October 24, 2007

FBIIC/FSSCC Pandemic Flu Exercise

Media Briefing

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FBIIC/FSSCC Pandemic Flu Exercise of 2007
From September 24 through October 12, the Financial Banking Information Infrastructure Committee (FBIIC) and the Financial Services Sector Coordinating Council (FSSCC) conducted a pandemic flu exercise for the financial services sector in the United States A total of 2775 organizations registered for the exercise Exercise objectives: 1.Enhance the understanding of systemic risks to the sector 2.Provide an opportunity for firms to test their pandemic plans 3.Examine how the effect of a pandemic flu on other critical infrastructures will impact the financial services sector

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Distribution of Exercise Registrants
This chart shows the sectors in which the registrants conduct their primary business. Registrants were asked to check all that apply.
Regulators 1% Industry Associations 1% Other Utilities 2% Insurance Companies 11% Banks/Credit Unions Securities Firms Insurance Companies Other Utilities Industry Associations Regulators Securities Firms 23%

Banks/Credit Unions 62%
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Geographic Distribution of Exercise Registrants
This chart shows the geographic areas in which the registrants conduct their primary business. Registrants were asked to check all that apply.
West 13% Northeast 18%

Northeast
Mountain 8% Mid-Atlantic 11%

Mid-Atlantic South Southwest Mid-West Mountain West

Mid-West 21% South 16% Southwest 13%
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Employee Numbers
25,000 - 50,000 2% 10,000 - 25,000 2% 5,000 - 10,000 2% 1,000 - 5,000 8% 500 - 1,000 6% 50,000 - 100,000 1% Over 100,000 0.4%

Less than 250 250 - 500 500 - 1,000 1,000 - 5,000 5,000 - 10,000 10,000 - 25,000 25,000 - 50,000 50,000 - 100,000 Over 100,000
Less than 250 69%

250 - 500 10%

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Revenue
50 - 100 Billion 1% 1 - 50 Billion 9% 500 - 1 Billion 4%

Over 100 Billion 1%

Less than 100 Million 100 - 500 Million 500 - 1 Billion 1 - 50 Billion 50 - 100 Billion Over 100 Billion

100 - 500 Million 14%

Less than 100 Million 71%

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Does your organization have business continuity plans for a pandemic?
70.0 60.0 Percentage of Respondents 50.0 40.0 30.0 20.0 10.0 0.0 No Response Options Yes 36.1 63.9

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Does your organization have Human Resources (HR) pandemic policies/plans designed to meet the needs of your workforce during a pandemic?
70.0 60.0 Percentage of Respondents 58.0

50.0 42.0 40.0 30.0 20.0

10.0 0.0 No Response Options Yes

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Based on lessons learned from the exercise, how effective are your organization’s business continuity plans for a pandemic?
60.0 50.0 40.0 30.0 20.0 11.7 10.0 3.8 0.4 0.0 Not at all Minimally Moderately Response Options
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56.2

Percentage of Respondents

28

Very

N/A

Did the exercise allow your organization to identify critical dependencies, gaps, and seams that warrant additional attention?
100.0 Percentage of Respondents 90.0 80.0 70.0 60.0 50.0 40.0 30.0 20.0 10.0 0.0 No Response Options Yes 3.1 96.9

Note: Dependencies may include telecommunications, energy, transportation, information technology, and other service providers

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Will your organization initiate additional all-hazard plan refinement based upon your organization’s lessons learned during the exercise?
100.0 90.0 Percentage of Respondents 80.0 70.0 60.0 50.0 40.0 30.0 20.0 10.0 0.0 No Response Options Yes 8.9 91.1

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How significantly has the closing of all schools affected your organization?
40.0 35.7 35.0 Percentage of Respondents 30.0 25.0 20.5 20.0 15.0 10.0 5.0 0.1 0.0 Little to no impact Some impact Moderate Significant Unable to impact impact operate Response Options N/A 0.6 6.6 36.4

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What steps is your organization taking to ensure that it is meeting business and regulatory obligations during [the height] of the pandemic? Check all that apply.
60.0 Percentage of Respondents 50.0 40.8 40.0 30.0 21.2 20.0 10.0 0.0 Establish work at home capabilities Divide units and disperse Shift to unlicensed location (may require regulatory approval) Switch some functions to non-US locations Enter into agreements with other organizations 2.3 5.0 54.5

Response Options
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Did the exercise meet its stated objectives?
100.0 90.0 Percentage of Respondents 80.0 70.0 60.0 50.0 40.0 30.0 20.0 10.0 0.0 No Response Options Yes 1 99

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Was this exercise useful to your organization in assessing your pandemic business planning needs?
100.0 90.0 Percentage of Respondents 80.0 70.0 60.0 50.0 40.0 30.0 20.0 10.0 0.0 No Response Options Yes 1.4 98.6

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