Six Tips to Help Prepare Your Investment Business for a Pandemic

Why Plan?To ensure your business can and will remain functional and profitable during a crisis or pandemic

H1N1Influenza A (H1N1) virus remains a threat

U.S. health officials estimate the virus could directly and indirectly affect up to 40 percent of the nationwide workforce over the next two years (Centers for Disease Control)

Six Steps to a Disaster Plan

1. Select a Crisis Leader

2. Develop Procedures for

Various Scenarios

6. Test Your Plan

5. Review Your Business

Response Plan with Team

Leaders

3. Review the Employee Assistance

Program (EAP)

4. Test Alternate Site and Remote

Access

1. Select a Crisis LeaderAn individual who demonstrates strong leadership skills during normal business operations and is experienced in dealing with crises

Leaders are typically members of senior management team

Crisis Leader should partake in Critical Incident Stress Management (CISM) training

2. Develop Procedures for Various ScenariosIf your office building is restricted, how will market data and portfolio management systems be accessed?

Where will employees work and how will they communicate with colleagues and counterparties?

How will you operate if your prime broker or fund administrator contacts are unavailable?

3. Review the Employee Assistance Program (EAP)

EAP provides assistance and access to counseling services for issues in and out of the workplace

In disaster, employees may wish to speak with a professional counselor

If employees are aware of EAP support prior to disaster, then it will mitigate panic and stress

4. Test Alternate Site and Remote AccessAn alternate site provides a safe place for employees to go and continue working

If employees have to work remotely, confirm the reliability of the infrastructure supporting multiple virtual private networks (VPNs)

Confirm the number of Citrix licenses; if not enough then consolidate responsibilities

5. Review Your Business Response Plan with Team Leaders

Develop communication notification and escalation procedures for team leaders

Identify if any external business partners need to be notified

Assign a primary and secondary spokesperson in case the public needs to be notified

6. Test Your PlanTesting your plan ensures there are no glitches or obstacles

It is imperative that teams and employees are able to work together and have a trusting relationship today

Online Resources Visit Eze Castle Integration’s Online Knowledge Center at

http://www.eci.com/knowledge-center/h1n1pandemicplanning.html

Critical Incident Stress Management (CISM) training: http://www.criticalincidentstress.com/

Employee Assistance Program (EAP): http://www.eap-sap.com/eap/index.html

Follow Eze Castle Integration on Twitter at: http://www.twitter.com/ezecastleECI.

For more information, please visit Eze Castle Integration online at http://www.eci.com.

One Federal Street, 9th Floor Boston, MA 02110 Tel: 617.217.3000 www.eci.com