Neumeier Poma Investment Counsel LLC Disaster Recovery Policies & Procedures. August 2014

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1 Neumeier Poma Investment Counsel LLC Disaster Recovery Policies & Procedures August 2014

2 TABLE OF CONTENTS Page I. Business Impact Analysis... 1 II. Identification of Key Systems... 1 A. Mission Critical Systems... 1 B. Third Party Service Providers... 2 III. Business Continuity/Contingency Planning... 2 A. Neumeier Location Primary Site Secondary Site... 2 B. Alternate Communications... 2 C. Data Back-Up and Recovery... 3 D. Financial Assessment... 3 IV. Review & Testing... 3 Appendix 1: Neumeier Disaster Recovery Procedures Exhibit A: Exhibit B: Exhibit C: Exhibit D: Exhibit E: (Proprietary Information) (Proprietary Information) Third Party Service Provider Phone/Address/Website List Regulator Contact List (Proprietary Information)

3 NEUMEIER POMA INVESTMENT COUNSEL LLC DISASTER RECOVERY POLICIES & PROCEDURES Neumeier Poma Investment Counsel LLC ( Neumeier ) relies upon various computer and other operational systems, both internal and external, to provide investment advisory services to its clients. Recognizing that any disruption in those services may result in a disruption of Neumeier s ability to provide its clients with the required level of support, Neumeier has prepared, implemented and will maintain these Disaster Recovery Policies & Procedures ( DRPP ). Neumeier s Disaster Recovery Coordinator is responsible for the implementation and maintenance of these DRPP and any questions or concerns regarding these DRPP should be directed to the Disaster Recovery Coordinator. *Darcy Blackburn, Chief Compliance Officer, has been designated as Neumeier s Disaster Recovery Coordinator. The Disaster Recovery Coordinator may designate one or more Neumeier employees as responsible for one or more of the Disaster Recovery Coordinator s responsibilities under these DRPP. The intent of these DRPP is to provide a written and tested plan outlining the recovery process to be used in the event of an interruption in any necessary service resulting from an unplanned and unexpected disaster. I. Business Impact Analysis Neumeier is an investment adviser registered with the Securities and Exchange Commission and regulated under the Investment Advisers Act of 1940 ( Advisers Act ). As an investment adviser, Neumeier has a fiduciary obligation to act at all times in the best interests of its clients. Any interruption to the many services that Neumeier uses to operate its advisory business may result in a disruption of the advisory services that Neumeier provides to its clients. Even a minor interruption as a result of a temporary electrical power outage could affect how well Neumeier is able to respond to its clients needs. And as the events of September 11, 2001 have shown, Neumeier needs to be prepared not only for the possibility of a short-term interruption but also for the real possibility of a more long-term and wide-scale disruption, not only to Neumeier directly, but also to the financial services and other third party service providers upon which Neumeier depends. In order to minimize the impact that any interruption of services can have on its business, Neumeier has implemented procedures that will help prepare Neumeier and its employees to provide as much ongoing support and advice to its clients during a disaster as is possible. II. Identification of Key Systems A. Mission Critical Systems Exhibit E lists systems and equipment that Neumeier uses to provide investment advisory services to its clients. * As of 4/15/15

4 B. Third Party Service Providers Neumeier uses the financial service industry providers listed on Exhibit C in order to conduct its advisory business. In addition, Neumeier depends upon the following third party service providers in order to keep its in-house systems operational at all times: Alex s Computer Consulting (IT), AT&T (phone), Comcast (internet), Pacific Gas & Electric (electricity) In the event of a disruption of services due to disaster, the Disaster Recovery Coordinator will coordinate with each of Neumeier s third party service providers in order to best determine how to maintain or resume the services provided to Neumeier by its third party service providers. III. Business Continuity/Contingency Planning A. Neumeier Location 1. Primary Site Neumeier is located at Carmel Rancho Boulevard, Suite 200, Carmel, California. If a disaster affects Neumeier s ability to conduct its investment advisory business in a normal manner at its primary site, Neumeier will move its business operations to its secondary site. Peter Neumeier, Senior Partner of Neumeier, with the assistance of the Disaster Recovery Coordinator, will determine when Neumeier will relocate to the secondary site. 2. Secondary Site If the primary site is not available due to disaster, Neumeier will relocate to its secondary site located at Peter Neumeier s residence (see Exhibit A for the address). The secondary site is located in a different power outage sub-block than the primary site. The secondary site is located within 10 miles of Neumeier s primary site and is accessible by car. The secondary site has been set up to include all the hardware and software necessary for Neumeier to continue to manage its clients portfolios without significant interruption. If Neumeier s office network is not accessible due to disaster, Neumeier will use data back-up disks in order to continue its investment advisory business (see Item III.C. below). B. Alternate Communications If Neumeier is unable to provide investment advisory services from its primary site, Neumeier will be able to contact, as needed, its employees, clients, third-party service providers and regulators from its secondary site (see Appendix 1, Neumeier Disaster Recovery Procedures, and Exhibits A-D thereto). 2

5 Neumeier also has non-electrical telephones available at both its primary and secondary sites. In addition, Peter Neumeier has a cellular phone that can also be used as an alternate communications device if Neumeier s phone system is not functioning. C. Data Back-Up and Recovery All of Neumeier s data systems are backed up daily and a back-up tape is kept at the principal site in a fireproof box. The previous day s daily duplicate back-up tape is taken home by the Disaster Recovery Coordinator (or her designee) and kept in a fireproof box at that person s residence (see Exhibit A for addresses). The duplicate back-up tape for Friday is taken home by the Disaster Recovery Coordinator (or her designee) and returned on Monday. A weekly back-up is done onto an off-site computer located at Alex s Computer Consulting, a computer technical support consultant s office (see Exhibit C for the address). In addition, a monthly back-up on a compact disk is loaded on to Peter Neumeier s home computer at the secondary site. If a disaster happens on Monday during office hours when both main and duplicate back-up tapes are at the primary site, Neumeier has the assurance of Alex Barth, its computer technical support consultant, that it will be able to recreate any necessary data from either the information contained on the secondary site s computer or the back-up compact disk kept at the secondary site. If it is necessary for Neumeier s secondary site to be used to conduct Neumeier s investment advisory business, the secondary site s computer will be backed up daily, on compact disk, and stored in a fireproof box at the residence of the Disaster Recovery Coordinator or her designee (see Exhibit A for addresses). D. Financial Assessment In the event of a disaster that has a wide-ranging effect on the financial services industry that might affect Neumeier s ability to access its normal financial resources or run its investment advisory business in a normal way, Peter Neumeier will ascertain the impact of such potential gap in financial resources and put into place alternate financial resources. In the unlikely case that Peter Neumeier determines that Neumeier is not able to meet its contractual commitments to its clients due to its financial condition, Neumeier will notify its clients as required by the Advisers Act. IV. Review & Testing At least once each year, the Disaster Recovery Coordinator will coordinate a one-day test of these DRPP to check the back-up capabilities of Neumeier s secondary site. The Disaster Recovery Coordinator will modify these DRPP as necessary to address any weaknesses found during the DRPP test. 3

6 APPENDIX 1 NEUMEIER DISASTER RECOVERY PROCEDURES During Business Hours: 1. If a disaster occurs during business hours at the primary site that affects Neumeier s ability to provide investment advisory services to its clients, all Neumeier employees who are at the primary site will evacuate the primary site pursuant to Neumeier s and the primary site s building evacuation plan. As of August 2014, Neumeier has eight employees assigned to the primary site. 2. All Neumeier employees who have been evacuated from the primary site will immediately relocate to the secondary site and continue Neumeier s business operations to the best of their abilities. 3. Any Neumeier employee who was not at the primary site at the time of evacuation will be immediately notified by the Disaster Recovery Coordinator of the nature and extent of the disaster (see Exhibit A) and as to when that employee will be needed at the secondary site. If the Disaster Recovery Coordinator was not at the primary site, Peter or Ruthie will contact the Disaster Recovery Coordinator and any other Neumeier employee. 4. The Disaster Recovery Coordinator will immediately notify Neumeier s third-party service providers of Neumeier s relocation, as necessary (see Exhibit C). 5. When Peter Neumeier and the Disaster Recovery Coordinator have determined that the relocation to the secondary site will be for longer than 72 hours, the Disaster Recovery Coordinator will contact all of Neumeier s clients to let them know that Neumeier has temporarily relocated because of the disaster (see Exhibit B). 6. Depending upon the extent of the disaster and Neumeier s relocation, the Disaster Recovery Coordinator will contact its regulators directly and/ monitor its regulators websites in order to determine any appropriate action needed (see Exhibit D). In addition, the Disaster Recovery Coordinator will ensure that Neumeier continues to fulfill its regulatory obligations as required by the Advisers Act during the disaster, to the best of its ability. 7. Once Peter Neumeier and the Disaster Recovery Coordinator have determined that the primary site is again fully functional, the Disaster Recovery Coordinator will coordinate the return of Neumeier s business to the primary site. Outside of Business Hours: 1. In the event of a disaster occurring outside of business hours that has the potential to affect either the primary site, or the ability of any employee to access the primary site, the employee who first becomes aware of the disaster will notify the Disaster Recovery Coordinator, who will then notify the other employees (see Exhibit A). If the Disaster Recovery Coordinator

7 is not immediately available, the employee who first became aware of the disaster will notify Peter Neumeier and then the other employees. 2. Peter Neumeier and the Disaster Recovery Coordinator will ascertain whether or not to relocate Neumeier s business to the secondary site. 3. If Peter Neumeier and the Disaster Recovery Coordinator determine that Neumeier will relocate its business to the secondary site, the Disaster Recovery Coordinator will contact all Neumeier employees as to when they are needed and coordinate the relocation of Neumeier s business to the secondary site. 4. The Disaster Recovery Coordinator will immediately notify Neumeier s third-party service providers of Neumeier s relocation, as necessary (see Exhibit C). 5. If Peter Neumeier and the Disaster Recovery Coordinator determine that the relocation to the secondary site will be for longer than 72 hours, the Disaster Recovery Coordinator will contact all of Neumeier s clients to let them know that Neumeier has temporarily relocated because of the disaster (see Exhibit B). 6. Depending upon the extent of the disaster and Neumeier s relocation, the Disaster Recovery Coordinator will contact its regulators directly and monitor its regulators websites in order to determine what appropriate action is needed (see Exhibit D). In addition, the Disaster Recovery Coordinator will ensure that Neumeier continues to fulfill its regulatory obligations as required by the Advisers Act during the disaster, to the best of its ability. 7. Once Peter Neumeier and the Disaster Recovery Coordinator have determined that the primary site is again fully functional, the Disaster Recovery Coordinator will coordinate the return of Neumeier s business to the primary site. 5

8 EXHIBIT A-E (Proprietary) 6

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