Business continuity please ask questions as we go colorado fiscal manager s association may 1 2009
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Business Continuity PLEASE ask questions as we go. Colorado Fiscal Manager’s Association May 1, 2009. We’ll Be Talking About. What is A Business Continuity Plan and why have one? The role of the Finance Department in the plan How to set up a plan (UNC Model) What to do with the plan

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Business Continuity PLEASE ask questions as we go. Colorado Fiscal Manager’s Association May 1, 2009

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Business continuity please ask questions as we go colorado fiscal manager s association may 1 2009

Business Continuity

PLEASE ask questions as we go.

Colorado Fiscal Manager’s Association

May 1, 2009


We ll be talking about

We’ll Be Talking About

  • What is A Business Continuity Plan and why have one?

  • The role of the Finance Department in the plan

  • How to set up a plan (UNC Model)

  • What to do with the plan

  • Questions


Business continuity is a second but critical priority

Business Continuity is a second, but CRITICAL PRIORITY

  • Initial responses are completed

  • Life safety has been addressed

  • Damage has been evaluated

  • Operations now need to resume and get back to “normal”


What is a business continuity plan

What is a Business Continuity Plan?

  • A collection of policies, procedures, protocols and information that is developed, compiled and maintained in readiness for use in the event of a business interruption.

  • Outlines steps your organization needs to take in order to quickly resume service delivery.


How business continuity planning differs from disaster recovery and crisis management

How Business Continuity Planning Differs from Disaster Recovery and Crisis Management

  • BCP focus is not on rebuilding or alleviating the effects of a disaster, emergency or catastrophe.

  • BCP focuses on sustaining the delivery of services essential to the organization’s survival.

  • With a sound BCP, your organization can continue to provide mission-critical services, no matter what happens.


Why do we need a bcp

Why do we need a BCP?

  • Having the BCP in place before the business interruption is critical; otherwise, you may not be able to respond quickly enough to prevent service interruption.


Business continuity please ask questions as we go colorado fiscal manager s association may 1 2009

California State University, Northridge, 1994

  • Earthquake, magnitude 6.7

  • Nearly every building on campus unusable

source: D.Carver, U.S. Geological Survey

Classes resumed

four weeks afterwards.

source: Mary M. Finley, CSU Northridge


Business continuity please ask questions as we go colorado fiscal manager s association may 1 2009

Oakland, CA, 2007.

Planning

made a difference.

source: Associated Press / Paul Sakuma

26 days later.

source: San Francisco Chronicle / Paul Chinn


Business continuity please ask questions as we go colorado fiscal manager s association may 1 2009

New Orleans, 2005.

source: National Oceanic & Atmospheric Administration

Planning would have made a difference!

source: Reuters / Jason Reed


Why do we need a bcp1

Why do we need a BCP?

You MUST

Resume Critical Functions


What is a critical function

What is a “Critical Function”?

  • Those functions that are essential to the continued accomplishment of the organization’s mission.

  • Functions that would result in:

    • Irrevocable disruption of student education

    • Irrecoverable loss of research data

    • Irrecoverable loss of operational data, or

    • Significant financial loss to the University


Finance s role in the plan

Finance’s Role in the plan

Ensure that business operations are resumed and proper controls are being followed.

  • Get bills and salaries paid

  • Compliance will laws, rules, and other obligations (i.e. federal research money)

  • Recover of losses and preparing the paperwork for insurance and reimbursements (i.e. up to 80% of could be recovered from FEMA)


Scenarios to consider

Scenarios To Consider

  • How would your office continue to deliver mission-critical services if normal business operations were interrupted?

    • A fire destroys your office and you are unable to retrieve any materials.

    • The sprinkler system malfunctions and soaks the office, damaging most of the computers.

    • A bomb threat is received and an entire building must be evacuated.

    • Several members of one department contract food poisoning and are unable to work.

    • A hacker gains access to your organization’s computer system and blocks access to data.


What would your organization do

What would your organization do?

  • How could you quickly resume functioning enough to continue delivering the services that are critical to the mission of your organization?


How to set up a plan unc model lets refer to the template for this section

How to set up a plan (UNC Model)Lets refer to the template for this section


What does the template look like

What does the template look like?

Basic Information About the

Unit Covered Under This Plan


Tab 2 risk awareness

Tab 2 – Risk Awareness

  • General questions about risks the unit covered under this plan may be subject to, such as:

    • Has this Unit suffered a serious loss or disruption during the past 5 years?

    • Does this Unit provide essential services or products to other University Departments? (purchasing, payroll, facility maintenance, etc.)

    • Does this Unit maintain records essential to completing the mission of the University? (i.e. payroll, info tech, student serv) Do not include info maintained on the Banner System.


Tab 2 continued

Tab 2 (continued)

  • Additional questions such as:

    • Does this Unit utilize chemical or other hazardous materials to complete its educational research or maintenance purposes?

    • Does this Unit process financial transactions, collect cash, or distribute payments in excess of $1000 on a regular basis?


Tab 3 assessing unit risk probability and impact

Tab 3 – Assessing Unit Risk Probability and Impact

Probability of Occurrence – some items have a suggested minimum point already calculated. Incidents with highest total calculated risk should be the focus of your initial planning efforts.


Tab 4 critical functions

Tab 4 – Critical Functions

Remember: Critical functions are those activities that are essential to the continued accomplishment of the University mission.

A “Critical” function is an activity that must be restarted and functioning within days after a disaster occurs to enable teaching and research to restart and function.

EXAMPLES: Classroom instruction, Research, Payroll, Purchasing

BE VERY DISCRIMINATING! Visualize the Unit working in temporary quarters with limited resources, computers and other equipment. Which functions MUST be completed?


Tab 4 special functions

Tab 4 – Special Functions

Special functions are those functions a particular Unit would not normally do but need to be done in the event of a crisis.

  • EXAMPLES:

    • Housing may be asked to provide isolation/quarantine facilities during an epidemic.

    • Facilities may need to provide rapid facility inspections after a tornado.

    • Health Insurance Office staff may be asked to assist with directing lines of people for triage.


Tab 4 secondary functions

Tab 4 – Secondary Functions

Secondary, noncritical functions are activities that should be restarted and functioning within weeks after a disaster occurs to allow teaching, research

and administration to function adequately.

  • EXAMPLES: Grade processing

    • Admissions processing

    • Financial reports processing


Tab 5 critical function assessment

Tab 5 – Critical Function Assessment

Brief description of this function

Titles and/or generic group names (VP Administration, Senior Faculty)


Tab 5 peak periods and dependencies

Tab 5 – Peak Periods and Dependencies

Identify periods of high activity by indicating all months that the Unit expects high demand for this function

What other Units or systems have to be operational before this Unit can perform this Function?

What Units or systems will be affected by failure of this function?


Tab 5 critical special function impact to university

Tab 5 – Critical/Special Function IMPACT to University

If this function is not resumed quickly enough following a disaster, which of the “harmful consequences” might occur and when would they occur?

  • Potential Harmful

  • Consequences (examples of those in list):

  • Disruption of Teaching?

  • Disruptions of research?

  • Loss of students?

  • Loss of faculty?

  • Loss of staff?

  • Reduced well- being of Students?


Tab 6 critical special function key staff

Tab 6 – Critical/Special Function Key Staff

Identify each Critical/Special Function’s Key Staff.

Envision this Unit 1-3 days after a major disaster.

Identify the group of employees needed to PLAN how to resume operations


Tab 6 employees from other campus units vital to this function

Tab 6 – Employees from Other Campus Units Vital to this Function

What other campus units/staff members might this Function need to contact within the first few days after a disruption in order to plan how to resume operations?

Examples: School of Nursing may need to work with Scheduling to find alternative classroom space to hold classes if Gunter was destroyed in a tornado.

Payroll may need to work with IT to restore URSA access so payroll can be processed.


Tab 6 nonuniversity agencies vendors and other organizations vital to this function

Tab 6 – NonUniversity Agencies, Vendors and Other Organizations Vital to this Function

Who are the most important contacts for other Non-University organizations that this Function may need to contact within the first few days after a disruption in order to plan how to resume operations?


Tab 7 continuity of critical special functions

Tab 7 – Continuity of Critical/Special Functions

Visualize the conditions that might exist in the weeks or months following a disaster.

List ideas only, not detailed procedures.

Provide supporting documents if helpful or necessary.

Assume the University will resume teaching, research and critical support functions as soon as possible after a disaster—regardless of conditions.

Assume key resources will NOT be available

such as:

  • Normally assigned space

  • Staff members

  • Certain equipment

  • Access to Files

  • Phone Service

  • Network Access

  • Access to other electronic data

  • Access to other data

  • Access to Vendors and Vendor Information


Tab 7 continued

Tab 7 (continued)

  • Things to consider include:

  • Would this Unit need to continue functioning if the Campus were closed?

  • Can this unit perform this function with some/all staff working from home?

  • If so, what equipment/supplies would be needed?

  • How would this Unit carry out this Function if this Unit also lost ALL of its equipment?

  • Show Stoppers: Is there any resource that’s so important that this Unit cannot restart its function without it?


Tab 8 accessing vital records supporting this unit function

Tab 8 – Accessing Vital Records Supporting this Unit/Function

Identify records vital to this Unit/Function.

List records stored as individual documents in file cabinets and/or stand-alone computers. Do not list records stored by IT Services. Those will be accounted for separately.


Tab 8 software applications and systems supporting this unit function

Tab 8 – Software Applications and Systems Supporting this Unit/Function

Identify software applications or systems that support this Unit/Function.

Systems are where the software resides: PC’s, McIntosh or Servers.

DO NOT include servers managed by IT, as they will be addressed later in this section.


Tab 8 it servers supporting this unit function

Tab 8 – IT Servers Supporting this Unit/Function

Identify IT computer servers that support this Unit/Function.

NOTE: Provide requested information for each ITA Server used for this Unit/Function.

  • *This information is requested from and provided by Information Technology


Tab 9 restarting data information and technology systems

Tab 9 – Restarting Data/Information and Technology Systems

What will this Unit need to restart this Unit’s component?

Assume this Unit’s normal workplace is destroyed or inaccessible.

Assume new space, furniture and Internet access have been provided by others.

This section may be completed for the Unit as a “Whole” or separately for each critical/special function.

Examples of Questions:

Where would this Unit quickly purchase new workstations, services and other hardware vital to this Unit/Function?

Could any of the IT requirements for this Unit/Function be “worked-around” if necessary by using paper forms, etc?


Tab 10 communication preparedness

Tab 10 – Communication Preparedness

Envision this Unit 1-3 days after a major disaster.

Identify the communication lists necessary to contact employees and students.

Each Unit needs to keep its own list of home and other contact information for employees to be distributed as appropriate.

This list should be updated at least twice per year.

Examples of questions:

Who maintains this Unit’s/Function’s

faculty/staff emergency home contact lists?

Who maintains this Unit’s/Function’s important e-mail address lists? (describe)

Who has the ability/authorization to post

messages on this Unit’s/Function’s

website?


Tab 11 working from home preparedness

Tab 11 – Working from Home Preparedness

Many faculty/staff members could perform their jobs (at least partially) from home.

In this section, list titles and current names of all employees who complete significant work related to EACH critical function.

Survey each employee to determine access to adequate home computer resources for assisting with the Critical Function should on-campus computer access be lost during a crisis.


Tab 12 action plans

Most important part of the business continuity plan.

These are action items that can be completed NOW to enable this Unit to recover in a more timely manner should a disaster occur.

Action items are ideas, not necessarily a commitment to act.

BE CREATIVE.

Some of the Unit’s action items may outside of the Unit’s direct responsibility

Tab 12 – Action Plans


Tab 12 critical function action plan

Tab 12 – Critical Function Action Plan

  • Items are brought forward from previous tabs to the Action Plan section.

  • You will need to complete other information for each action item:

  • estimated cost

  • one time or ongoing cost

  • responsible person

  • details

  • status

    • complete

    • in process

    • other

  • THIS SECTION BECOMES THE ‘TO DO’ LIST FOR YOUR UNIT OR OTHER UNITS


Tab 13 completion

Tab 13 - Completion

Tab 13 – You’ve completed the Business Continuity Template!

Please keep a copy of the document for your Unit’s records.Forward the final copy electronically to:

[email protected]


What happens once the business continuity template is completed

What happens once the business continuity template is completed?

  • As part of completing the business continuity plan, each unit will develop action items

  • Once these items have been addressed, they will help your organization quickly resume operations after a major disruption

  • Print it!

  • Keep it up to date!

  • Have available outside of your office / your office computer.


Business continuity please ask questions as we go colorado fiscal manager s association may 1 2009

?

Questions


Business continuity please ask questions as we go colorado fiscal manager s association may 1 2009

The end

Contact Info:

[email protected]

[email protected]


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