• In the event of an incident, Pershing employees MUST NOT go to the Work Area Recovery site until they have been directed to do so by a member of the Emergency Management Team (EMT) or their Manager
• Do not speak to the media
• Do not speak to anyone about the incident or invocation other than those persons you know to be Pershing employees.
  

Incident Response (outside business hours)
Plan Invocation
Manager/Plan Owner
At the Recovery Site
Pershing Contact Telephone Numbers
Business Recovery Strategy
Recovery Site Locations
Other Sources of Information

INCIDENT RESPONSE (OUTSIDE BUSINESS HOURS)

• If you receive notification of the incident from the EMT, department manager, or Dialogic automated notification system, follow the instructions provided.
• If you learn of the incident via alternative means (news reports, office cordoned, etc.)
  • Call the Employee Emergency Telephone Service.
  • Go home and remain available.
• Consider the impact of the incident on departmental business and be prepared to make the information available to your manager, supervisor, or the EMT.
• A decision regarding the business continuity invocation will be made by the EMT.
  • If the business continuity plan is invoked, go to the section "PLAN INVOCATION" below.
  • If the business continuity plan is not invoked, await further instruction.

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PLAN INVOCATION Follow the invocation communication:

• Department managers will determine if shift work is possible from the recovery site.
• If you learn of the incident via alternative means (news reports, office cordoned, etc)

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MANAGER/PLAN OWNER The Emergency Management Team (EMT) is made up of senior management and executives who have the responsibility for declaring an event. The Plan Owners and departmental managers will coordinate and manage the recovery process.

• If instructed, or if appropriate, place the departmental recovery team on standby. Consider having additional employees assist with notification.
• Notify the appropriate employees of relocation if applicable. Ensure they have directions to the recovery site and they travel with their Pershing identification card.

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AT THE RECOVERY SITE Once at the recovery site, follow these guidelines:

• If appropriate, establish contact with clients, counterparties, Pershing departments, and remote employees. Notify them of the incident and recovery site information. FOR EXTERNAL COMMUNICATIONS WITH CLIENTS USE ONLY AUTHORISED STATEMENTS FROM CORPORATE COMMUNICATIONS.
• Business unit managers should determine what items (for instance, hard copy files, tickets, works in progress) must be salvaged from production facilities. Consolidate all requests and present them to the EMT.
• Conduct regular status meetings to identify recovery progress and outstanding issues—particularly legal/regulatory. Keep the EMT informed of meeting results.
• Begin restoration of critical business recovery processes.
• Ensure that all recovery expenses are tracked and receipts are saved.

• The EMT will coordinate the entire Firm's response to any event.
• The Plan Owners and required team members will report to the alternate site(s) to assist with business recovery.
• The Business Unit Recovery Team will have desks available at a recovery site within 4 hours and beyond as identified in the Business Recovery Plans and the Business Impact Analysis.
• Each recovery team member will identify tasks/transactions in progress as well as those that may have been lost and coordinate restoration with the team leader.
• Each recovery team member will assess any legal and/or regulatory risks and recommend associated mitigation actions to their manager or Plan Owner.
• Based upon the nature of identified works in progress and the potential risks, the recovery Plan Owner or Manager will determine whether shift work is possible.
• Team members not reporting to the Work Area Recovery site will coordinate remote access work with the Plan Owner.