New York Life Insurance Company

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• New York Life Insurance Company
• a Fortune 100 company
• the largest mutual life insurance company in the
  U.S.
• one of largest life insurance companies in the
  world
• combined sales of insurance and investment
  products exceeding 37 billion in 2006
• Mission For more than 160 years, New York Life
  Insurance Company's unwavering financial
  strength and time-tested investment strategies
  have provided consistent value and solid
  financial protection for our clients and their
  families.
• Goal "The primary responsibility of a mutual
  insurance company is to ensure that the
  long-term benefits promised to its policyholders
  are secure and protected. By remaining a
  mutual, New York Life can continue to manage
  for the long term, instead of the
  quarter-to-quarter orientation of the
  investment community." Chairman and CEO
  Sy Sternberg

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GLOBAL OPERATIONS Founded in 1845 and
headquartered in New York City, New York Life
maintains operations in all 50 states (including
120 general offices) and nine overseas markets
through a network of over 13,100 employees and
32,700 licensed agents. New York Life and its
affiliates products and services include
insurance products (life, annuities and long-term
care) and asset accumulation products, such as
mutual funds. Know what is happening worldwide
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The Business Resilience Department

• Goals
• Protect the safety and health of NYL employees
• Protect the companys assets and those of our
  customers
• Minimize the impact of disruptions to business
  operations and recover quickly if disruptions do
  occur
• Manage records in accordance with business,
  legal, and regulatory requirements

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• New York Lifes incident management mission is to
  
• prevent or mitigate disruptive incidents to the
  extent possible,
• to prepare for possible disruptions, and to
  manage the
• companys response to incidents in a manner that
  protects
• and sustains
• The safety and health of NYL employees
• NYL assets, and those of our customers, and
• Our business operations

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• The Incident Management Program provides a
• comprehensive strategy for ensuring
• appropriate steps are taken
• before, during, and after incidents

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Incident Management Program Overview
Program Governance Executive Support Oversight
Process, Procedures Toolkit
Assigned Roles Responsibilities
- Information Received - Response
Priority - Triage/Escalate
Activation
- Team Assembly - CCC
Location(s) - Execute
Contact/ Checklists
- Situation Reporting
- Alerts Briefings
- Activity Logging
Recovery and/or
Resumption -
Implement Recovery -
Close activities -
Post-Event Review
Management
Assessment

• Data Gathering Analysis
• Recommendations Decisions
• Communication

Program Management Plans/Playbooks
Information/Resource Management
Coordination/Integration of Efforts
Testing/Maintenance
Program Awareness and Education Ongoing
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• Some Key Elements
• Executive Support
• Triage
• Escalation
• Authority
• Coordination
• Communication

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One example Republican National
Convention August September 2004

• Established RNC team
• Weekly planning meetings
• Confirmed RNC-related events
• Sponsorship/executive participation
• Security arrangements
• Events nearby
• Planned/threatened protests
• Protocols for response established
• Dual operations
• CCC advance testing
• Monitoring methods confirmed
• Communications protocols confirmed
• Dual CCCs activated
• Status conference calls (several times daily)
• Post-mortem for lessons learned

Other examples of CCC activation building
disruptions, London bombings, transit strike, E.
72nd Street plane crash, natural gas odor
Examples of IM monitoring (without CCC
activation) hurricane path, reduced power from
high temperatures, Thailand coup, Mumbai
bombings, incidents at other company locations
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• Some Examples of Lessons Learned
• Roles/contacts (Clarity)
• Incident Management Checklists (Development)
• PA announcements (Scripts and Volume)
• Ongoing employee communication (timely)
• Evacuation location (deputies established,
  communication volume)
• Emergency power (expanded locations)
• Floor diagrams (receive monthly)
• Shelter in Place (just-in-case inventory, Centrex
  lines installed)
• Battery-powered lights and reflective tape in
  stairwells (expanded)

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Corporate Command Center
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NYC Alternate 1
Primary NYC CCC
Backup CCC Outside NYC
NYC Other Options
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Testing Maintenance
Methodology Organizational Support

• Examples
• IMT Daily Coverage
• Checklists
• Local Incident Management
• Monitoring Events
• Concentration Risk
• Accounting for Staff
• Family Support Program

• Examples
• Scenario-Based Walkthroughs
• Checklists
• CCC Readiness
• ECT Readiness
• Shelter in Place

Ready, Equipped and Trained to Respond
Tools Infrastructure
Training Awareness

• Examples
• CCCs
• LDRPS
• ECT
• Priority Services
• Incident Alerts
• Communication Devices

• Examples
• Employee Orientation
• Emergency Go Kits
• Intranet Communication
• National Preparedness Month
• Outside Organizations
• Conferences/Courses