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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PLEASE ask questions as we go.
Colorado Fiscal Manager’s Association
May 1, 2009
California State University, Northridge, 1994 Recovery and Crisis Management
source: D.Carver, U.S. Geological Survey
four weeks afterwards.
source: Mary M. Finley, CSU Northridge
Oakland, CA, 2007. Recovery and Crisis Management
made a difference.
source: Associated Press / Paul Sakuma
26 days later.
source: San Francisco Chronicle / Paul Chinn
New Orleans, 2005. Recovery and Crisis Management
source: National Oceanic & Atmospheric Administration
Planning would have made a difference!
source: Reuters / Jason Reed
Resume Critical Functions
Ensure that business operations are resumed and proper controls are being followed.
Basic Information About the
Unit Covered Under This Plan
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.
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?
Special functions are those functions a particular Unit would not normally do but need to be done in the event of a crisis.
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.
Brief description of this function
Titles and/or generic group names (VP Administration, Senior Faculty)
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?
If this function is not resumed quickly enough following a disaster, which of the “harmful consequences” might occur and when would they occur?
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
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.
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?
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
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.
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.
Identify IT computer servers that support this Unit/Function.
NOTE: Provide requested information for each ITA Server used for this Unit/Function.
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?
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
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.
Most important part of the business continuity plan. Unit/Function
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.
Some of the Unit’s action items may outside of the Unit’s direct responsibilityTab 12 – Action Plans