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Business Contingency Planning

OverviewJuly 2013

Business Contingency PlanPurpose

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. 

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Business Contingency PlanComponents

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 Control3

Business Contingency PlanFunctional Responsibility

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Functional ResponsibilitiesBCMC CommitteePlanning & OversightRecovery Oversight

Formal Communication

Information Technology:Recovery SystemsDisaster Avoidance

Infrastructure Recovery

Response TeamsEmployee Coordination

Function Recovery

Business Continuity Plan

TestingAnnual Full Test

Point TestTable Top Tests

Internal AuditReview Test ResultsRegulatory Review

Risk CommitteeReport Review

Senior Managment Report Review

Response Teams – Management

Review Test Results

Business Contingency PlanTesting

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

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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

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Planning and PreventionData 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

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Planning and PreventionTelecommunications

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

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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

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Planning and PreventionData & Work Centers – Current State

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Planning and PreventionData & Work Centers – Future State

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Plan in ActionRecovery 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

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Plan in Action

Business Continuity Plan in Action

Building Management Contacts Members of

ALPS Management

BCP Response Team Leader Is Notified

Damage Assessment by BCP Emergency

Leader and Management Team

Notify Executive Team

Notify ERT Leader from emergency

notification list and initiate call tree

procedure

Activate Command Center (IT)

Report to the Command Center

Begin Restoration of Critical Systems

Identified in the BCP Plan

Begin Preparation for employees relocating to Command Center/

Off Site Location

Severe Business Disruption Occurs

Re-Route Toll Free numbers to the

Command Center

Post Recover:Insurance

Assessment of Building

Determine estimated time for return to

building

Disaster Declared

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