Business Continuity Planning

Overview

1
 The Need For Business Continuity Planning
Scenario #1
It is early September, only one day after the University experienced direct
hits from a series of devastating tornados. Emergency response teams
have now successfully addressed all life safety concerns, thanks to well
thought out plans. However, resulting damage has rendered 4 residence
halls, 1 classroom building, 2 research buildings and 1 office building
unusable for the remainder of the semester. You receive a message from
the President’s Office requesting that all necessary efforts be taken to get
the University back into operation, with all classes in session, in 3 days.

• What preparation do you have in place to prepare for this?

• What other University processes will you need available in order
to fully operate? And are those processes available?
• Who is relying on you before they can get their operations
back?
• What is your role at this point?
The Need For Business Continuity Planning
Scenario #2
It is late April, only a few weeks prior to final exams and the onset
of commencement activities. A cyber-deviant group has
successfully infiltrated the University’s Network and Banner
Systems and shut them down. You are being asked by your
superiors to maintain your critical processes so that the remainder
of the semester and all commencement activities are not delayed.

• Which of your processes rely on the Network or

Banner Systems?
• How long will these systems be down?
• What is your plan for proceeding without them?
• Is OIT aware of how much you rely on these services
and the potential consequences that may result?
 Business Continuity

The ability of an organization to

provide service and support for its
stakeholders and to maintain its
viability before, during, and after an
interruption of normal processes.
 Response
Resilience Recovery

Business
Continuity
Culture

Resilience: The ability to absorb the impact of a business interruption, and continue to provide a
minimum acceptable level of service. A business culture is created that encourages resilience building as
an ongoing practice aimed to strengthen infrastructures and plans. This serves to minimize a recovery
stage time or eliminate the need to experience a recovery stage altogether.

Emergency Response: The immediate reaction and response to an emergency situation focusing on
ensuring life safety, minimizing property damage and reducing the severity of an incident.

Recovery: Implementing prioritized actions that are required to return a process and its support
functions to operational stability following an interruption.
Business Continuity – A Time-Line Perspective

Normal operations
restored

Business as Usual

Recovery Stage
Event Stages

Emergency Operations
Center activated

Emergency Response

Disruption Occurs

Normal Operations

Planning/Resilience Resilience continues

Stage lessons learned

Time Critical Time Period

 UNIVERSITY OF NOTRE DAME
EOC ORGANIZATION

Agency 1
Executive Emergency Policy Committee
(Policy Committee)
Agency 2

Emergency Operations Center Leader

Incident PIO Safety Liaison Life EOC Cord. / F&A Planning

Coordinator Officer Officer Officer Scribe Officer Officer

Student Affairs Business Operations Athletics

Finance
Human Resources Investment

Student Affairs
Academic Affairs Research

OIT University Relations

Dept. Dept. Dept. Dept. Dept.

 Aligning BCP With University Goals
Goal #1 Goal #2 Goal #3 Goal #4 Goal #5
Unsurpassed Premier Research Catholic Continuous Strategic
Undergraduate University Character Improvement Communication
Education

Instruction
Infrastructure Needs Instruction Process Needs

Facility IT Funding Personnel Supply Chain Academic

Function

1. Internet
1. Physical Space 1. Financial Aid / 1. Faculty 1. Procurement 1. Instruction
Connectivity
-Classroom/labs Tuition Mgmt. 2. Administrative Services 2. Enrollment/
2. Data storage &
-Resident Halls 2. Payroll Support -Equipment Registration
Retrieval
-Dining Halls 3. Accounts 3. Oversight -Raw product 3. Classroom
3. Software
-Offices Payable -Department -Office supplies space mgmt.
4. Hardware
2. Mechanical (Vendors) -Dean -Other vendors 4. Housing /
5. Email
-HVAC 4. Liquidity -Provost 2. Product receipt Residence Life
6. Phones
-Electrical 5. Tracking -Grad. School storage and 5. Transcript
7. IT Security
-Plumbing 4. Human delivery Svcs. management
8. Library
-Maintenance Resources 3. Hazardous 6. Admissions
9. Unique/special
3. Security 5. Health & waste disposal -Undergraduate
computers
-Personnel Counseling Svcs services -Post -
10. Instructional IT
-Physical (locks) 6. Legal Services Baccalaureate
4. Custodial Svcs 7. Campus 7. International
needs
5. Risk Mgmt & Ministry Studies
Safety
 Aligning BCP With University Goals
Goal #1 Goal #2 Goal #3 Goal #4 Goal #5
Unsurpassed Premier Research Catholic Continuous Strategic
Undergraduate University Character Improvement Communication
Education

Research
Infrastructure Needs Research Process Needs

Academic
Facility IT Funding Personnel Supply Chain
Function

1. Physical Space 1. Internet 1. Grant Funding 1. Faculty / 1. Procurement 1. Research

-Labs Connectivity 2. Payroll Researchers Services 2. Grant
-Grad. Housing 2. Data storage & 3. Accounts (Post-Doc/Grad) -Equipment Administration
-Offices Retrieval Payable 2. Administrative -Raw product -Pre-Awards
-Equipment / 3. Software (Vendors) support -Office supplies -Post-Awards
Specimens 4. Hardware 4. Liquidity 3. Oversight -Other vendors 3. Technology
2. Mechanical 5. Email 5. Tracking -Department 2. Product receipt transfer /
-HVAC 6. Phones -Dean storage and Intellectual
-Electrical 7. IT Security -Provost delivery Svcs. property
-Plumbing 8. Library -Office of 3. Hazardous
-Maintenance 9. Unique/special Research waste disposal
3. Security computers -Grad School services
-Personnel 4. HR
-Physical (locks) 5. Health Svcs
4. Custodial Svcs 6. Legal Services
5. RM&S 7. Camp. Ministry
 Hierarchy of the University’s
Business Continuity Project
The Business Continuity Committee has been
IRCC charged with ensuring that plans are developed
Institutional Risk & Compliance
Committee for essential University departments. The
committee is chaired by Micki Kidder (Office of
the EVP), administered by Scott Knight (Risk
Management & Safety), and includes
representatives from the Controller’s Group,
Business Human Resources, Office of Information
Continuity Technology, Business Operations, and the
Provost’s Office. This committee will review
Committee and evaluate any major vulnerabilities to
identify and resolve potential gaps. The
committee will report progress and
recommendations to the Institutional Risk &
Business Compliance Committee ( an officer level
Continuity Dept committee chaired by John Affleck-Graves) and
keep the Planning Officer of the EOC informed
Representatives of all recovery plans.
 Continuity Infrastructure Groups (3)
OIT Controller’s Group Utilities

Continuity Operational Groups (23)

Provost Office OPAC
University Libraries Graduate School
Office of the Registrar Admissions
Office of Research Food Services
Facilities Operations Architects Office
Risk Management / NDFD Warehouse and Delivery
Human Resources NDSP
University Health Services Counseling Center
Residence Life Campus Ministry
Financial Aid Treasury
Student Accounts General Counsel
 Planning Stage
Business Impact Analysis
• Business Impact Questionnaire
• Identification of critical processes
• Prioritization of critical processes based on life, property,
reputation, financial impacts & regulations
• Identification of dependencies
– Products & services
– IT systems
– Processes
– Personnel
– Facilities needs
– Financial needs
 Planning Stage
Development of Recovery Procedures
• Core strategies to development of recovery procedures:
1. Physical Solutions :Installation of processes or equipment that serve to
bypass an interruption (i.e.; back up generators or duplication of
equipment or processes)
2. Operational solutions :Changing the way of doing business in an effort to
head off the effects of an outage (i.e.; Use more than one supplier for
specific goods and services or backing up files and data routinely)
3. Response/recovery solutions :Strategy that establishes timely and
effective post-incident tactics that accelerate the resumption of
processes (i.e.; Establishing temporary means of doing business without
specific critical systems in place)

Plans shall address the following key areas of their business activities:
1. Facility needs 4. Personnel needs
2. IT/Data needs 5. Supply chain/Distribution channel needs
3. Funding needs 6. Academic Functional needs
 Planning Stage
Continuous Improvements

Continuous Improvements will be made to the plans on an

annual or as-needed basis and will include:

o Identification of gaps
o Seek resources to increase resilience
o Abatement of gaps
o Table tops & Exercises
o Plan review and update changes
 Business Continuity Planning Flow Chart
Kick-Off Operational & Operational & Operational &
Communicate BCP to Infrastructure Groups: Infrastructure Groups: Infrastructure Groups:
Operational & Infrastructure Develop BIA’s specific to: Establish concise action-based Establish Recovery Time
Groups. Groups complete a 1. IT dependencies recovery procedures for Objectives (RTO’s) for critical
questionnaire which is the 2. Financial dependencies critical processes. processes.
basis for their Business Impact 3. Facility dependencies
Analysis 4. Other dependencies

Plan Integration:
BCP Mgr. works with Infrastructure &
Operational Groups to align MTO’s with
RTO’s, identify gaps, and develop
Long-term proposals for solving gap problems. BC Immediate
changes made changes made
Committee evaluates gap proposals &
to MTOs or to MTOs or
RTOs provides IRCC with recommendations. RTOs
Committee provides Operational &
Infrastructure Groups with gap Operational &
improvement plans based on the Infrastructure Groups:
direction of the IRCC. Complete all remaining
elements of their business
continuity plans.

Gap improvements are

made to increase resilience
of plans
Storage of Plans:
All plan documents are
Plans are tested through imported into a document
ongoing exercises and management program to
table tops manage, manipulate,
measure and store
Plans are reviewed and indefinitely
updated on a scheduled
basis
 Business Continuity Planning Timeline
(Revision September 2008)

Task Stages 2008 2009

Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug Sept Oct Nov
Kick-off/complete questionnaires

BIA Workshops

Completion of BIA’s

Complete recovery procedures

RTO development

Gap analysis & integration process

Complete final elements of plans

 Next Steps
• Completion of questionnaire
• Business impact analysis workshops
• Completion of business impact analysis
• Establish action-based recovery procedures
• Establish recovery time objectives
 http://emergency.nd.edu/

Notre Dame Emergency Information

Current Status
There is no emergency at the University of Notre Dame. The
campus is operating under normal conditions.
In the event of an emergency, this site will be updated with
Emergency Planning information about the nature of the incident, how to remain safe
Emergency Contacts and, after the event, the point at which safety has been restored.
ND Alert
Resources Reporting an emergency
Dial 911 from any phone; or
Business Continuity Pick up the receiver of any blue-light phone on campus
Campus Emergency Information
During a major emergency, information can be found on this website or by calling (866) 668-
6631.
For non-emergency reporting:
Notre Dame Security & Police: (574) 631-5555
SAFEWALK: (574) 634-BLUE (2583)
Emergency Planning
The University's emergency preparedness protocols were developed to ensure the safety of
students, faculty, staff, and visitors in the event of a campus disaster or other emergency
situation. The resources and information contained on this website are a component of the
University's overall emergency preparedness and response efforts.
Business Continuity
In a continuing effort to improve Notre Dame's response following a major campus emergency, the University is launching a business continuity
planning effort. This effort is an extension of the recent work performed on the Campus Emergency Preparedness and Response Plan, with
attention now shifting from immediate response efforts to the continuing of business processes and operations. A primary objective of the
business continuity project is to identify processes and improvements that would minimize or eliminate the amount of time and expense required
to resume business as usual following an unexpected disruption of normal business activities.
Below are links both a PowerPoint presentation and Department Questionnaire, both of which provide additional insight into the project. The
questionnaire will also assist in preparing departments for their respective Business Impact Analysis. For those responsible for completing the
department questionnaire, please download the file, complete the necessary fields, and forward an electronic version to Scott Knight, Business
Continuity Manager ([email protected]). You may also contact Scott at 631-5037 should you have any questions.

•Department Questionnaire (56kb MS Word)

•Emergency Planning
•Emergency Contacts
•ND Alert
•Resources
•Business Continuity
 Business Impact Questionnaire
A copy of this form can be found at www.emergency.nd.edu – Completed form due November 14th, 2008

The purpose of this questionnaire is to prepare you and the University’s Business Continuity Manager for your upcoming Business Impact Analysis.
This will begin the framework for your Business Continuity Plan. Please gather the appropriate personnel from your department(s) to ensure that
all aspects of your operations are considered when filling out this questionnaire. Your “point of contact” should be the individual who will be in
charge of putting together your department’s business continuity plans. To ensure that everyone is speaking the same language, please refer to
the set of definitions that are attached to this document. It may also be helpful to refer to the slide titled “Aligning BCP With University Goals”
from the presentation while filling out this questionnaire. Note: If you represent multiple departments (or sub-departments) please fill out one
questionnaire for each.
Check the box at the end of each applicable item to indicate which university goal your response supports (check both if applicable). Feel free to
contact Scott Knight (extension 5037 – or at the email listed below) with any questions. When you have completed this form please email an
electronic copy to Scott Knight at [email protected].

Department or Functional Unit: Utilities

Point of Contact for your department: Paul Kempf Phone 1-0142

1. Insert your Mission Statement: To provide reliable, low cost and compliant utility services in support of the many activities on
campus including research, major sporting events and daily life.

2. Do you have any recovery plans in place at this time for any of your processes? YesX
No

If Yes, please briefly describe and attach any applicable documents: We have assembled a business continuity plan that prioritizes the buildings
and functions on campus during a disruptive event along with a crisis communication system to evaluate the status and make critical decisions.
This plan enables us to efficiently divert our resources and redundancies to maintain utilities at each critical site following a disruption.
3. List all of your “critical processes (functions)” in order of importance. Please do not include functions that the University could be without for
an entire semester before irrevocable damage would occur to life, property, significant financial costs, non-compliance to regulations or the
University’s reputation:

a. Steam & Condensate System Instruction X Research X

b. Electricity System Instruction X Research X
c. Domestic Cold Water System Instruction X Research X
d. Domestic Hot Water System Instruction X Research X
e. Sanitary Sewer System Instruction X Research X
f. Chilled Water System Instruction X Research X
g. Storm Sewer System Instruction X Research X
h. Compressed Air System Instruction X Research X
i. Natural Gas System Instruction X Research X

4. List each internal dependency that you rely on to carry out your critical processes:

Facility Dependencies (i.e.; Buildings needed for critical operations):

a. Power Plant Emergency & Critical Power System Instruction X Research X
b. Power Plant Instruction X Research X
c. Facilities Building Instruction X Research X
d. Instruction Research

Information Technology Systems/program dependencies:

e. PowerNet (Partially –OIT supported) Instruction X Research X
f. Invensys (Partially –OIT supported) Instruction X Research X
g. Freelance (Non-OIT supported) Instruction X Research X
h. DCS (Non-OIT supported) Instruction X Research X
i. CEM (Non-OIT supported) Instruction X Research X
j. Internet system Instruction X Research X
k. Phone service Instruction X Research X

Funding dependencies (routine funding needs and emergency funding needs):

a. Emergency Contractor payment (reconstruction/labor) Instruction X Research X
b. Emergency Rental equipment (generators/boilers/etc) Instruction X Research X
c. Emergency Purchases of major equipment replacement Instruction X Research X
d. Overtime payment during major emergency recovery Instruction X Research X
5. Please list any critical personnel (intra-departmental), by title, with special skills (not easily replaceable) that would be critical during an effort
to recover your processes following an outage event:

a. Director & Asst. Director of Utilities Instruction X Research X

b. Mechanical Engineer Instruction X Research X
c. Electrical Engineer Instruction X Research X
d. Sr. Environmental Specialist Instruction X Research X
e. Operations Supervisor Instruction X Research X
f. Maintenance Supervisor Instruction X Research X
g. Sr. Controls Technician Instruction X Research X
h. Systems & Controls Supervisor Instruction X Research X
i. (2) A-Technician-Controls Instruction X Research X
j. (4) A-Technicians-Systems Instruction X Research X

6. List internal supply chain dependencies (not including Facility/OIT/Funding):

k. Central Receiving Instruction X Research X

l. Instruction Research
m. Instruction Research
n. Instruction Research

List your external supply chain dependencies (example: suppliers/contractors) that you rely on to carry out your critical processes:

o. Centerline Mechanical Contracting, Inc. Instruction X Research X

p. Koontz Wagner Electrical Co. Inc. Instruction X Research X
q. GE Marshall Instruction X Research X
r. HRP Construction Instruction X Research X
s. Peerless-Midwest, Inc. Instruction X Research X
t. Havel Instruction X Research X
u. Buckeye Industrial Mining Co., Inc. Instruction X Research X
v. AEP Instruction X Research X
w. Energy USA Instruction X Research X
x. NIPSCO Instruction X Research X
7. List your internal stakeholders (University departmental customers) who rely on your critical processes (your deliverables):

a. All University Departments Instruction X Research X

b. Instruction Research
c. Instruction Research
d. Instruction Research
e. Instruction Research
f. Instruction Research
g. Instruction Research

List your external stakeholders who rely on your critical processes:

h. All students and their families Instruction X Research X

i. Notre Dame Community and Guests Instruction X Research X
j. Instruction Research

8. Please list any IT-related data that is continuously collected and must be maintained during an outage (data collection that cannot be
interrupted without irrevocable consequences):

a. N/A Instruction Research

b. Instruction Research
c. Instruction Research

9. List any periods of times (i.e. time of year or semester, or specific events) that your dependencies are greater than usual from a time
standpoint (we are looking for high demand and high expectation occurrences):

a. Peek winter days with low temperatures, <32F Instruction X Research X

b. Peek summer days, temps above 90F Instruction X Research X
c. Instruction Research
 Applicable Terminology
Business Continuity: The ability of an organization to provide service and support for its customers and to maintain its viability before, during,
and after an interruption of normal processes.

Business Continuity Plan: Process of developing and documenting arrangements and procedures that enable the institution to respond to an
event that lasts for an unacceptable period of time and return to performing its critical functions after an interruption.

Business Impact Analysis: A process designed to prioritize business functions by assessing the potential quantitative (financial) and Qualitative
(non-financial) impact that might result if the University was to experience a business interruption.

Critical Processes/ Functions: The critical operational and/or business support functions that could not be interrupted or unavailable for more than a
mandated or pre-determined timeframe without significantly jeopardizing the University’s ability to provide research
and instruction.

Dependency: The reliance or interaction of one activity or process upon another.

Event: Any occurrence that may lead to a business continuity incident.

Impact: The effect, acceptable or unacceptable, of an event on the University.

Loss: Unrecoverable resources that are redirected or removed as a result of an event.

Outage: The interruption of automated processing systems, infrastructure, support services, or essential business operations,
which may result, in the University’s inability to provide services for some period of time.

Prioritization: The ordering of critical processes and their dependencies established during the Business Impact Analysis phase. The
business continuity plans will be implemented in the order necessary at the time of the event.

Recovery: Implementing the prioritized actions required to return the processes and functions to operational stability following an
interruption.