BCM Questionnaires 7: Testing and Exercising

Testing and Exercising

Testing and Exercising are subjecting the developed recovery plan to testing to ensure it works.

Testing and Exercising Framework

• Is there a written schedule for exercising the plan?
• Is the frequency adequate?
• Has the BC plan been exercised following this schedule?
• Are there exercises devised to determine the adequacy of the plan?
• Are there exercises to show the executive and corporate audit that the BC plan has been tested?
• Are the exercises comprehensive?
• Are the various components of the BC plan exercised over a period of time, or are the same sections exercised each time?
• Do the exercises start small and gradually increase in complexity?
• Are the exercises fully scheduled so that all staff members know beforehand what will be exercised?
• Do some of the exercises have an element of surprise?
• Do the exercises include interdependencies?
• Is a written report made after the exercise?
• Does the report compare the results against pre-established goals and standards?
• If the report indicates one or more deficiencies in the plan, are these deficiencies evaluated?
• If the deficiencies are serious, has action been taken to correct them?
• Has the BC plan been updated accordingly?
• Is the critical staff rotated in the exercises so that each member participates equally over a period of time?
• Is the executive directly involved in the exercises?
• Are the recovery teams alerted and included?
• How is the BC plan tested?
  • Notification and Walkthrough
  • Integrated, partial and incident simulations
  • Functional announced and unannounced
• When was the BC Plan last tested, and were the results documented?
• Should the BC testing documentation be reviewed that focuses on the weaknesses identified and their resolution?

Test Document

• Has the content of the Test Folder been prepared?
  • Test Schedule.
  • Table of Contents.
  • Records of Exceptions Exception Monitoring Form.
• Has an overall test exercising strategy been decided on, and is a schedule of tests produced?                
• Have all the tests to be undertaken been listed?

Business Unit (BU) BC Plan Exercises

• Should there be a confirmation that the items on the following list are still current:
  • Grab List.
  • Fire/Bomb Evacuation Procedures.
  • Command Centers Contact lists.
  • Regulatory/Other Authority contacts.
  • Work Area Resource Allocation.
  • Priority Salvage List.
  • Stationery Stocks Held Off-Site.
  • Vital Hard Copy Records.
  • Suppliers List
• Did the BU BC Plan test the following areas?
  • Critical Business Functions.
  • Important Customers.
  • Other important contacts.
  • The host provides space in a crisis.

Did the component tests check the following discrete elements of the recovery process?

• Confirmation of prompt access to the alternate site.
• Availability of individual BC plans.
• Withdrawal of items from the various off-site storage locations.

Post-test Documentation

• Have profiles of the ‘Test Exercises’ been completed?
• Are the test exercise plans and results preserved to facilitate a review by the Auditors?    
• Is the testing documentation kept separate from the BC Plan?
• Has a ‘Post Exercise Critique’ been completed for each test conducted?
• Are the completed critiques reviewed by the BCM?
• Does the BCM follow up on all exceptions noted?

Resource

Goh, M. H. (2016). A Manager's Guide to Auditing and Reviewing Your Business Continuity Management Program. Business Continuity Management Series (2nd ed.). Singapore: GMH Pte Ltd.

Extracted from "BCM Questionnaires 7: Testing and Exercising"

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