Business ContinuityDCV ChileApril 2013

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Business Continuity Management. Vision

→ The Operational Continuity is a strategic axis for DCV development.

→ DCV’s goal is to “be the last component of the financial system to stop operating and the first to recover”, regardless of the incident or disaster.

→ To protect the life and physical integrity of the Company’s Collaborators and of the people who are in our premises at the moment of an incident.

Business Continuity Management System

Business Continuity Plan

Crisis and Disaster Management Plan

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Business Continuity Management. Progress

Start of efforts toward operational continuity

Start of efforts toward operational continuity

Contingency procedural tests

Contingency procedural tests

Contingency plan for all resources and

critical services

Contingency plan for all resources and

critical services

Y2K Plan

Y2K Plan

Business Continuity Plan (BCP) New

Methodology. The function is created

Business Continuity Plan (BCP) New

Methodology. The function is created

Reformulation toward a SGCNReformulation toward a SGCN

Incorporation of DRP+CMP

Incorporation of DRP+CMP

BCP Updating and Maintenance

BCP Updating and Maintenance

Establishment of DCV

Establishment of DCV

Establishment of DCV Registros

Establishment of DCV Registros

BS 25999 Standard is issued

BS 25999 Standard is issued

Production sites are moved to TIER III

Production sites are moved to TIER IIICustody and

registry of IRF transactions

Custody and registry of IRF

transactions

Custody and Registry of IIF

transactions

Custody and Registry of IIF

transactions

Custody and Registry of IRV

transactions

Custody and Registry of IRV

transactions

Intraday Clearing House

Intraday Clearing House

DVP, FLI Operations

DVP, FLI Operations

DematerializationDematerialization

DCV Progress SGCN Progress

Distribution of offices in two buildings

Work Plan according to BS25999 standard

Work Plan according to BS25999 standard

ForwardForward

Site in USASite in USA

EuroclearEuroclear

MilaMila

SADE WebSADE Web

Agreement with DTCC

Agreement with DTCC

Electronic Position Certificate

Electronic Position Certificate

ACSDA Leadership Forum (ALF)

ACSDA Leadership Forum (ALF)

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Business Continuity Management. Policy

→ To ensure the availability of critical processes and compliance with the regulations.

→ To provide guidelines on the roles and obligations of the business continuity management.

→ To recover the critical services, safeguarding the people’s protection and security.

→ To ensure the availability of critical processes and compliance with the regulations.

→ To provide guidelines on the roles and obligations of the business continuity management.

→ To recover the critical services, safeguarding the people’s protection and security.

Objectives

→ Safeguard the security of all the people who are in DCV premises.

→ Align the governing law requirements as per the guidelines of the BS 25999 standard.

→ Continuity issues must be incorporated to DCV’s culture.

→ Safeguard the security of all the people who are in DCV premises.

→ Align the governing law requirements as per the guidelines of the BS 25999 standard.

→ Continuity issues must be incorporated to DCV’s culture.

Main Definitions

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Business Continuity Management. Corporate Governance

Board

Disaster Recovery and Crisis Management

IT Committee Audit and Risk Committee

Risk Management

Information Security

Operational Risk

Business Continuity

Continuity Plans Activation

Processes Owners Emergency Committees

Spokesman Crisis Management Committee (CMC)

Premises Recovery Committee

People Support Committee

Technology Recovery Committee

Communications (internal and external)

Committee

Organizational and Functional Structure

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Business Continuity Management. Strategies

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Business Continuity Management. BS25999 Certification Project

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Shows the interested parties that our business is performed efficiently.Meets the expectations of organizational resilience.Shows that we have set the best continuity practices on the leading edge of our business.Helps manage risks for the proper functioning of the business, ensuring its survival.

Benefits

JULJUL OCTOCT NOVNOV

BSI Audit BSI Audit

2012DECDEC JANJAN

BSI Audit

KPMG Internal

Audit

Deloitte Internal

Audit

2013AUGAUG

Management Committee

Revision

Audits and revisions timeline

MAYMAY

BSI Audit

NOVNOV

BSI Audit

JANJAN2014

MAYMAYMARMAR JUNJUN

ISO 22301 becomes effective

Management Committee

Revision

Management Committee

Revision

Management Committee

Revision

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Saturday 27-02 Sunday 28-02 Monday 01-03

T02/27/2010 03:34 hrs.

03:45 Business Continuity Official gets in touch with Security personnel within the premises.

07:00 Contact with the Office Recovery Committee.

09:00 Office Recovery Committee visits DCV.There are no structural damages, detecting only damages in partition walls, wall covering and detachment of external glass.

10:00 Telework IT Service Verification

14:00 Technology Recovery Committee visits CIENTEC Production Site.Services are reduced as precaution.

Ongoing Report to Management. Situation status.

12:00 Technology Recovery Committee verifies Services and activates SARA and SADE.

13:00 Connectivity tests with interested parties. BCCH – BVS – COMBANC.

17:00 Technology Recovery Committee visits ENTEL Production Site.

17:45 Services checkup.

19:00 IT Services activated in both Production sites.

20:00 Situation Status reported to Board Members.

Assessment and Analysis of the Situation

Activation and Communication

09:00 Registry of collaborators and critical personnel distribution in alternate building.

09:30 Critical personnel shifts activation.

11:00 DCV situation status reported to interested parties.

17:00 Registry of personnel available at their work posts and contact with absent personnel. (15 people absent, 4 of them out of Santiago).

17:00 Internal publication of list of critical personnel and work stations assigned.

Terremoto Cronología

Activated Continuity Plan

Business Continuity Management. T27F Chronology

Difficulties in communication through mobile phones and landlines 15

Plan de MejorasCorto plazo

Monitoring improvement. More coverage through automatic tools and generation of manual commands.

3rd Site. From being an information backup site (Concepción, CHILE) to being a fully operational Production Site (USA).

Independent Electric Power. Keep the power unit in continuous operation and independent autonomy capacity.

Anti-explosion pad implementation. In meeting rooms and offices.

Security. Improve exit way signage and autonomous emergency lights. Anchoring of the false ceiling, air conditioning and lights.

Premises

IT Infrastructure

Business Continuity Management. Learnt lessons

Training. Implementation of a training and awareness program (psychologists, experts, best practices, competences, role playing modeling exercises).

Contact Information. Registry of collaborators’ contact information, as well as of special medical requirements.

Communication Plan. Strengthening of the strategy of communication to interested parties.

Alternate communication equipment. Acquisition of alternative equipment to mobile telephony. NEXTEL.

Civil Protection. Floor leaders program and strengthening of basic security kit.

Human Resources

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Plan de MejorasCorto plazoBusiness Continuity Management. Learnt lessons.

Disaster Recovery Site (SRAD)

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Phase I Phase II

Business ContinuityDCV ChileApril 2013

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