Business Continuity Plan

Doliver has developed a Business Continuity Plan (BCP) in order to respond appropriately to unforeseen circumstances that may lead to disruption of services. Disruptive events may be internal; such as, a fire in the building or loss of electricity.  These events may also be external; such as, a natural disaster or a terrorist attack.  Depending on the nature of the event, the level of impact may range from minimal to severe. The BCP is reviewed and adjusted as needed by the CCO. Please direct any questions or concerns about the BCP to the CCO.

Business Continuity Team

Charley Ward, CCO, will be the “Emergency Coordinator” and will oversee the implementation of the BCP. In his absence, Julie Faas will fill the role of Emergency Coordinator.

Business Continuity Team Contact info:

Charley Ward, 713-385-1441

Julie Faas, 361-816-7992

Identification and Assessment

If any employee becomes aware of a situation that may require implementation of the BCP, he or she must notify the Emergency Coordinator.

Upon receiving such notification, the Emergency Coordinator must assess the situation, including any imminent danger to Employees or other people and any threat to Doliver’s facilities or operations. If appropriate, the Emergency Coordinator should call 911 as soon as it is safe to do so.

Evacuation or Sheltering-in-Place

If employees are in danger, the Emergency Coordinator must determine whether employees should evacuate the building or shelter-in-place. The Emergency Coordinator will notify all employees who are onsite of the situation.

If the Emergency Coordinator calls for an evacuation, employees should meet at the front of Second Baptist Church (6400 Woodway, Houston, TX 77056) which is directly across the street from the Doliver office building. If this evacuation site is unsafe, employees should go to a safe location and contact the Emergency Coordinator.

There are two stairwells located in the building reaching from 11th floor to the ground floor. These stairwells are to be used during emergency evacuations only.

In the specific instance of a fire alarm, unless advised otherwise by Unilev management using the intercom system, upon hearing and observing the alarm employees should use the stairwells to exit the building.

If it is safer to shelter-in-place, then employees should move to an area of the building that offers the most protection from the threat and await further instruction.

Alternative Work Sites

If the Emergency Coordinator determines Doliver’s office will be unusable and/or inaccessible for an extended period, employees should work from home using the VPN connection to access Doliver data and the online email platform offered by Office 365.

In the event of building damage to the Doliver office, Unilev will post updates to the Emergency section of their website (www.unilev.com) or can be contacted by phone (24/7) at 713-273-7100. It is the responsibility of the Emergency Coordinator to monitor the website and/or contact Unilev by phone for updates and to determine when it may be appropriate to access the building.

Backups and Service Continuity

Doliver has contracted with an Information Technology firm to provide normal daily and emergency IT services.  All information in shared directories on the server is backed up offsite nightly via an internet connection.  The restoration of this backup to a computer is periodically tested.

Emergency Contact

If Doliver’s office is inaccessible for an extended period of time, Doliver will post a notification on our website (www.doliveradvisors.com) or by voicemail on our phone number (713-917-0022) to inform clients of the status of recovery efforts.

In the event, you are unable to reach us through the above communication channels, please contact your brokerage/custodian firm; their contact information is listed on the periodic statements sent to you by your custodian/brokerage firm.