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
 H1N1
 Influenza 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

3. Review the
2. Develop
1. Select a Crisis Employee
Procedures for
Leader Assistance
Various Scenarios
Program (EAP)

5. Review Your
4. Test Alternate
Business Response
Site and Remote 6. Test Your Plan
Plan with Team
Access
Leaders
 1. Select a Crisis Leader
 An 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 Scenarios
 If 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 Access
 An 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 Plan

 Testing 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