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IU READY ‐ BCP Orientation Training ‐ PART 2 7/15/2011

Emergency Management & Continuity ‐Business Continuity Planning 1

Mary Lou East-EmmonsBusiness Continuity Planning [email protected]

IU READY for Indiana University – PART #2Emergency Management & Continuity

Business Continuity Planning Specialists

Cole S. Seger – IU BloomingtonEileen M. Robichaud – IU Bloomington

Nathaniel J. DeVore – Regional Campuses

IU READY - DEMOhttps://us.ready.kuali.org/iub

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IU READY – a Kuali Foundation Product

IUN https:// . . . /iunIUSB https:// . . . /iusbIUK https:// . . . /iukIUE https:// . . . /iueIUPUI https:// . . . /iupuiIUB https:// . . . /iubIUS https:// . . . /ius

https://us.ready.kuali.org/iub

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IU READY – BCP BOOKLET

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Overview of IU READY STEPS

Frequently Asked Questions (FAQ)

Things to Know BEFORE you plan

Glossary of BCP Terms



https://us.ready.kuali.org/iub

IU READY – Opening Screen – (CAS)

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IU READY – Opening Screen

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Guidance Panel

User’s Name & Campus

IU READY – Welcome Screen

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HandyLinks - pull down menu

IU READY – Welcome Screen

‘Click’ on Button to Begin

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Preliminary ADMIN Set up

Administrator Control Screens

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Administrator Control - Manage or Setup

Each RADIO BUTTON (21) requires manual input of content, (i.e., setup information.) Information can be as detailed or as simple as needed for campus BC planning. This work is done by the system Administrator prior to campus usage.

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CREATE A NEW PLANCREATE A NEW PLAN

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CLICK on button “GO TO THIS PLAN”

IU READY – Choose a Plan / Create a Plan

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Click on button to “CREATE NEW PLAN”



❷

❶

❸

Head of Unit

Acronym

Org Chart

Name of Unit

IU READY – Create a New Plan

Screen Entry – From the Bottom UP!

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Guidance Panel

Full email address

❹

This is the upper-most Dean/ Chair / Director for the area this plan will cover

BCP Team will be happy to help with the naming convention for your area of responsibility… 14


Vice Presidents

ProvostPresident

Vice Provosts Chairs/Deans

Administrative / Operational Level Academic Level

(14) (33)

+

IUB

LEVEL 1MAJOR DIVISION LEVEL

(47)

LEVEL 2ACRONYM LEVEL

(188)

LEVEL 3 or 4PLAN NAME

=(235)

(∞#)

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NAMING CONVENTION – IUB (Handout)

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❸ - Org Chart

The ORG CHART is derived from the highest level (just below the IU PRESIDENT or PROVOST) or next level down (DEAN, VICE PRES. or VICE PROVOST, or SCHOOL OF…)

THERE ARE 47 LEVELS

Each BCC should choose the highest level of their reporting line just below the President or Provost.

NOTE: This selection is used internal to IU Ready and helps with canned reports or creation of new reports.

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- Acronym

The ACRONYM field incorporates the ORG CHART abbreviations for level #1 (top/highest below the President or Provost) AND level #2 into one field.

If your Department, Division, or Unit (DDU) is several levels down the reporting line, always pick the highest level below the Chancellor level, AND the next level down in the reporting line for YOUR selection.

Example: At IUB, the Physical Plant (PP), reports to the Vice President for Capital Projects and Facilities (VPCPF). Therefore the Acronym would be = VPCPF-PP.

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❷❹❹

❷❷

❶❶Head of Unit

Acronym

Org Chart

Name of Unit

Step #4 – Name of UnitStep #4 – Name of Unit


Name of your DIVISION / UNIT Name of your DIVISION / UNIT

❸❸

EngineeringBuilding Maintenance & OperationsBuilding SystemsUtilitiesAdministration Support ServicesFinanceProcurementService Center

VPCPF – PP – Engineering (Mechanical)

VPCPF ->

VPCPF – PP ->

Engineering ->

Click – “Create a New Plan”

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STEP – TABS (1-5)

Name of the Plan

Add / Remove Users

Interview FormsMaintenance Buttons

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VPCPF – PP – Engineering (Mechanical) Name of the Plan

Add as many names as need to complete the plan.

Full Access …or… View Only

Guidance Panel 20




Name of the Plan

Step 1: Department Identification

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Guidance Panel

STEP ❶Department Identification

Includes:Number of PersonnelType of Department *Location(s) occupied *Evacuation PlansCost Center **Comments (if needed)

* Pull Down Menus** Not used by any IU campuses

SAVE …. SAVE and CONTINUE 22


STEP ❷Critical Functions

Plans allow up to 999 Critical Functions or Non-Critical functions. The list of functions may be placed in the order desired by the user by changing the number and clicking on the “Reorder List” button

A Level of Criticality (1, 2, 3, Deferrable) is set for each listed function. A set of Detail Screens (or sub-tabs) allow the collection of additional information about the specific function.

Click for Go To Detail Screens23 24

Guidelines for Critical Functions

Identify Critical Functions in terms of functions and services, rather than processes or department names

A critical functions has one or more of these attributes:

a. Has direct, immediate effect in preventing loss of life, personal injury, or loss of property

b. Is required by lawc. Is absolutely essential for teaching or researchd. Provides vital support to critical function(s) of another

dept., unit, organizatione. MUST BE continued under all circumstancesf. CANNOT suffer a significant interruption



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On the PROTECT.IU.EDU – Resources “Critical Function Worksheet - Template

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Critical Functions TEMPLATE

STEP ❷Critical Functions

TABS

Space is provide for additional detailed information by function.

The critical function title is located at the top just under the major-tabs. It indicates to the user the function for which they are entering information in the sub-tabs.

Sub-TABS

Additional information SUB-TABS includes:a. Descriptionb. Peak Periods of service or functionalityc. Documents – place to uploadd. Dependencies – upstream & downstreame. Consequencesf. How to cope IF…. Is not availableg. Action Items – A place to list what needs done.

Function Chosen

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TAB ❷.aCritical Functions

Description

Space is provide for additional detailed information of the selected function.

Provide the following:Brief DescriptionName of section / unitResponsible person

SAVE …. SAVE and CONTINUE

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TAB ❷.bCritical Functions

Peak Periods

This allows the user to indicate any months that have especially high activity in accomplishing the chosen function –EX: course – registration happens once per semester.

If the function is a daily / weekly activity, indicate this by putting “on-going” in the explanation needed box.


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TAB ❷.cCritical Functions

Documents

Space is provide to upload important documents for this function. It does not matter the ‘flavor’ of the file. It can be anything… .pdf, .xls, .doc, etc…

Provide the following:Name of documentDescriptionOwnerLocation where keptMediumContact PersonBack up


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TAB ❷.dCritical Functions

Dependencies

UPSTREAM = departments (WITHIN campus) whose reduced functioning would seriously impair your own department’s ability to perform the selected function.

DOWNSTREAM = depart-ments that would be seriously impacted if YOUR department could not perform the selected function

If the department isn’t in the lists, users may add their own.


Pull-down lists

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TAB ❷.eCritical Functions

ConsequencesOf a Slow Recovery

Suppose the function named is NOT restarted quickly enough following a crisis or disaster. Which of the listed “harmful consequences” might occur?

State what the maximum amount of time that could elapse before the ‘consequence’ would occur (0-2 days; 1 week; 2 weeks, etc.) and why.

SAVE …. SAVE and CONTINUE 31

TAB ❷.fCritical Functions

How to Cope

This section requires short answers [one-to-several bullets or statements]. Give ideas for each key resource.

Accept this challenge: We will continue (or rapidly restart) our teaching, research, patient car, and necessary support functions, no matter what the conditions.

Key ResourcesSpaceStaffUnique SkillsWorking at HomeNetwork Access

Campus ClosureRiskShow StopperAdded VulnerabilitiesPolicy Exceptions

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TAB ❷.gCritical Functions

Action Items

Action Items are the most important things in a continuity plan. They are ideas, not commitments to act.

What can be done to PREPARE? “What can be done before ___X___ to lessen its impact on this selected function?”

Action items begin with a verb and can be stated in one sentence.

EXAMPLES:1. Update emergency contact information each quarter.

2. Cross-train staff to create P.O.’s SAVE …. SAVE and CONTINUE

Action ItemsDescriptionCost (pull down)Cost typeWho’s responseComments

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STEP ❸Information Technology

Entry space for:Central Systems Departmental ApplicationsServer info Work Station needs Action Items

A set of Sub-Tabs requiring additional information are found under Departmental Apps, and Server info.

Sub-Tabs - Detail Screens

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TAB ❸.aInformation TechnologyApplications (CENTRAL)

Centrally Owned Applications are available in a pull-down menu. Users have the choice to add other applications if they are not in the list.

Users are able to list the Level of Criticality (1, 2, 3, Deferrable) for chosen systems based on usage within their group.

Level of Criticality of IT

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TAB ❸.bInformation TechnologyApplications (DEPT.)

Departmental Applications are applications used and maintained by your department – or shared with very few departments.

EXAMPLES: Software packages that ... Dispatch, Schedule, Trouble, Billing, Call Center, etc…

Once listed, a “Go to Detail Screen” button should be completed.

List Proprietary Applications

Detail Screens 36



TAB ❸.cInformation TechnologyServers

Servers that are under your department’s direct control should be listed in this section.

Once listed, a “Go to Detail Screen” button should be completed.

Detail Screens

List Servers here

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TAB ❸.dInformation TechnologyWork Stations

This screen gathers information regarding percent of division / department / unit backup procedures. Pull down windows are provided.

The intent is to get the IT Tech’s opinion on the adequacy of backup at the workstation level.

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TAB ❸.eInformation TechnologyHow to RESTART

This scree should be addressed to your IT staff.

This screen gathers information regarding RESTART procedures:

• Where to purchase hardware

• Where is system software• Environmental Needs• IT Staff adequate for size

of department• List the obstacles

Remember to SAVE or SAVE and CONTINUE on every screen.

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TAB ❸.fInformation Technology

Action Items

Action Items are the most important things in a continuity plan. They are ideas, not commitments to act.

What can be done to PREPARE? “What can be done before ___X___ to lessen its impact on this selected function?”

Action items begin with a verb and can be stated in one sentence.

EXAMPLES:1. Implement standard architecture for all dept. work-stations.

2. Complete call tree

3. Collocate all desktop software



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STEP ❹Instruction

This section is for academic departments that provide instruction – undergrad or grad, etc.

Once you choose your academic department, a set of Sub-Tabs allow the user to list the • High Priority Courses • ID the continuity

practices in place, and list information about the Special Teaching Issues – (i.e., Labs, Studios, Field Work, etc.)


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TAB ❹.aInstruction

High Priority Courses

A course is considered High Priority if it meets three of these four listed criteria:

Undergraduate course …1) large-enrollment course2) taught one a year3) required by graduating seniors4) it is a pre-requisite for a major

or, part of a sequence.

Graduate course …1) Grad-level courses in

professional schools – (i.e. law, business, health science) – that meet the 1st and 2nd criteria will also be considered High Priority

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Add ‘button’

TAB ❹.bInstruction

All Courses (undergrad only)

Considering all the undergraduate courses offered within your dept, division or unit, answer the per-centage of usage and if it could be expanded for the following:

1) Oncourse2) Grades – Grades Tool3) Good Communication with AI’s4) Common Course Materials

SAVE or Save and Continue

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TAB ❹.cInstruction

Departmental Practices

Strategies for identifying substitute instructors may vary by discipline and by course type. Your “backup plan for academic personnel” need not be a formal document – but it is important to discuss this topic and take appropriate action.

Recommended Practice:1) Strategy for Disaster

Communication2) Backup Plan for Academic

Personnel3) Faculty Leaves4) Innovative Pedagogy


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TAB ❹.dInstruction

Special Teaching Issues

Many courses require specialized resources, for example:• Laboratories• Studios• Field work / Internships• Specialized instructional software• Access to collections


Add ‘button’

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TAB ❹.eInstruction

Action Items

The previous INSTRUCTION screens have raised numerous issues that affect readiness to continue teaching under adverse circumstances.

What can be done to PREPARE? “What can be done before any disaster to become more ready to continue the curriculum?”

EXAMPLES:1. Discuss instructional continuity topics periodically at department meetings. SAVE …. SAVE and CONTINUE


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STEP ❺Key ResourcesThis section allows for entry of the resources – human, equipment, supplies, etc.

A set of Sub-Tabs (a.- j.) require entry of key personnel (internal and external) contact information, who can work at home, document storage, and quantities of equipment and supplies needed.


SUB-TABS includes:a. Staff Basics – for the office or unit

b. Work from Home – list of who can and can’t

c. Teamsd. Skillse. Staffing Requirementsd. Staff of Other Units – contact information

d. Stake Holders – vendors, partners, donors

e. Document Summaryf. Equipment & Supplies – post crisis needs

g. Facilities & Transportation – unique needs

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SAVE THIS SECTION

TAB ❺.aKey Resources

Staff Basics

Every unit is asked to keep its own list of home contact information for faculty & staff.

Section 2: Key People in Your Unit: Resist the temptation to list all staff under “Key People..”

These folks are the ones you would call upon first in time of crisis – who have the experience, skills, or authority to help “sort thing out” and plan the next steps.

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SAVE THIS SECTION



TAB ❺.bKey Resources

Work from Home

Most units have personnel who have jobs that could be done from home – or at least … some of it.

There are several methods to gain this information. Once you know “WHO…”, then you need a strategy to enable key staff who can’t.Can you loan them equipment? Can your IT support team support folks working from home?

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Add ‘button’

TAB ❺.cKey Resources

Teams (up to 10 teams)

This screen identifies the ‘kind of’ teams you would need to recover your services should regular staff (or providers NOT be available).

Examples –Custodial Team – with special skill to work with tissue refuse.Animal Handlers – 24/7 service in research areas.Medical Staff – triage teams to assist with injuries.Oracle Service Team -specializing in brining up in-house servers.

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Add ‘button’

TAB ❺.dKey Resources

Skills

If a particular skill will be needed post-disaster, include it on your list even though you think you will “have it covered”. Many are listed in a pull-down list.

The list of skills, licenses, or certifications that might be needed

Example – process payroll. Even through you have a person who does payroll, he/she might not be available.

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Add ‘button’


TAB ❺.eKey Resources

Staffing Requirements

The extreme demands we may face during a crisis may require temporary realignment of staff. This screen attempt to address the need by asking you how many and what types of staff might be available to assist elsewhere.

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Add ‘button’




TAB ❺.fKey Resources

Staff of Other Units

Who are the most important people from elsewhere on campus?

Collect this information from all facets of the covered department / division / unit because:

• Crucial staff may not be reachable

• Offices may not be accessible

• Computer networks may be down

• Leaders/managers may have to handle issues outside their normal spheres.


Add ‘button’

TAB ❺.gKey Resources

Stakeholders

There will be other people that staff may need to contact after a disruptive event? – vendors, clients, project partners, sponsors, other stakeholders.

Collect this information from all facets of the covered department / division / unit.

Vendors Note – include only those that your department makes individual purchases from (as opposed to those vendors who sell in bulk to central purchasing department).


Add ‘button’

TAB ❺.hKey Resources

Document Summary

Documents uploaded through this screen and copied to a secure server, for access by authorized people only. They also remain in their current location on your own computer or server.

If a document is confidential or sensitive, please describe it but do not upload it. Although your plan lives on a secure server, any current user of your plan can grant access privileges to anyone else.

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Add ‘button’

TAB ❺.iKey Resources

Equipment & Supplies

This screen allows entry of information about “things needed” – the minimum equipment one would need to perform ALL critical functions. The entries should be only for the department / division / unit this plan covers. If needed a comment section is available.

If there are other items needed (specialty equipment), list those in OTHER EQUIPMENT.

In SUPPLIES, list the consumable supplies your unit needs in order to function.

If you prefer, upload lists on the DOCUMENT screen. Indicate in the first field the name of the document – “See Equipment_List010611for information”

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TAB ❺.jKey Resources

Facilities & Transportation

Facilities – List briefly any special space or facilities needs that are IN ADDITION TO your office / classroom / lab needs.

Examples of “Special space or facilities needed”:

* parking for vehicles* secure space for cash-handling* 5 surgical suites* licensable space for child care

Transportation – List any special transportation needs.

Examples of “Transportation needs”:* segway* club-car (electric golf carts / gas gators)* div. car, trucks/vans, squad cars, * trailers * bicycles

Other Resources – Are there other resources you will need to continue / resume your critical functions? 57SAVE or Save and Continue

ACTION ITEMSummaryAction Items are the most important things in a continuity plan. They are things that could be done now or anytime before a disaster strikes to make your unit more prepared.

Action Items begin with a Verb and can be stated in one sentence. They are ideas, not commitments to act.

Action Items previously added during previous steps are listed here. You may other additional action items here.

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Name of the PlanMaintenance Buttons

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IU READY – Complete Printed Plan

PLAN HOME Printing Menu

Available: Right Menu BarFrom ‘HandyLinks’

(available at any time)

Allows Print or View:Continuity Plan(s)Uploaded DocumentsInterview Forms

Printing Menu


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Printing Menu

Allow View and/or Print:Continuity Plan(s)

…or specific sectionsUploaded DocumentsInterview Forms



Printed .pdfIU Ready creates a Portable Document Format (.pdf) that can be viewed on screen or printed as a hardcopy.

Print Save Email # of pages


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TRACKING REPORTS

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Departmental Tracking Document

GREEN – BLUE – ORANGE - YELLOW – RED Tracking Method

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Send copy of your area’s Tracking Document monthly to

[email protected]

WEBSITE

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References - Materials

WEBSITE – protect.iu.edu/bcp

businesscontinuity.iu.eduUser Guide to Business Continuity / Resumption PlanningBusiness Continuity Coordinator (BCC) Planning Checklist

IU READY web-base planning tool: (by specific campus)Bloomington http://us.ready.kuali/iubIUPUI (Indianapolis) http://us.ready.kuali/iupuiIUPU – Columbus http://us.ready.kuali/iupucIU North (Gary) http://us.ready.kuali/iunIU South Bend http://us.ready.kuali/iusbIU Kokomo http://us.ready.kuali/iukIU East (Richmond) http://us.ready.kuali/iueIU Southeast (New Albany) http://us.ready.kuali/ius

Email us at: [email protected]

QUESTIONS??

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IndianaUniversity

BUSINESS CONTINUITY

PLANNING…success

Mike Lane (2007) – Cagle Cartoons

Mary Lou East-Emmons Business Continuity Planning Manager

1469 E. 17th StreetBloomington, IN 47408

Office 812.855.8975Cell 812.345.0234

BCP Team Contact Information

Nathaniel DeVore BCP Specialist – Regional Campuses

351 W. 10th StreetIndianapolis, IN 46202

Office 317.274.8151Cell 657.464.0183

Cole S. Seger BCP Specialist – IUB Campus


Office 812.855.5942Cell 812.630.4183

Eileen RobichaudBCP Specialist – IUB Campus


Office 812.855.3212Cell 812.345.0987

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Eileen Mary Lou Cole Nathaniel

[email protected]

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