Home > Practice Management> Business Continuity Plan Table of Contents

Practice Management Table of Contents
  
 Compliance Manual
 
 Business Continuity Plan
Wealth Management Binder

 Links for Advisors
Overview  
  Purpose  
  Management & Board of Directors Commitment  
  Scope of the Plan  
  Plan Distribution List  
  Plan Review  
  Testing  
  Training  
  Initial Notification  
  Coordinator Evaluation  
  Client Notification  
 
Business Impact Analysis  
  Processes  
  Documentation  
  Software  
 
Facilities Description  
  Server Computer  
  Data Backups  
  Employee Workstations  
  Primary Offsite Computer  
  Printed Materials  
  Duplication Capabilities  
  Computer Printing Capability  
  Telephone  
  Fax Capability  
  Email Capability  
  Banking and Custodial Considerations  
 
Alternate Office Locations  
  Site 1  
  Site 2  
 
Planning for a Variety of Events  
  Natural Disasters  
  Man-Made Disasters  
 
Natural Disasters  
  Winter Storm (Snow or Ice)  
  Flooding  
  Hurricane or Tornado  
  Earthquake  
 
Man-Made Disasters  
  Loss of Electrical Power  
  Loss of Water Pressure  
  Loss of Telephone  
  Fire  
  Bomb Threats  
  Nuclear Power Plant Event  
  Chemical or Biological Disaster  
  DSL / Cable Outage  
  Internet Outage  
  Loss of File Server  
  Computer Virus  
  Office Closings  
 
Recovery  
  Reestablishing Business Operations  
  Damage Assessment  
  Salvage Actions  
  Equipment Ordering  
  New Office Space  
 
Personnel Considerations  
  Loss of Key People  
 
Appendices  
  Client Communications Handout  
  Telecommunications  
  Printed Materials Resources  
  Copy Shops  
  Insurance Company Contact Information  
  Maps & Directions to Alternate Offices  
  Client List  
  Employee Call Checklist  
  Password List  
  Annual Plan Review Checklist  
  Vendor/Agency Call List  
  Corporate Resolution  
  Alternate Office Site Inventory  
  Recovery Box Inventory  
  Office Supplies Order Form  
  Furniture, Fixtures, and Computers  
  Training Log  
  Event Log  
  Primary Alternate Office Workstation Assignments