Facility Resiliency – Continuity of Operations Plan

(FR -COOP)

University of North Carolina at Chapel Hill

Instructions:

Building a business continuity program requires careful thought and planning. This second template of our continuity of operations planning (COOP) requires you to consider the loss of key facilities and determine your recovery time objective, special needs for relocation and resumption, and pre-planning techniques to reduce the possible effect of a major facility disruption.

Once you have completed this Facility Resiliency COOP, maintain it in a location that is accessible when needed. Remember that your campus building may not be accessible during a loss, so backup copies should also be maintained at an off site location. An electronic copy that can be accessed remotely should also be made available to all necessary stakeholders.

Please also submit a copy to Risk Management Services to (or via campus mail, CB# 1650). For questions, you may phone 919-962-6681 or 919-962-9061.

Scenario: It is the middle of the night when you get a call informing you that one or more of your workspaces has been incapacitated. For the sake of this template, let’s imagine there has been a major fire, hazardous gas release, or similar event, which makes return to the building impossible and a significant amount of work material no longer accessible. This occurs at the worst possible time—a deadline is looming, classes are just starting (or ending), or some other time that is significant to you. What are the steps you would follow to begin operations in another location? Who would you contact? What resources would you need?

Department/Unit
COOP Contact / Name / Phone Number / CB#-Address
Email address
Dept. locations

Is your department receipt-supported or generally funded?

__ Receipt-supported __ Generally funded ___ Both

SIGNIFICANT FACILITIES:

Where do you conduct your work? What locations are most important to your continuity?

Type of Facility / Location
Example: Administrative
Example: Teaching
Example: Research

Recovery Time Objective:

Some campus operations run 24-hours a day, while others (such as administrative) are on a daily business schedule. For your needs, how long before you would need to resume operations to prevent significant loss of service, revenue, etc.? This is your recovery time objective (RTO).

·  Critical Functions RTO

Function (in order) / RTO (hours?/days?) /
Potential Loss (work, $$, etc.)

·  Secondary Functions RTO

Function / RTO (hours?/days?) /
Potential Loss (work, $$, etc.)

Mitigation Strategies:

There are some strategies you can implement and information you can collect in advance to reduce the effects of any disaster. Please complete the following:

·  Crisis Team and Activation Authority

Who are the members of your Crisis Team? Who has the authority/responsibility for activating your plan?

Name /
Phone # / Authority?
Y / N

(All of these people should have copies of the Call Trees and the COOP plans with them at all times.)

·  Call Tree

Is your Call Tree developed?
Do you need help developing your Call Tree?
Who maintains your Call Tree?
When was your Call Tree last tested?
Do you need help testing your Call Tree?

·  Clean Desk Policy (Vital Records)

A Clean Desk Policy outlines your expectations for protecting critical documents, information, and other resources. You may require all employees to back-up all data, to scan critical documents, and/or to protect special equipment in order to ensure that little or no critical data is unrecoverable due to loss of a facility. Do you have a fire/water-proof safe? What is your Clean Desk Policy?

·  Protecting Confidential / HIPAA Information

It is absolutely essential that personal and medical information entrusted to your department is protected. In the scenario described above, could this information accidentally become accessible to inappropriate persons? How do you protect your confidential information?

·  Regulatory Requirements

What regulatory requirements are you subject to, and how would a disaster affect your compliance? What precautions can you put in place now to ensure compliance throughout a disaster, recovery and restoration? Do you need help ascertaining this?

·  Work from Home Procedures / Policy

In the event that your facility is not available, could some employees work from home to resume operations? Do these people need prior approval from HR? Have you obtained it? Is their remote-desktop enabled? Will they be expected to give daily accounts of their work effort? What is your work at home policy?

·  Alternative Location

Not all operations can be conducted from home. You may need to set up an alternative location on campus or nearby. What would you need to do so?

If you have an extremely short recovery time objective, you may need to have a “hot site” (always ready to go!) or, at a minimum, an agreement with another department/office on campus to share resources in times of crisis.

You may want to coordinate with others who share the building you are in, or other departments that are similar to yours.

o  Contract Site

Do you currently have any reciprocal agreements or other pre-arranged plans to share space in the event your work place is no longer accessible? Where? With whom? Do you need assistance developing a pre-arranged space agreement?

o  Space

If you do not have a contract site, approximately how much space would you need to resume operations? What type of space? (lab, office, other)

Type of Space / Square Footage

o  Work Stations

What equipment would you need in your new site?

Type / Number / Possible source
Computers
Chairs
Desks
Printers
Copiers
Phones
Fax Machines
(Lab Equipment)

o  Key Documents

Just as in home planning, critical documents need to be copied and maintained in a secondary location. These may be documents that grant authorities, concern contracts, or relate to finances, training, research, employees, etc.

Document / External Location

o  Key Supplies

Extra supplies need to be maintained off-site, also. Some important examples would be signature stamps, checks, invoices, and research equipment, but also include brand specific paper, toner cartridges, etc.

Supplies / Number / Possible source

o  Key Contact Numbers/Addresses

Who do you work with the most? Are their names and numbers readily available to you? This may include contacts on campus or at other universities, research facilities, etc.

Name / Institution / Phone / Email Address

o  Key Vendors

What special vendors are needed for your work? If your primary location was affected by fire, would your work require special restoration services?

Name / Business / Phone / Email Address

o  Other Dependencies (ex.: specialized restoration services)

Name / Business / Phone / Email Address

o  Special Considerations

Crisis Operations:

This stage pertains to your operations in a new, temporary location.

·  Authorized Access

Because you are now in a new location, by what means do you ensure that only authorized access is allowed? (You may have to develop an agreement/plan a forehand to answer this portion.) How do you assure your access during off-peak hours?

·  Limited Operations

How would your temporary re-location affect your operations? What can you postpone until you are fully operational again? What services would you limit to your customers? Describe how you expect to operate during a crisis.

·  Communications I

Imagine you have already contacted your crisis team. Who else do you need to alert to your change in location and your interruption of service?

Name / Business / Phone / Email Address

·  Communications II

By what means of communication would you contact your customers? How quickly must this be done? Who would be responsible for this task?

·  Damage Assessment / Salvage

Once the Department of Public Safety has determined your primary location can be re-entered, who would be responsible for assessing any damage to your equipment? Who could determine what is salvageable? How would this work? Would you need an outside vendor?

Recovery Strategies:

Imagine your work area has been cleared for re-entry, or that you have a new site for permanent operations. What would be the process of recovery? In addition, what are some of the financial implications you would face due to this crisis?

·  Leadership for Recovery Efforts

Who is responsible for guiding the move to a new site? Would the crisis team still be involved?

·  Step-by-Step

If you are asked to move to a new site, what are the steps you would need to start full operations again? For example, someone would need to assess the new site and assign work stations, move equipment; contact customers, arrange for mail and other deliveries, redesign letterhead, etc.

Step / Action / Responsibility

·  Recovery Inventories

Create a list of your current operations and inventory to compare to your recovered operations and inventory. You may include here, or keep as a separate document.

·  Reduced Income

If your services are reduced to crisis level, what affect would that have on your financial planning? (For examples, if your service was reduced by 50%, would that have a 50% affect on your income/budget?) How can you plan for that now?

·  Additional Costs

What are some of the additional costs associated with crisis operations (or move to a temporary site)? Would you need to rent a site? Purchase new equipment?

Crisis Operation / Purchases / Potential Cost

·  Budget Reserves

Do you maintain a budget reserve for crisis operations? How can you reduce the financial impact of crisis operations? Are there alternative means of income for your service? Would you need them?

(Do you need help planning for this? Contact Risk Management Services.)

Special Considerations:

No template can cover the needs and challenges of all the concerns on campus. What are some special considerations for your crisis operations planning?

Thank you for completing your Facility Resiliency Continuity of Operations Plan (FR-COOP). Please submit your plan via email to Risk Management Services at . If you have any questions about any items herein, or if you need any assistance in completing this template, please call (919) 962-6681 or (919) 962-9061.

March 17, 2010

101.1.2f – Facility Resiliency – Continuity of Operations Plan Page 13

Revised: 11/8/2017