Business Contingency Planning at DTCC

1. Business Contingency Planning at DTCC Mark Vercruysse

2. Business Contingency Planning Mission • To guide the organization in the creation of a tested plan which, when executed, will permit an efficient and timely resumption of critical business functions. • To minimize the potential disruption of services to customers.

3. Agenda • BCP & Safety Structure • Data Center • Business Center • Client Readiness • Continuing Business Continuity Initiatives

4. BCP & Safety Structure • Disaster Recovery Coordinators • Interface with business department & their coordinators • Coordinate recovery space and tests at the recovery site • BCP Task Force • Managing Directors from various corporate areas • Tasked with identifying and recommending BCP initiatives • Corporate Infrastructure Contingency Planning • Focus business resiliency • BCP reports to C E O

5. BCP & Safety Structure cont’d • Employee Safety and Security • Coordinates safety in the workplace • Coordinates fire drills, evacuations, points of assembly etc • Corporate Command team • First responder teams • Safety awareness sessions • Employee safety kits

6. Data Centers • Primary data center outside Manhattan • Data centers in the NY Region and outside the region • Route client traffic thru all sites daily • Local IT staff on site • Staff performs functions daily in each location • Remote control of all data centers from any data center • Command center calls distributed among sites daily • An out of region center used during the August 2003 blackout • Test permutations have increased

7. Data Replication NSCC & DTC • DTCC as of May 28 has implemented EMC’s SRDF-A/STAR • Required to reduce replication lag time • Lag time has been reduced to < 2 minutes from 30 minutes • Potential data loss • Implemented 4 months ahead of schedule

8. Planned Data Replication FICC • DTCC will implement EMC’s SRDF-A/STAR for FICC applications • Testing started in 2006 with implementation • Will be phased in by application • First application in Q4 2006 • Completion in 2007 • Simplifies recovery and is consistent with DTC & NSCC entities

9. Business Centers • Staff decentralized • Locations in NY and Tampa • Sites operate in an active / active model • Staff started to operate in Tampa - Dec. 6, 2004 • Operations staff on site as of Feb. 21, 2005 • Reduces the impact a regional event has on the business • Reduces the effect a regional attack has on the staff • Out of region business and data centers are not in same city • Video Conferencing

10. Client Readiness • Developed communication requirements for clients • Require dedicated backup connection • Disaster recovery testing once a year now required • Testing is now required from client’s primary and backup sites to DTCC processing sites • Utilize Government telecom program • Telecommunication Service Priority (TSP) • Government Emergency Telecommunications Service (GETS)

11. Pandemic Preparations • Social Distancing • Sanitization program • Essential staff • Critical functions • Remote access

12. Continuous BCP Initiatives • Building evacuation • Client testing • Command team • Corporate BCP risk assessments • First responder team • Officer rotation program • Pandemic preparations • Safety training • Tabletop exercises

13. Questions George Perretti 212 855 – 8176 Email gperretti@dtcc.com Ken Wright 212 855 – 1368 Email kwright@dtcc.com