Business Contingency Planning
Overview
July 2013
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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.
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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
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Business Contingency Plan
Functional Responsibility
Functional Responsibilities
BCMC Committee
Senior Managment
Report Review
Planning & Oversight
Recovery Oversight
Formal Communication
Response Teams
Employee Coordination
Function Recovery
Information Technology:
Risk Committee
Recovery Systems
Disaster Avoidance
Infrastructure Recovery
Report Review
Business Continuity Plan
Internal Audit
Review Test Results
Regulatory Review
Response Teams
– Management
Review Test Results
Testing
Annual Full Test
Point Test
Table Top Tests
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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
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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 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
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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
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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 Prevention
Data & Work Centers – Current State
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Planning and Prevention
Data & Work Centers – Future State
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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
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Plan in Action
Business Continuity Plan in Action
Severe Business
Disruption Occurs
Building Management
Contacts Members of
ALPS Management
BCP Response Team
Leader Is Notified
Damage Assessment
by BCP Emergency
Leader and
Management Team
Activate Command
Center (IT)
Notify ERT Leader
from emergency
notification list and
initiate call tree
procedure
Notify Executive
Team
Disaster Declared
Report to the
Command Center
Re-Route Toll Free
numbers 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
Post Recover:
Insurance
Assessment of
Building
Determine estimated
time for return to
building
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