Business Continuity Management. A Presentation to APRC IOSCO Annual Conference Seoul, Korea 15 Oct 2003

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1 Business Continuity Management A Presentation to APRC IOSCO Annual Conference Seoul, Korea 15 Oct 2003

2 Those Were the Days: Changing Risk Landscape Pre-Y2K Y2K Post-Y2K Fire, system outage Single building outage Within organization Large scale outage Wide-spread zonal disruption Interconnectivities

3 Stand By Me: Interdependency External Infrastructure Power Utilities Telecommunications Emergency Response Services Public Transportation Financial Services Industry Infrastructure Clearing Houses Regulatory Bodies Exchanges Vendors Service Providers Counterparties Internal Operations & Infrastructure Systems & Applications Vital Records Facilities & Equipment People Networks Processes

4 A Name I Call Myself: Definitions Business Continuity Management (BCM): Over-arching framework that includes policies, standards and procedures which provide for continuous functioning during operational disruptions Business Continuity Plan (BCP): Procedures to carry out BCM

5 Bridge over Troubled Water: Phased Approach MAS conducted survey with key institutions to assess their readiness MAS issued consultation paper on principles for BCM for financial institutions Received comments from 80 financial institutions, associations, and utilities MAS issued final guidelines on business continuity management principles Oct 02 Jan 03 Jun 03

6 Follow Me: BCM Principles 1. Board and management should take responsibility for the BCP preparedness of their institution. 2. Institutions should embed BCP into their business-as-usual operations, incorporating sound BCP practices. 3. Institutions should test their BCP regularly, completely and meaningfully. 4. Institutions should develop recovery strategies and set recovery time objectives for critical business functions. 5. Institutions should understand and appropriately mitigate interdependency risks of critical business functions. 6. Institutions should plan for wide area (zonal) disruptions. 7. Institutions should practice separation policy to mitigate concentration risk

7 Gambler s Blues: Securities & Futures Sector All capital market services licensees should adopt BCM The level and complexity of BCP should be commensurate with nature, scale and complexity of business activities BCP should be regularly reviewed Notify MAS when BCP is activated

8 From the Inside: MAS BCP Committees Crisis Management Team (CMT) Crisis Alert Team Staff Functions Staff Liaison Team Communications/ Public Confidence Team Secretariat Team Line Functions Monetary Stability & Investments MEPS Financial Sector Stability & Oversight Administration Team Corporate Functions Recovery

9 Yellow Brick Road: Recovery Procedures Crisis Occurs CMT declares crisis and activates recovery actions During Office Hours? Yes Evacuation? No No SFD BCP Team is alerted and call tree activated

10 Yellow Brick Road: Recovery Procedures Evacuation In accordance with fire evacuation plan Go to recovery site? Yes Core team proceeds to recovery site No Initiate recovery strategies

11 Glad to See You Go: Experience with SARS Separation policy was key Segregation of staff at same location Rotation of staff between office and home Activation of back up site Temperature-taking for staff and visitors Clear and timely communication was necessary

12 Testing 3-2-1: Next Steps Scenario testing Keeping pace with the changing operational risk landscape Part of routine inspection program

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