Appendix I: Laws, Regulations, and Guidance

Booklet: Business Continuity Planning
Section: Appendix I: Laws, Regulations, and Guidance
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External References

Federal Deposit Insurance Corporation

Federal Financial Institutions Examination Council

Federal Reserve Board

National Credit Union Administration

Office of the Comptroller of the Currency

Office of Thrift Supervision

Booklet	Type	Source	Title/Source	Date

BCP	Print	Basel	The Joint Forum, High-level Principals for Business Continuity	August 2006
BCP	Print	FRB New York	Best Practices to Assure Telecommunications Continuity for Financial Institutions and the Payment and Settlement Utilities: Report by the Assuring Telecommunications Continuity Task Force	September 2004
BCP	Print	HHS and CDC	Business Pandemic Influenza Planning Checklist	December 2005
BCP	Print	FSSCC and DHS	Statement on Preparations for “Avian Flu”	January 2006
BCP	Print	DHS	Pandemic Influenza - Preparedness, Response, and Recovery Guide for Critical Infrastructure and Key Resources	June 2006
BCP	Print	Homeland Security Council	National Strategy for Pandemic Influenza	November 2005
BCP	Print	NIST	Contingency Planning Guide for Information Technology Systems (NIST SP 800-34)	June 2002
BCP	Print	NSTAC	The President’s National Security Telecommunications Advisory Committee: Financial Services Task Report	April 2004

Booklet	Type	Source	Title/Source	Date
BCP	Regulations	FDIC	Interagency Guidelines Establishing Standards for Safety and Soundness, Appendix A, 12 CFR Part 364
BCP	Regulations	FDIC	Interagency Guidelines Establishing Information Security Standards, Appendix B12, CFR Part 364
BCP	Guidance	FDIC	Interagency Statement on Pandemic Planning, FIL-6-2008	February 2008
BCP	Guidance	FDIC	Influenza Pandemic Preparedness Interagency Advisory, Financial Institution Letter FIL-25-2006	March 2006
BCP	Guidance	FDIC	Interim Sponsorship Policy for Government Emergency Telecommunications Service (GETS) Cards, FIL-84-2002	August 2002
BCP	Guidance	FDIC	501(b) Examination Guidance, FIL-68-2001	August 2001
BCP	Guidance	FDIC	Risk Management of Technology Outsourcing, FIL-81-2000	November 2000

Booklet	Type	Source	Title/Source	Date
BCP	Guidance	FFIEC	FFIEC: Lessons Learned from Hurricane Katrina: Preparing Your Institution for a Catastrophic Event	June 2006

Booklet	Type	Source	Title/Source	Date
BCP	Regulations	FRB	Interagency Guidelines Establishing Standards for Safety and Soundness, Appendix D-1, 12 CFR Part 208
BCP	Regulations	FRB	Interagency Guidelines Establishing Standards for Safeguarding Customer Information (State Member Banks,) Appendix D-2, 12 CFR Part 208
BCP	Guidance	FRB	FFIEC Guidance on Pandemic Planning, SR Letter 07-18	December 2007
BCP	Guidance	FRB	Influenza Pandemic Preparedness, SR Letter 06-5	March 2006
BCP	Guidance	FRB	Interagency Supervisory Guidance for Institutions Affected by Hurricane Katrina, SR Letter 06-3	February 2006
BCP	Guidance	FRB	Interagency Questions and Answers for Financial Institutions in Response to Hurricanes Katrina and Rita, SR Letter 05-24	December 2005
BCP	Guidance	FRB	Katrina Related Marketing Practices Invoking the Name of the Federal Reserve, SR Letter 05-17	September 2005
BCP	Guidance	FRB	Supervisory Practices Regarding Banking Organizations and Consumers Affected by Hurricane Katrina, SR Letter 05-16	September 2005

Booklet	Type	Source	Title/Source	Date
BCP	Regulations	NCUA	Guidelines for Safeguarding Member Information, APPENDIX A, 12 CFR Part 748
BCP	Regulations	NCUA	Appendix A and B: Record Preservation Program and Record Retention, 12 CFR Part 749
BCP	Guidance	NCUA	Guidance on Pandemic, NCUA Letter to Credit Unions 08-CU-01	January 2008
BCP	Guidance	NCUA	Disaster Planning and Response, NCUA Risk Alert 06-Risk-01	April 2006
BCP	Guidance	NCUA	Influenza Pandemic Preparedness, NCUA Letter to Credit Unions 06-CU-06	March 2006
BCP	Guidance	NCUA	e-Commerce Guide for Credit Unions, NCUA Letter to Credit Unions 02-CU-17	December 2002
BCP	Guidance	NCUA	Disaster Recovery and Business Resumption Contingency Plans, NCUA Letter to Credit Unions 01-CU-21	December 2001
BCP	Guidance	NCUA	Business Resumption Contingency Planning, NCUA Letter to Credit Unions 98-CU-12	June 1998

Booklet	Type	Source	Title/Source	Date
BCP	Regulations	OCC	Establishment, Acquisition, and Relocation of a Branch, 12 CFR Part 5.30
BCP	Regulations	OCC	Guidelines Establishing Standards for Safety and Soundness, Appendix A, 12 CFR Part 30 [Interagency]
BCP	Regulations	OCC	Guidelines Establishing Standards for Safeguarding Customer Information, Appendix B, 12 CFR Part 30 [Interagency]
BCP	Guidance	OCC	Pandemic Planning: Interagency Guidance, OCC Bulletin 2007-49	December 2007
BCP	Guidance	OCC	Disaster Planning - Hurricane Katrina: Lessons Learned, OCC Bulletin 2006-26	June 2006
BCP	Guidance	OCC	Influenza Pandemic Preparedness [Interagency], OCC Bulletin 2006-12	March 2006
BCP	Guidance	OCC	Community Reinvestment Act: Hurricanes Katrina and Rita, OCC Bulletin 2006-6	February 2006
BCP	Guidance	OCC	Statement and Order: Hurricanes Katrina and Rita, OCC Bulletin 2005-36 [Interagency	October 2005
BCP	Guidance	OCC	Interagency White Paper on Sound Practices to Strengthen the Resilience of the U.S. Financial System, OCC Bulletin 2003-14	April 2003
BCP	Guidance	OCC	GETS, OCC Bulletin 2002-33	July 2002
BCP	Guidance	OCC	Technology Risk Management, OCC Bulletin 98-3	February 1998

Booklet	Type	Source	Title/Source	Date
BCP	Regulations	OTS	Interagency Guidelines Establishing Standards for Safety and Soundness, Appendix A, 12 CFR Part 570
BCP	Regulations	OTS	Interagency Guidelines Establishing Information Security Standards, Appendix B, 12 CFR Part 570
BCP	Guidance	OTS	Interagency Statement on Pandemic Planning, PR 07-089	December 2007
BCP	Guidance	OTS	Hurricane Katrina: Industry Lessons Learned, CEO Ltr 239	June 2006
BCP	Guidance	OTS	Interagency Advisory on Influenza Pandemic Preparedness, CEO Ltr 237	March 2006
BCP	Guidance	OTS	Interagency Supervisory Guidance for Institutions Affected by Hurricane Katrina, CEO Ltr 234	February 2006
BCP	Guidance	OTS	Financial Banking Infrastructure Information Committee (FBIIC) Interim GETS Sponsorship Policy, CEO Ltr 165	July 2002

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