1. Business Contingency Planning
Overview
July 2013

2. Business Contingency Plan Purpose
Our Business Continuity Plan seeks to minimize the risk of disaster, outline the chain of command, outline the recovery process and include critical information required should a significant business interruption (“SBD”) occur. It is organized in sections that apply to the firm in general and to individual functional areas. 

3. Business Contingency Plan
Components
Top Level Management Commitment
Oversight by BCMC (Business Continuity Management Committee
Central Plan
Oversight and Control – Tied to Parent Company Structure
Employee Safety
Network and Communications Infrastructure (Changes are pending with migration from ViaWest Data Centers to DST Data Centers. The migration should be completed in 2013.)
Relocation and Return
Response Team Plans
Employee Communication
Operational Control

4. Business Contingency Plan Functional Responsibility

5. Business Contingency Plan
Testing
Full test, including relocation to Alternate Facilities
Involves all business units
Assumes worst-case scenario
Includes majority of staff
Concludes with a review of test results and lessons learned
Point test
System restoration
Data Integrity
Call Tree
Table top tests
Discussion of steps required to recovery from disruption

6. Planning and Prevention Work group Recovery Facility
Work group recovery contract with a top-tier vendor
Provides workspace, phone, computer and data resources
Site flexibility (Denver, Scottsdale, Philadelphia)
Contract is reviewed and modified (if necessary) to meet the changing needs of our business and our clients

7. Planning and Prevention Data Centers
Primary Data Centers (2)
In the event of failure of one center, the remaining center could be capable of sustaining all operations of the company
Secondary Data Centers (3)
Maintained in remote offices and can be used for recovery of data or applications

8. Planning and Prevention Telecommunications
Separate voice circuits from multiple providers
Traffic can be re-routed between our providers
Re-route client traffic to a remote facility that can be accessed by personnel wherever there is telephone service
Internet connectivity from multiple providers across multiple paths
Dedicated circuits required for data transfer are maintained in multiple locations to insure continued service

9. Planning and Prevention Data Protection
Critical data replicated between data centers
Intra-day snapshots of data are taken for quick file recovery
End-of-day backups of data are saved to a dedicated disk array
Weekly and monthly backups to tape are taken off-site and stored with a secure third party

10. Planning and Prevention Data & Work Centers – Current State

11. Planning and Prevention Data & Work Centers – Future State

12. Plan in Action Recovery Process
BCMC Committee
Assesses the situation and discusses alternatives
Begins the recovery process either within the current facilities or at the recovery facility
Integrates with Central BCP Function
Infrastructure Team
Restores necessary technology and facility resources
Emergency Response Teams
Implement individualized recovery procedures that restore normal business operations

13. Plan in Action