Business Continuity Planning Booklet - March 2003
FFIEC IT Examination Handbook Page E-7
• Maintenance of data file listings, their contents, and locations;
• Hardware, software, and network configuration documentation;
• Controls to minimize the risks involved in the transfer of back-up data, whether by
electronic link or through the physical transportation of diskettes and tapes to and
from the storage site; and
• Controls to ensure data integrity, client confidentiality, and the physical security of
hardcopy output, media, and hardware.
OFF-SITE STORAGE
The off-site storage location should be environmentally controlled and secure, with
procedures for restricting physical access to authorized personnel. Moreover, the off-site
premises should be an adequate distance from the computer operations location so that
both locations will not be impacted by the same event. Beyond a copy of the BCP,
duplicate copies of all necessary procedures, including end of day, end of month, end of
quarter, and procedures covering relatively rare and unique issues should be stored at the
offsite locations. Another alternative to consider would be to place the critical
information on a secure shared network drive, with the data backed up during regularly
scheduled network back-up. However, this shared drive should be in a different physical
location that would not be affected by the same disruption. Management needs to
maintain a certain level of non-networked (e.g., hardcopy) material in the event that the
network environment is not available for a period of time.
Reserve supplies, such as forms, manuals, letterhead, etc., should also be maintained in
appropriate quantities at an off-site location and management should maintain a current
inventory of what is held in the reserve supply.
FACILITIES
The BCP should address site relocation for short-, medium- and long-term disaster and
disruption scenarios. Continuity planning for recovery facilities should consider location,
size, capacity (computer and telecommunications), and required amenities necessary to
recover the level of service required by the critical business functions. This includes
planning for workspace, telephones, workstations, network connectivity, etc. When
determining an alternate processing site, management should consider scalability, in the
event a long-term disaster becomes a reality. Additionally, during the recovery period,
the BCP should be reassessed to determine if tertiary plans are warranted. Procedures to
utilize at the recovery location should be developed. In addition, any files, input work, or
specific forms, etc., needed at the back-up site should be specified in the written plan.
The plan should include logistical procedures for moving personnel to the recovery
location, in addition to steps to obtain the materials (media, documentation, supplies, etc.)