bia summary report

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BIA Summary ReportFinance BCP Edinburgh

Prepared by Richard McGlave

Reviewed by

Approved by

Date 08 December 2020

Version 4.0

Next review date 09 June 2022

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Document control

Version History

Version Status Author Reason for Issue Date

0.1 Draft First Draft 05/11/2018

1.0 Authorised Richard McGlave Document Signed Off 16/01/2019

2.0 Authorised Richard McGlave Document Signed Off 17/01/2019

3.0 Authorised support Document Signed Off 08/07/2019

4.0 Authorised Richard McGlave Authorised 08/12/2020

Distribution list

Copy Name Position/Organisation Method of Issue

1. Aimee Quinn Staff Member Electronic

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Table of Contents 1. Executive Summary .........................................................................................................................42. Activities Identified ..........................................................................................................................53. Prioritised Critical Activities.............................................................................................................84. Business Continuity Objective .........................................................................................................95. Systems and Applications..............................................................................................................106. Records & Data..............................................................................................................................147. Aggregated Resources ..................................................................................................................158. Critical Inputs/Outputs....................................................................................................................169. External Dependencies..................................................................................................................1910. Service Lines ...............................................................................................................................2211. Processes ....................................................................................................................................24

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1. Executive Summary

This report provides a summary of the Business Impact Analysis for Finance BCP Edinburgh. The BIA findings inform the BC Plan, providing the basis for determining priority of activities for recovery from business interruption.

In summary, the BIA Process establishes/captures: The critical activities that support Finance The likely/potential impact, over time, of not performing these activities The minimum business continuity objective Any critical time periods Aggregated resources (required for recovery) Systems/applications required Records and Data Detailed continuity solutions (workarounds)

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2. Activities Identified

General Accounting

Activity Description

Fixed Assets - Edinburgh

Activities performed on a monthly basis on Fixed Asset are:Periodic asset posting runRecalculate depreciationPerform depreciation runPerform reconciliation of FI-AA to GLCapitalization of assets acquired through project or

PM ordersCheck asset clearing accounts for balanceGenerate period end close reportsPlus processing of the FA Request Form received from the ABP (Create new asset record, Amend existing asset record, Asset retirement with revenue and Asset retirement without revenue )

And activities that are perform on a yearly basis: Change fiscal yearClose fiscal year

Finance Processes (Business Support Accounting) - Edinburgh

The department Finance Processes of EBSRE provides accounting business support for the operating Units and the shared service centres in A and B for the following processes:Accounts PayablesAccounts ReceivablesFixed Asset AccountingBanking General Ledger and ClosingGeneral Ledger Master Data Intercompany Reconciliationselected Tax-Topics

This embraces the following: Functional problem management Evaluation and implementation of enhancementsProject supportProcess harmonization & optimization

At a glance: Finance Processes is the link between the operating accounting business ( Units, shared services) and IT, i.e. the process view. We understand what the business wants and develop solutions together with IT.

Finance Processes supports processes in scope of the GLOBE (or CE) accounting template (selected processes). There are also numerous non-scope (and most likely not harmonized) processes which are supported by IT only.

Banking and Payments - Edinburgh

Requests of manual payments can be received daily from different departments. The requests can be urgent (ex. Tax payments) or at a certain due date (ex. AP manual payment requests).Payments have to be processed into banking platform before cut off time (according to type of payment and currency).

Accounts Receivable

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Accounts Receivable - Edinburgh

GenInvoicing based on request, daily task Customer Master Data creation/amendments, daily activityCash management (collection), clarification of unapplied cash dailyDunning- dailyStatements of accounts, monthly activityPeriod end closing activities, monthly

General Ledger Group Accounting - Edinburgh

General Ledger teams handle activities related to: general ledger entries, account reconciliation, intercompany reconciliation, closing and reporting activities after IFRS and German (HGB) law.

Accounts Payable


Account Processing - Edinburgh

The activity contains in processing specific invoices and documents in the SAP ERP system, sending them for approval via the SAP-Workflow to the relevant business approvers and subsequently to payment.

Activities performed within the team:

• Processing of specific invoices • Processing of specific documents – Payment vouchers and Donations• Self-Billing • SAP SEM DRU Data Entry – prepare and upload in SAP

There is no degree of importance in processing any of the invoices or documents mentioned above, as the common and final target is to submit them for payment.

Payment Transactions - Edinburgh

ABC provides services in payment transactions processing.This is the most important activity that must be sustained during an outage period. The most important types of payments to be covered are taxes, other urgent payments (fuel and energy invoices, critical vendors with exceptionally high amount payments), exceptionally salaries ( Human Resources). Month-end

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Term Full Name Description

MTPD Maximum Tolerable Period of Disruption The maximum period of time an activity/process can suffer disruption until there is a significant business impact

MBCO (level) Minimum Business Continuity Objective (level) The percentage at which an activity/process is required to run at in order to function at a reduced capacity state

MBCO (description) Minimum Business Continuity Objective (description) Description of the work that makes up the MBCO (level)

RTO Recovery Time Objective The point in time where you would need to reach the MBCO level

MBCO (duration) Minimum Business Continuity Objective (duration) The length of time in which an activity/process can run at this reduced capacity

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3. Prioritised Critical Activities

Priority RTO Activity MBCO Description Critical Time

1 <4 hours Finance Processes (Business Support Accounting) 1 Part time staff member Daily Excluding Weekends

2 <24 hours Payment Transactions

L3 staff would be required to negotiate clawback payments via direct contact with Debtors. Focus would be on accounts with transaction volumes of £1m+ per day.

Daily Including Weekends

3 <24 hours Account Processing Process all accounts with values in excess of $200 Daily Excluding Weekends

4 <24 hours Accounts Receivable By focusing on high value invoices >£500 with particular focus on JIT suppliers. Daily Excluding Weekends

5 <48 hours Banking and Payments 2 full time staff members required to carry out processes Daily Excluding Weekends

6 <48 hours General Ledger Group Accounting

In order to reach 60% of operations 6 staff members would be needed to carry out the essential tasks and maintain essential relationships

Daily Including Weekends

7 Fixed Assets Critical processes will need to be prioritised Daily Including Weekends

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4. Business Continuity Objective

Activity MTPD RTO MBCO (Level) MBCO Description MBCO (Duration)

Finance Processes (Business Support Accounting) - Edinburgh <48 hours <4 hours 10 1 Part time staff member 4 Hours

Payment Transactions - Edinburgh <48 hours <24 hours 60

L3 staff would be required to negotiate clawback payments via direct contact with Debtors. Focus would be on accounts with transaction volumes of £1m+ per day.

10 Days

Account Processing - Edinburgh <5 days <24 hours 30 Process all accounts with values in excess of $200 10 Days

Accounts Receivable - Edinburgh <48 hours <24 hours 50 By focusing on high value invoices >£500 with

particular focus on JIT suppliers. 3 Weeks

Banking and Payments - Edinburgh <48 hours <48 hours 68 2 full time staff members required to carry out

processes 10 Days

General Ledger Group Accounting - Edinburgh <48 hours <48 hours 60

In order to reach 60% of operations 6 staff members would be needed to carry out the essential tasks and maintain essential relationships

3 Weeks

Fixed Assets - Edinburgh <48 hours 75 Critical processes will need to be prioritised 1 Weeks

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5. Systems and Applications

System/ApplicationSubLevel Business Functions

Activity RTO Req IT SR RTO IT SR RPO Workaround

Print software General Accounting


<4 hours 24hrs 24hrs

General Accounting



Accounts PayableAccount Processing - Edinburgh

<24 hours 48hrs 48hrsActive Directory

Accounts PayablePayment Transactions - Edinburgh

<24 hours 48hrs 48hrs This is an explanation of a workaround and its effectiveness

General Accounting


<4 hours 4hrs 4hrs

SAP Human Capital Management


<24 hours 4hrs 4hrs

Accounts Receivable




<24 hours 12hrs 4hrsMagique



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Accounts Receivable




<24 hours 12hrs 12hrs This is an explanation of a workaround and its effectiveness HSBC.Net

Accounts Receivable




<24 hours 4hrs 4hrs

Tableau



Team Viewer Accounts PayablePayment Transactions - Edinburgh


Accounts Receivable


<24 hours 2hrs 2hrs


<24 hours 2hrs 2hrs This is an explanation of a workaround and its effectiveness BACS

General Accounting


<48 hours 2hrs 2hrs

Accounts Receivable


<24 hours 16Hrs 24Hrs


<24 hours 16Hrs 24HrsAccess


<24 hours 16Hrs 24Hrs This is an explanation of a workaround and its effectiveness

ADOBE Accounts PayableAccount Processing - Edinburgh

<24 hours 2hrs 2hrs

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<24 hours <4 Hrs <4 Hrs This is an explanation of a workaround and its effectiveness

GPMSGeneral Accounting

Fixed Assets - Edinburgh <4 Hrs <4 Hrs

SAGE Pay Accounts PayableAccount Processing - Edinburgh

<24 hours 8hrs 8hrs

Accounts Receivable



JiraAccounts Receivable



Experian Accounts Receivable



Cognos Analyst General Accounting



Azure General Accounting


<48 hours 2hrs 2hrs

Documentation Control General Accounting


<48 hours 4 Days TBC

SAGE Sales Logix Accounts Receivable



Nisoft Eclipse Uniper (67620) Accounts Receivable


<48 hours 4-24 Hrs 4-24 Hrs

CRM Accounts Receivable



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Workflow General Accounting

Fixed Assets - Edinburgh 2hrs 1hr

Oracle General Accounting

Fixed Assets - Edinburgh 4hrs 4hrs

GPMS/EDL (511) General Accounting

Fixed Assets - Edinburgh <4 Hrs <4 Hrs

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6. Records & Data

Record / Data Dependent Activity Location of Record/Data Workaround

Paper files / Printouts Finance Processes (Business Support Accounting) - Edinburgh

Financial and budget statements held in fireproof safe on ground floor of building within Finance

Banking records can be accessed directly from bank

SAP Output Finance Processes (Business Support Accounting) - Edinburgh

Held on G drive, latest 7 days backups can be accessed

Recovery of data can be performed by IT to local machine if required

HSBC Contact Payment Transactions - Edinburgh G Drive Held in Command room Battel Box

XLS Customer Backup Model Payment Transactions - Edinburgh G Drive Held in Command Room PC

Finance Model Account Processing - Edinburgh G Drive None

Paper-form Account Processing - EdinburghPaper-form archived credit notes - located in the cabinets within office area

Request copies

Billing requests Accounts Receivable - Edinburgh Stored on G Drive Recover data from latest backup

Payment requests Banking and Payments - Edinburgh All payment requests logged in SAP SAP Backup

All Working Documents on the G:-Drive/H:-Drive/K


All working documents on the G:-Drive/H:-Drive/K:-Drive mostly in MS Excel or MS Winword; emails in MS Outlook, sharepoint, Intranet

Recover from latest backup

Fixed Asset Request Form Fixed Assets - Edinburgh On Intranet site or hard copy in dept. From recovered copy

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7. Aggregated Resources

Resource Required Normal 0-4 hrs 4-8 hrs 2 days 1 week 2 weeks 1 month >1 month

Staff 142 19 27 26 28 30 26 23

Home / Remote Working Capability 40 5 10 10 10 10 10 10

Seats at an Alternative Site 35 5 10 10 10 10 10 10

Workstation (Desk, PC, Telephone, Chair) 75 13 18 20 21 19 16 13

Laptop PC 48 7 13 10 10 13 10 10

VPN Token 29 3 3 3 5 5 5 5

Mobile Phone

Resource Type - Not Over Time

Resource Required Normal

Dagenham Recovery 10

Workarounds

Resources Activity Workarounds

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8. Critical Inputs/Outputs

Input

Activity Name Nature of Dependency


Internal Departments Financial information on spending versus budget

Payment Transactions - Edinburgh Fixed Assets this is the dependency explanatio

Payment Transactions - Edinburgh Accounts Receivable Required for essential data input in respect of actuals accruals and forecast.


General Ledger Group Accounting Required for forecasting and targeting of Debtors with £1M+ transactions

Payment Transactions - Edinburgh Fixed Assets This is the nature

Payment Transactions - Edinburgh Business Continuity Planning I need them for this

Payment Transactions - Edinburgh Hybrid Mail Required for fulfilment


Managing FM finance & approvals Required for forecast


Commercial Print Transnational this is it

Account Processing - Edinburgh Banking and Payments team Banking & Payments team for up to date information

Account Processing - Edinburgh General Ledger team Processing of invoices

Account Processing - Edinburgh Mumbai Office Supply of India forecast to this process

Account Processing - Edinburgh Procurement Department Procurement Department for upcoming payments/orders

Account Processing - Edinburgh Banking and Payments daDSAS

Account Processing - Edinburgh Accounts Receivable answer

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Accounts Receivable - Edinburgh Representative office Payment process

Accounts Receivable - Edinburgh Subsidiaries Accrual Process

Accounts Receivable - Edinburgh IT Provision of IT services


Account Processing (Accounts Payable , Finance)

Data on invoice levels and volumes


Account Processing (Accounts Payable , Finance)

Data on invoice levels and volumes

Banking and Payments - Edinburgh Internal Departments Passing of invoices to be paid

Banking and Payments - Edinburgh Desktop Support Ensure remote working with all applications working as needed

General Ledger Group Accounting - Edinburgh All subsidiaries VAT returns

General Ledger Group Accounting - Edinburgh Financial institutions Settlement of transactions

General Ledger Group Accounting - Edinburgh Financial institutions Maintenance of essential hardware/software

General Ledger Group Accounting - Edinburgh ABP Is the owner of all company data and has to provide all accounting relevant information;

General Ledger Group Accounting - Edinburgh Back office Service provider for bank accounts, cashpooling, evaluation of financial assets

General Ledger Group Accounting - Edinburgh Payment Transactions This why I require Payment Transactions to function at my MBCO

Fixed Assets - Edinburgh Accounts Payable 1st part of the process.

Output



General Ledger Group Accounting This why I require Payment Transactions to function at my MBCO

Account Processing - Edinburgh Accounts Receivable Data on invoice levels and volumes

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Accounts Receivable - Edinburgh Payment Transactions Required for essential data input in respect of actuals accruals and forecast.

Accounts Receivable - Edinburgh Account Processing answer

Banking and Payments - Edinburgh Account Processing daDSAS

General Ledger Group Accounting - Edinburgh Payment Transactions Required for forecasting and targeting of Debtors with £1M+ transactions

Fixed Assets - Edinburgh Payment Transactions this is the dependency explanatio

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9. External Dependencies

Customers

Activity Name Nature of Impact to the customer


Stakeholders financial information


Customers Provide information and advice


Royal Bank of Scotland Banking / Payments and processing information

Payment Transactions - Edinburgh HSBC Contract fulfilment on cash volumes

Account Processing - Edinburgh Markets Financial information

Accounts Receivable - Edinburgh Customers Provide financial advice to customers

Accounts Receivable - Edinburgh EU Commission Controller for certification of expenditure

Accounts Receivable - Edinburgh HMRC Provide relevant financial details

Banking and Payments - Edinburgh HMRC Payments of tax and other statutory payments

Banking and Payments - Edinburgh HSBC Processing of payments

General Ledger Group Accounting - Edinburgh Companies house Provide accounts

General Ledger Group Accounting - Edinburgh AB credit check Maintain accounts to update system

Fixed Assets - Edinburgh Customers Service provision

Fixed Assets - Edinburgh Stakeholders Provide financial information

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Suppliers

Activity Name Nature of Dependency Workaround


BACS Provide relevant documentation No workaround identified


Microsoft Software supplier No workaround identified


BT Internet provisionNo workaround identified

Payment Transactions - Edinburgh Panviva Required for data on all Debtors in backlog

This is an explanation of a workaround and its effectiveness

Payment Transactions - Edinburgh Royal Bank of Scotland BCAS processing


Payment Transactions - Edinburgh Rockford Required for liquidity gap funding


Account Processing - Edinburgh Swift Post Transaction of Payments No workaround identified

Account Processing - Edinburgh HMRC HMRC provide tax positing data in respect of streamlet of

VATNo workaround identified

Account Processing - Edinburgh MCG and Partners MCG and partners collate AP data for annual report

No workaround identified

Accounts Receivable - Edinburgh BT Provide internet which - necessary for this activity No workaround identified

Accounts Receivable - Edinburgh DELL Provision of necessary computers No workaround identified

Accounts Receivable - Edinburgh Supplier analysis Provision of financial analysis No workaround identified

Accounts Receivable - Edinburgh Etender solutions Tool needed for future audit of externally funded projects No workaround identified

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Activity Name Nature of Dependency Workaround

Accounts Receivable - Edinburgh Continuity2 Rely on C2 software to contact our external suppliers


Banking and Payments - Edinburgh Microsoft Provision of email services No workaround identified

Banking and Payments - Edinburgh Financial institutions Settlements of due payments


General Ledger Group Accounting - Edinburgh HTC Provision of secure access ID management to enable

sanctioning of credits above €300KNo workaround identified

General Ledger Group Accounting - Edinburgh Markets This is a supplier No workaround identified

General Ledger Group Accounting - Edinburgh IBM The provision of batch data for processing of major accounts

to the daily value of €2.3MNo workaround identified

General Ledger Group Accounting - Edinburgh Financial institutions Provide intermediary service


Fixed Assets - Edinburgh Royal Bank of Scotland Payment Processing No workaround identified

Fixed Assets - Edinburgh Financial institutions provide financial documentation No workaround identified

Fixed Assets - Edinburgh Stakeholders Fixed Asset ABP and Controlling Department No workaround identified

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10. Service Lines

General Accounting

Service Lines RTO Activity

<4 hours Finance Processes (Business Support Accounting)

<48 hours Banking and PaymentsProvision of ATM Services

Fixed Assets

<4 hours Finance Processes (Business Support Accounting)

<48 hours Banking and PaymentsProvision of Commercial Mortgages

Fixed Assets

Accounts Receivable


<48 hours General Ledger Group Accounting

Provision of ATM Services

<24 hours Accounts Receivable

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Provision of Commercial Mortgages


Accounts Payable


Consumer Asset and Portfolio Management <24 hours Payment Transactions

<24 hours Account Processing

Provision of ATM Services

<24 hours Payment Transactions

Provision of Commercial Mortgages <24 hours Account Processing

Telephone Banking <24 hours Payment Transactions

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11. Processes

General Accounting

RTO Activity Processes

<4 hours Finance Processes (Business Support Accounting) Commercial Print

<48 hours Banking and Payments

Fixed Assets

Accounts Receivable




Accounts Payable

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<24 hours Account ProcessingCommercial PrintCustomer LifestageDigital & Mobile Marketing

<24 hours Payment Transactions