Actual: hrs

INITIAL

BRIEFING

Duration: 0.25 hrs

Start: 1.5 hrs

Time:

Actual: hrs

DAMAGE

ASSESSMENT

Duration: 1.0 hrs

Start: 1.75 hrs

Time

Actual: hrs

DAMAGE

ASSESSMENT

BRIEFING

Duration: 0.5 hrs

Start: 2.75 hrs

Time:

Actual: hrs

Duration: 1.0 hrs

Start: 3.75 hrs

CONSOLIDATED

ACTION

PLAN

Time:

Actual: hrs

DISASTER

DECISION

Time:

Actual: hrs

3.75 hrs

NOTIFICATION

and

ASSEMBLY

Duration: 1.5 hrs

Start: 0.0 hrs

Time:

Actual: hrs


2nd Segment

Briefing and LogisticsLOGISTICS

LOCAL

SITE

Duration: 0.75 hrs

Start: 2.75 hrs

Time:

Actual: hrs

LOGISTICS

REMOTE

SITE

Duration: 1.0 hrs

Start: 1.75 hrs

Time:

Actual: hrs

ASSIGNMENTS

and

BRIEFING

Duration: 1.5 hrs

Start: 17.5 hrs

Time:

Actual: hrs

Briefing and Logistics

NOTIFICATION

and

ASSEMBLY

Duration: 2.0 hrs

Start: 15.5 hrs

Time:

Actual: hrs

ASSIGNMENTS

and

BRIEFING

Duration: 1.5 hrs

Start: 17.5 hrs

Time:

Actual: hrs

LOGISTICS

REMOTE

SITE

Duration: 8.0 hrs

Start: 19.0 hrs

Time

Actual: hrs

NOTIFICATION

and

ASSEMBLY

Duration: 2.0 hrs

Start: 15.5 hrs

Time:

Actual: hrs

LOGISTICS

LOCAL

SITE

Duration: 5.0 hrs

Start: 22.0 hrs

Time

Actual: hrs


3rd Segment

Disaster RecoveryBEGIN

PROCESSING

Time:

Actual: hrs

XX.0 hrs

VERIFY

AVAILABILITY of

REQUIRED DATA

Duration: .0 hrs

Start: .0 hrs

Time:

Actual: hrs

INVENTORY

DOCUMENTATION

Duration: .0 hrs

Start: .0 hrs

Time:

Actual: hrs

INVENTORY

and VERIFY

EQUIPMENT

Duration: .0 hrs

Start: .0 hrs

Time:

Actual: hrs

Business Unit Disaster Recovery

INVENTORY

and VERIFY

EQUIPMENT

Duration: .0 hrs

Start: .0 hrs

Time:

Actual: hrs

INVENTORY

DOCUMENTATION

Duration: .0 hrs

Start: .0 hrs

Time:

Actual: hrs

VERIFY

AVAILABILITY of

REQUIRED DATA

Duration: .0 hrs

Start: .0 hrs

Time

Actual: hrs

BEGIN

PROCESSING

Time:

Actual: hrs

XX.0 hrs


3rd Segment

Disaster RecoveryEND USER

RESTORATION

Time:

Actual: hrs

XX.0 hrs

TELCOM

ACTIVATION

Recovery Window 1

Duration: .0 hrs

Start: 4.0 hrs

Time:

Actual: hrs

DATA

RESTORATION

Duration: 1.0 hrs

Start: .0 hrs

Time:

Actual: hrs

OPERATING

ENVIRONMENT

RESTORATION

Duration: .0 hrs

Start:.0 hrs

Time:

Actual: hrs

Data Center Disaster Recovery

OPERATING

ENVIRONMENT

RESTORATION

Duration: .0 hrs

Start:.0 hrs

Time:

Actual: hrs

DATA

RESTORATION

Duration:.0 hrs

Start:.0 hrs

Time:

Actual: hrs

TELCOM

ACTIVATIONRecovery Window 1

Duration: /hrs

Start: .0 hrs

Time

Actual: hrs

END USER

RESTORATION

Time:

Actual: hrs

XX.0 hrs


Event Occurs

Declare Disaster

Assess and

Report Damage

Safe Zone

Crisis Mgmt Team Leader

Escalation Process

Activate

Hot Site(s)

Begin Salvage

Mobilize Recovery

Teams

Begin Media

Relations /

Press Release

Activate Alt

Workspace(s)

Relocate Staff To

Alt Workspace

Restore System

Applications

Restore

Telecommunications

Restore Item

Capture

Activate Recreation

Procedures - WIP

Restore Data

Processing

Activate Manual

Procedures

Begin

Restoration

Of Affected Site

Prepare to

Re-occupy Primary

Site

Activate Command

Center

Conduct Crisis

Mgmt Status Meetings

Restore Data

Setup Alt

Workspace(s)

(Crisis Mgmt Team)

Conduct Bus Unit

Status Meeting

Travel to

Hot Site

(I/S Team)

Activate Administrative Team

Activate Damage Assessment Team

Activate Management Team

Activate I/S Team

Plan Execution Process

Stabilize

Environment


Centurion Disaster Recovery Services


Disaster Recovery Environments

SCENARIO 1

• CORE: In-House


SCENARIO 2



SCENARIO 4



CENTURION SOLUTION High Availability (HA) – CHHA

Server Replication - CELR – HNS

Colocation in Branson Mountain

CENTURION SOLUTION Remote Data Entry (RDE)

Server Replication - CELR - HNS


CENTURION SOLUTION Remote Data Entry (RDE)

HNS

Colocation at Branson Mountain

SCENARIO 3

• CORE: In-House


CENTURION SOLUTION High Availability - CHHA

Server Replication CELR - HNS



Business Continuity Plan Assessment

Plan Elements In Plan Not In

Plan

Comments

Emergency / Evacuation Plan

Succession Plan – Escalation Plan

Alternate Work Locations Identified

Business Impact Analysis Conducted

Recovery strategies in place to restore critical

functions

Recovery Timeline Identified

Critical Documentation Identified

Resource Requirements Identified per

business function

Risk Assessment-Risks Identified and

Prioritized



Plan Elements In Plan Not In

Plan

Comments

Media Spokesperson Identified

Command Center Identified

Plans per department with specific information

for that team?

Designated employee call list documented

Manual Procedures Documented

Notification List – External Contacts

Notification List – Internal Contacts

Recovery Teams Identified

Recovery Tasks Identified for Personnel

Critical forms identified



Plan Elements In

Plan

Not In

Plan

Comments

Core Processing System (Software)

Recovery Strategy / Procedures in place

Win Servers Recovery Strategies in place

Telecommunication Recovery Strategies

Electronic interface recovery strategies i.e.,

Internet, voice response,

Vital Records Recovery Strategy

Plan Testing Strategy

Evacuation Drills

Hot Site Test

Recovery Team Exercises

Plan Maintenance Program in place


40

Questions & Answers


Contact Information

• Tom Williams

• Centurion Business Continuity Strategy Manager

• 800-299-4411

• [email protected]

mailto:[email protected]

The Chronology of A Disaster - Jack Henry & Associates...Crisis Management Phase Tasks Provide...

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