Business Continuity Management January 2011

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Jonah Mosley
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1 Business Continuity Management January 2011

2 Agenda 1. Continuity Management Continuity Vision Progress 2. Continuity Management Definitions Corporate Governance Tactical Focus 3. Processes BCP DRP+CMP 4. Methodology 5. Tests Plan

3 Continuity Management Vision 1. The Operational Continuity is a strategic focus for the development of the company. 2. It is a goal that...it is the last component of the financial system which is ceasing to operate..., 3. Protect the life and physical integrity of the collaborators of the company and the people present in the company premises at the moment of an adverse event. 3

It is a goal that...it is the last component of the financial system which is ceasing to operate.

4 Continuity Management Progress DCV Progress BCM Progress Creation of DCV Records Dematerialization Custody and Record of IRF Transactions Creation of DCV Custody and Record of IRV Transactions Custody and Record of IIF Transactions Contingency procedure tests Start of efforts toward operational continuity Contingency Plan for all resources and critical provisions Y2K Plan Business Continuity Plan (BCP) New Methodology. Function is created. BCP Updating and Maintenance DVP, FLI Operations Reformulation toward a BCMS (Business Continuity Management System) Intraday Clearing House DRP + CMP are incorporated. (Recovery Plan before Disasters and Crisis Management) BCP homologates Risk Methodology B S Standard is published Production sites transferred to TIER III. Division of offices in two buildings. 4

Continuity Plan (BCP) New Methodology. Function is created.

5 Agenda 1. Continuity Management Continuity Vision Progress 2. Continuity Management Definitions Corporate Governance Tactical Focus 3. Processes BCP DRP+CMP 4. Methodology 5. Tests Plan

6 Continuity Management Definitions 1. DCV pledge to comply with the Law governing it 2. The services that DCV offers its users cannot be conceived without the availability of the computer systems built to that end. 3. Duplicate any component classified as essential for the operational continuity of DCV. 6

The services that DCV offers its users cannot be conceived without the

7 Continuity Management Corporate Governance Board BUSINESS CONTINUITY MANAGEMENT IT Committee Audit and Risk Committee Operational Continuity Plan Recovery Before Disasters and Crisis Management Process Owners Crisis Management Risk Management Support to people Recuperación Technologies de Tecnologías Recovery Facilities Recovery Information Security Operational Risk Standard Communications Business Continuity 7

Owners Crisis Management Risk Management Support to people Recuperación Technologies de Tecnologías

8 Continuity Management Tactical Focus An operational and technological structure is included: Operational Aspects Administrative offices backup. Buildings (Burgos-Huérfanos). Any essential function must be duplicated. HR backup. Technological Aspects The methodology applied gives origin to the Business Continuity Plan, which adds a series of solutions, projects, initiatives and procedures to respond to continuity scenarios. Distribution of production sites toward TIER III category housing. Any essential component must be duplicated. Continuity Plan Procedures Burgos Huérfanos Offices HR Duplicated components IT Prod. 1 Prod. 2 Sites 8

Technological Aspects The methodology applied gives origin to the Business Continuity Plan, which adds a series of solutions, projects, initiatives and

9 Agenda 1. Continuity Management Continuity Vision Progress 2. Continuity Management Definitions Corporate Governance Tactical Focus 3. Processes BCP DRP+CMP 4. Methodology 5. Tests Plan

10 Business Continuity Management State of Progress Projects Operational Continuity Progress End date Updating and improvement process of BCP 100% Sep-2010 Impact Analysis (BIA) 100% Jun-2010 Incorporation of new answers 100% Sep-2010 Strategic Suppliers 100% Jun-2010 Disaster and crisis Plan DRP+CMP 100% Nov-2010 Plan Development 100% Dec-2009 Personnel training 100% May-2010 Test (simulation) 100% Sep-2010 Final Updating 100% Nov-2010 Finished Finished 10

Sep-2010 Strategic Suppliers 100% Jun-2010 Disaster and crisis Plan DRP+CMP 100% Nov-2010 Plan Development 100%

11 Continuity Management DRP+CMP Organizational and functional Structure Facing a Major Incident it is necessary to count with a specialized organization formed by several Committees that execute specific structured tasks. Security of Information Official Finance and Planning Manager Head of Operational Risk Recovery Before Disasters and Crisis Management Committee Business Continuity Official External Risk Consultants and BCM Spokesman Crisis Management Committee (CMC) Facilities Recovery Committee (CRI) Support to Personnel Committee (CAP) Recovery Committee TICs (CRT) Standard Communications Committee (CCE) 11

Security of Information Official Finance and Planning Manager Head of Operational Risk Recovery Before Disasters and Crisis Management Committee Business

12 Continuity Management DRP+CMP Main Activities Training Alternative Communication Emergency Kit Evacuation Plan Simulations Training Committee Members. Floor leaders Program. Instructions to all Personnel. Increased allocation of radio frequency equipment. Incorporation of new technology equipment Nextel. Equipment is strengthened for floor leaders. Helmets for all personnel. Better operational plan of evacuation based on drawings and videos. Improvement of escape routes. Execution of Simulation that activated the Disaster Recovery Plan (DRP) and Crisis Management Plan (CMP). Suppliers Induction. 12

Incorporation of new technology equipment Nextel. Equipment is strengthened for floor leaders. Helmets for all personnel.

13 Agenda 1. Continuity Management Continuity Vision Progress 2. Continuity Management Definitions Corporate Governance Tactical Focus 3. Processes BCP DRP+CMP 4. Methodology 5. Tests Plan

14 Continuity Plan Methodology. Tactical Plan BUSINESS CRITICAL PROCESS IDENTIFICATION (Priority, objective periods, frequencies, components reliance) IDENTIFICATION OF COMPONENTS (Critical nature, Classification: buildings, HR, IT) Determination of Intrinsic Impact IDENTIFICATION OF ADVERSE SCENARIOS CAUSING BUSINESS IMPACT IDENTIFICATION OF THREATS (Classification: natural, IT, etc) BIA BCP GENERATION OF ANSWERS (Characteristics Effectiveness Efficiency) Determination of Residual Impact DETERMINATION OF COVERAGE (Processes, scenarios, components) BCP Qualitative Vision of improvement proposals Generation of improvement proposals 14

nature, Classification: buildings, HR, IT) Determination of Intrinsic Impact IDENTIFICATION OF ADVERSE SCENARIOS CAUSING BUSINESS IMPACT IDENTIFICATION OF

15 Agenda 1. Continuity Management Continuity Vision Progress 2. Continuity Management Definitions Corporate Governance Tactical Focus 3. Processes BCP DRP+CMP 4. Methodology 5. Tests Plan

16 Continuity Management Test Plan - Indicators 1. Test Plan Coverage. Tests Plan Level of Compliance 100% 90% Covered 2. Cobertura de escenarios 0% 9% 18% 28% 80% 47% 56% 70% 76% 60% 85% 93% 50% 100% 91% 40% 82% 72% 30% 53% 44% 20% 24% 10% 15% 7% 0% Apr May Jun Jul Aug Sep Oct Nov Dec 0% Not Covered 100% Significant performed tests. The following summary corresponds to the most significant tests executed: Production Site Alternation (8 programmed). Absent Personnel backup. Evacuation Plan. Alternative backup offices. Power Cut Tests for environmental controls (water, air conditioning). Integral Test that affects critical components simultaneously (DRP+CMP). Covered Note: Situation at December 2010 Not Covered 16

100% Significant performed tests. The following summary corresponds to the most significant tests executed: Production Site Alternation (8 programmed). Absent Personnel backup.

17 Business Continuity Management January 2011

Business Continuity Management. February 2013

Business Continuity Management February 2013 INDEX Strategic Vision SGCN Policy Vision Progress Objectives Main definitions Corporate Governance Business Impact Analysis (BIA) Strategies Audits and specific