sample plan
Contents
1. Faculty We have an MOU with Mt Sac for temporary lecturers as they also have an Ocean Sciences Program Please see this MOU in the Documents section of PolyReady Staff will work from home and will connect to the campus VPN Staff save their files to the shared drive so that they can access the files from home through the VPN Their VPN connections have already been established and tested All faculty can access VPN and Blackboard Additionally some faculty can work from home using podcast technology Page 8 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Classes could be held in the absence of computer networks for about one month but would require data network is the networks to function after that time Faculty are prepared to maintain record information not available manually attendance grades etc until networks are restored The department will communicate intemally using our alternate Yahoo emails which is tested at each quarterly department meeting Any Most faculty and graduate student instructors show stoppers If University Yes declares temporary closure is it possible to stop doing this function Comment Exception would be if MV Califomia was at sea Do any of these Primary risk is that students would be unable to take desired courses coping strategies expose the University to risk Policy exceptions Changes in curric2. Teresa Donor Department Org Acme Holdings Inc Address 45 Holden Way Redlands CA 34278 Work phone 475 123 4567 Cell phone 475 888 9999 Fax 475 888 9999 Email abc 123 com Products Services benefactor of the Ocean Sciences Department Alternate Vendors n a Comment Type of Stakeholder Name Rodriguez Thomas Vendor Department Org WaterS oft Inc Address 42 Yardley Terrace Atlanta GA 44367 Work phone 227 123 4567 Cell phone 227 555 5555 Fax 227 555 5555 Email 123 abc com Products Services vendor of specialized oceanographic software Alternate Vendors no altemate vendor industry leader of a unique product Comment also has an office in Toronto Canada Type of Stakeholder Name Shabazz Stephanie Vendor Department Org Xerox Address 672 Broadway Oakland CA Work phone 510 333 4444 Cell phone 510 555 7777 Fax 510 555 7777 Email abc 123 com Products Services provides maintenance and repair of department copier Alternate Vendors GTP Office Services Pasadena CA Comment Type of Stakeholder Name Young Henry Donor Department Org Young Securities Inc Address 34 Wall Street New York NY 10047 Work phone 212 123 4567 Cell phone 212 444 5555 Fax 212 444 5555 Email abc 123 com Page 28 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept graduate and benefactor of Ocean Sciences Department Alternate Vendors n a Comment Page 29 See list of Actio
3. of authority Helen J efferson Analyst P rogrammer Technical expert for SeaMapper application J ames Nguyen Analyst P rogrammer Technical expert for department servers Page 22 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Comment Name Title or function Special skill Special role Comment Name Title or function Special skill Special role Comment Name Title or function Special skill Special role Comment Third Leadership Successor J ohn Doe Shark Handler Certified to handle sharks in research lab Sal Roberts Information Technology Consultant Technical expert for Student amp Faculty Roster Databases Susan Brown Office Coordinator Knowledge of payroll dept web page dept procedures and most department related business functions First Leadership Successor Page 23 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept To edit this plan section use the Step 5 tab of the Poly Ready web tool Part 2 Work from Home The capabilities of some faculty amp staff to connect from home are listed below Alicia Torres Position Staff Home broadband connection No Currently does connect from home No Must office computer be running Yes Comment Alicia serves as backup to the Office Coordinator we need to look into
4. paper format Page 32 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Estimated cost Cost one time or annual Within whose scope Comment Status Action Item 7 Supports this critical function Estimated cost Cost one time or annual Within whose scope Comment Status Action Item 8 Supports this critical function Estimated cost Cost one time or annual Within whose scope Comment Status Action Item 9 Supports this critical function Estimated cost Cost one time or annual Within whose scope Comment Status Action Item 10 Supports this critical function Estimated cost Cost one time or annual Within whose scope Comment Status Action Item 11 Supports this critical function Estimated cost Cost one time or annual Within whose scope Comment Status Conduct research and report findings less than 100 One time my unit itself Ideas include save to flash drive scan and save on shared drive Completed Faculty Preparedness Request the faculty committee to develop a stategy for secure storage of non electronic research materials Faculty Preparedness Develop formal arrangement MOU with another CSU to borrow technical staff if needed during recovery Information Technology Don t know Not Sure the campus Discuss work from home issues at faculty meeting e g VPN challenges security
5. server which gets backed up 90 Local backup of workstation by 0 user automatic Local backup of workstation by 5 user manual s One professor is currently on sabbatical PORE OW 5 will check upon her return B Workstation Support Workstation Support is provided by Comment Technicians from another department AAIS technicians provide our desktop support Page 19 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept To edit this plan section use the Step 3 tab of the Poly Ready web tool Part 5 Recovery Strategies for IT hardware If workstations servers etc need to be rebuilt at a new location where can technicians locate the software amp documentation Environmental requirements for hardware Will your IT staff be sufficient to the task Other obstacles How your IT staff will assist faculty amp staff to work from home IT applications for which there is no workaround If Procurement is functioning we would purchase through them to receive campus special pricing If not purchase direct from manufacturer via web or phone Dell amp HP are perferred vendors ask for higher education pricing Another option would be to contact Bronco Bookstore to see if they have the necessary items in stock Our department owns 2 laptops those could be used if needed as well Bldg 8 Room 101A file cabi
6. by I amp IT Additional copy at David s home Backup of PolyReady performed daily by AAIS Comment Uploaded into Poly Ready system Yes Name Current course list student rosters Description record of students enrolled in each course Medium Electronic computer Location department share drive and with each faculty instructor Owner department Ocean Sciences Department Contact person s Susan Brown Backup measures nightly Monday Friday backup performed by our IT staff Comment These are the only documents that record fulfillment of specific course requirements leading to the award of credit for that course Uploaded into Poly Ready system Yes Name Current list of funded research projects Description List of funded research projects with specifics related to the distribution of funds for each account Medium Electronic computer Location Departmental share drive Owner department Ocean Sciences Department Contact person s Susan Brown Office Coordinator Backup measures Nightly backup Monday through Friday performed by our IT Staff Comment The departmental share drive path is FictitiousDept_shared_filer document Funded Projects is in folder Grants Uploaded into Poly Ready system No Name Current list of pending grant applications Description List of grants applied for including timelines status contact information deadlines etc Medium Electronic computer Location Departmental share drive Owner d
7. etc Information Technology less than 100 One time my unit together with other units on campus Should it be ISIT or AAIS discussing with the group Perform trial recovery of servers applications Information Technology 100 1 000 Annual my unit together with other units on campus Page 33 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Supports this critical function Estimated cost Cost one time or annual Within whose scope Comment Status Action Item 13 Supports this critical function Estimated cost Cost one time or annual Within whose scope Comment Status Action Item 14 Supports this critical function Estimated cost Cost one time or annual Within whose scope Comment Status Action Item 15 Supports this critical function Estimated cost Cost one time or annual Within whose scope Comment Status Action Item 16 Supports this critical function Estimated cost Cost one time or annual Within whose scope Comment Status department s funding Manage and administer Ocean Sciences Department funding less than 100 One time my unit itself Completed Train identified to staff to utlize remote desktop VPN and ensure their home computers are properly setup to support this capability Not associated with a critical function 100 1 000 One time my unit itself In progress eee
8. her VPN access and continues to test its availability on a quarterly basis At present Susan Brown Office Coordinator is the primary provider of these activities The department maintains a very clear set of written instructions on how to manage and administer its funding please see Document Procedures for Managing and Administering Funding Ocean Sciences Department that is in PolyReady The department chair J ohn Smith has also been cross trained and can perform this function from home using his VPN access Page 6 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept certain skills knowledge are held by only one staff member unique skills Can this function be performed fully or partly from home How to cope if data network is not available Any show stoppers If University declares temporary closure is it possible to stop doing this function Comment Do any of these coping strategies expose the University to risk Policy exceptions that may be needed Additional vulnerabilities Action items for this function Although Susan Brown s experience in managin the department funding is a skill that would not be easily replaced the task could be completed by following the department s written instructions We have also cross trained J ohn Smith Department Chair In the event neither J ohn or Susan are available pl
9. Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept BUSINESS CONTINUITY PLAN 01 12 2010 Last modified 03 12 2012 cONUINU 7 G ey A co This document has been produced using the online planning tool and is stored in the Poly Ready database To update this document use the Poly Ready tool What is a Business Continuity Plan Business Continuity is the ability of an organization to continue operations and services in the face of a disruptive event It s about understanding anticipating and planning for events that threaten our mission so that Cal Poly Pomona remains viable Business Continuity is more than just the ability to recover froma disaster it s the ability to continue operating before during and after The goal of business continuity planning is to enable us to continue our mission despite disruptive events Some departments will be expected not only to continue but to expand their services during these times e g University Police Department Student Health Services Business Continuity Planning addresses the question How can we pi re to continue operations despite those adverse events that we call disasters or if we cannot continue how can we rapidly resume our operations 0 A Business Continuity Plan develops and documents arrangements and procedures that enable an organization to respond to an interruption in service and return to performing its most
10. See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept data network is not available Any show stoppers If University declares temporary closure is it possible to stop doing this function Comment Do any of these coping strategies expose the University to risk Policy exceptions that may be needed Additional vulnerabilities Action items for this function Research can continue without the network for approximately 3 weeks In that time findings and other information will be recorded manually until the network is restored at which point the manual records will be transferred to the network Additionally research can be recorded on laptops and data entered later Each faculty is provided with a laptop For periods lasting longer than 3 weeks public libraries other University libraries and the internet can be used to gather data Yes Professors would typically continue their research in any fashion possible Few faculty would see themselves as shut down if MV Califomia is at sea preferred strategy might be to NOT shut down that research expedition unless a pandemic appeared onboard If research projects are unable to continue for extended periods of time funding could be threatened by lack of performance To control this risk communication with granting agencies is established ASAP following a disaster David Dorian is res
11. a 5 FTE plus 13 seasonal employees 1 Provide care of research animals Critical 1 2 Manage and administer Ocean Sciences Department funding Critical 1 3 Provide instruction to students Critical 2 4 Conduct research and report findings Critical 2 5 Solicit new additional funding and grant opportunities Deferrable 6 Provide use of laboratories and equipment to the campus Deferrable Definitions e Critical 1 must continue life health security e Critical 2 must continue perhaps in reduced mode e Critical 3 pause if forced but must resume in 30 days or sooner e Deferrable resume when conditions permit Page 3 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept To edit this plan section use the Step 2 tab of the Poly Ready web tool Critical Function 1 Provide care of research animals Description The Ocean Sciences Department is responsible for the care of its research animals which are maintained in Bldg 3 Lab 16 Who Performs this Ocean Sciences Department Responsible Dr David Dorian person s Susan Brown backup Peak Periods Comment and or special instructions Documents See Document List Appendix 1 Upstream Office of Research amp Sponsored Programs ORSP dependencies Cal Poly Pomona Foundation Inc College of Science Dean s Office Downstream Students dependencies Faculty Research U
12. a plan for altemate space in case some classrooms are not usable Provide instruction to students 100 1 000 One time my unit together with other units on campus Needs further discussion Priortize courses and submit list to Registrar s Office Provide instruction to students less than 100 Other my unit together with other units on campus In progress Request that faculty develop strategy for altemate channel delivery of courses in case there is a temporary shortage of classrooms post disaster Provide instruction to students 100 1 000 One time my unit together with other units on campus Not yet begun Page 34 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Step 5 tab Document Summary of the Poly Ready web tool List of Key Documents These documents have been identified as important for continuing our critical functions ee that have been uploaded into the Poly Ready system as indicated below can be viewed on screen and printed Care of Research Animals Description Procedures manual describing how to care for the Ocean Science Department s research animals Medium Electronic computer Location David Dorian s computer and home and PolyReady Owner department Ocean Science Department Contact person s David Dorian or Susan Brown Backup measures Daily backup of David Dorian s computer performed
13. cement Additionally written procedures titled Care of Research Animals are of staff and faculty uploaded in PolyReady Page 4 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept certain skills knowledge are held by only one staff member unique skills Can this function be performed fully or partly from home How to cope if data network is not available Any show stoppers If University declares temporary closure is it possible to stop doing this function Comment Do any of these coping strategies expose the University to risk Policy exceptions that may be needed Additional vulnerabilities Action items for this function Page 5 Care of the research animals must be performed by a licensed shark handler J ohn Doe is the only certified shark handler on campus If he was unavailable we have a 2 MOUs in place one with Mt Sac and the other with the Los Angeles Zoo The MOU with Mt Sac states that we could temporarily place our sharks in their shark facility under care of their shark handler until a permanent replacement is found The MOU with the LA Zoo is a reciprocal temporary staffing agreement that provides the use a certified shark handler for up to 20 hours per week up to a period of 3 months ee MOUs are uploaded in the Documents section of PolyReady Please refer to them for further etail Susan Brown
14. critical functions or operations Your departmental business continuity plan e Identifies your departments prioritized critical functions e Describes how your department might carry out these critical functions under conditions of diminished resources i e diminished staff space equipment or IT infrastructure e Contains various information that will be needed during and after the disruptive event and e Describes how we can prepare by identifying action items things we can do now to lessen the impact of disaster events making it easier to recover Page 1 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept BUSINESS CONTINUITY PLAN Listed below are the major sections of a Business Continuity Plan Your department may choose to include or exclude certain sections Hence it is possible that one or more of these sections may not appear in this plan document Appendix A Table of Contents GENERAL INFORMATION CRITICAL FUNCTIONS 1 Provide care of research animals 2 Manage and administer Ocean Sciences Department funding 4B Provide instruction to students 4 Conduct research and report findings 45 Solicit new additional funding and grant opportunities 6 Provide use of laboratories and equipment to the campus INFORMATION TECHNOLOGY Part1 Centrally Owned Applications Part 2 Departmentally Owned Applications Part 3 Depart
15. dents to Supports this critical function cover expenses of conducting research in altemate ways or at alternate locations Conduct research and report findings Estimated cost Don t know Cost one time or annual Annual Within whose scope the campus Comment Status Not yet begun Action Item 8 Develop a plan for alternate office and lab space for faculty and graduate Supports this critical function students in case normal office lab space is not usuable Conduct research and report findings Estimated cost Don t know Cost one time or annual Not Sure Within whose scope my unit together with other units on campus Comment Status Not yet begun Action Item 4 Develop MOU with another campus for use of their laboratories Supports this critical function Conduct research and report findings Estimated cost 100 1 000 Cost one time or annual One time Within whose scope my unit together with other units on campus Comment Status Needs further discussion Action Item 5 Encourage faculty to request seismic bolting and bracing of fumiture and Supports this critical function on i Allocate departmental funds i e first come first served until funding exhasted Conduct research and report findings Estimated cost 10 000 100 000 Cost one time or annual One time Within whose scope my unit together with other units on campus Comment Status In progress Action Item 6 Implement backup measure for grant documents
16. earch Departure of faculty Departure of staff Departure of students Well being of faculty staff Well being of students Loss of revenue lost tuition if students leave Online instruction could continue Classroom instruction will be temporarily converted to online instruction using Blackboard If sufficient classroom space is not available the Chair will provide the Registrar s Office with a prioritization of courses for post disaster resumption This prioritization list is created quarterly Courses of lower priority for which classroom space is not available will either be held at an informal location chosen by the faculty instructor or continued online All faculty now include instructions for accessing Blackboard on their syllabi which is handed out to students in the beginning of each quarter Faculty instructors are prepared to communicate class changes to students though email Staff We have pre prioritized staff work and will share tasks among those who are at work Faculty In some cases graduate student instructors will be reassigned to high priority courses The Department Chair maintains a list of these courses as well as the contact information for the qualified graduate student instructors For the remaning courses temporary lecturers will be borrowed from other Universities We have an MOU with Mt Sac for temporary lecturers as they eee lisa an Ocean Sciences Program Please see this MOU in the Documents section of PolyReady
17. ease see written procedures Procedures for Managing and Administering Funding Ocean Sciences Department in the Document section of PolyReady Staff will work from home and will connect to the campus VPN Staff save their files to the shared drive so that they can access the files from home through the VPN Their VPN connections have already been established and tested Additionally the share drive contains the Procedures for Managing and Administering Funding Ocean Sciences Department which contains the procedures and guidelines needed to accomplish this function If campus email is not available department staff is prepared to utilize altemate email addresses set up through Yahoo We have already established the altemate Yahoo addresses for department staff These addresses are tested quarterly at each department meeting Manual submissions of information attendance account information etc would occur where possible No show stoppers No We would have to ensure that payments keep flowing and that we are meeting the timelines in accordance with each grant Risk of delayed receipt of funding and payments Risk of violating grant contracts and becoming ineligible for renewal These risks can be mitigated by communicating early and often with funders and payees about the status of our operations Risk of delayed payments to employees No policy exceptions for payment to employees Policy exceptions may be made by Grantors under s
18. epartment Ocean Sciences Department Contact person s Susan Brown Page 35 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Nightly backup Monday through Friday performed by our IT Staff Comment The departmental share drive path is FictitiousDept_shared_filer document Pending Grants is in folder Grants Uploaded into Poly Ready system No Name Grant documents Description documents related to securing and utilizing grant awards Medium Paper Location Locked file cabinet in Ocean Sciences Administrative Office Bldg 8 Rm 101 Owner department Ocean Sciences Department Contact person s Susan Brown Backup measures none at this time Comment Uploaded into Poly Ready system No Name Description Medium Location Owner department Contact person s Backup measures Comment Uploaded into Poly Ready system MOU with LA Zoo Agreement with the LA Zoo for temporary staffing specifically staffing of a certified shark handler Electronic computer David Dorian and Susan Brown s computers David s home and in PolyReady Ocean Sciences Department David Dorian Susan Brown Daily backup of David and Susan s computers performed by I amp IT Additional copy at David s home Backup of PolyReady performed daily by AAIS Yes Name Description Medium Location Owner department Contact person s Backup measur
19. es Comment Uploaded into Poly Ready system Project records and research findings Documents related to various proca and the conducting of research includes expenses associated with each research project More than one explain in comment Office of Research and Sponsored Programs and Ocean Sciences Department Office of Research and Sponsored Programs Susan Brown Ocean Sciences Department Mary J ones Office of Research amp Sponsored Programs Electronic records are backed up nightly M F Originals held in Office of Research amp Sponsored Programs Some copies are kept in Ocean Sciences Department Electronic records are backed up and are recoverable Paper documents e g vendor invoices are not No Name Description Medium Location Owner department Contact person s Backup measures Comment Uploaded into Poly Ready system Risk Assessment Risk Assessment performed on the Ocean Sciences Department Paper Departmental share drive Ocean Sciences Department J ohn Smith Department Chair The departmental share drive path is FictitiousDept_shared_filer document Risk Assessment is in folder Business Continuity Plan Yes Page 37 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Page 38 See list of Action Items in Section VI
20. es Comment Uploaded into Poly Ready system MOU with Mt Sac Agreement with Mt Sac for alternate storage space for our sharks and for temporary lecturers Electronic computer David Dorian and Susan Brown s computers David s home and in PolyReady Ocean Sciences Department David Dorian Susan Brown Daily backup of David Dorian s computer performed by I amp IT Additional copy at David s home Backup of PolyReady performed daily by AAIS Yes Name Description Medium Location Owner department Contact person s Backup measures Comment Uploaded into Poly Ready system Procedures for Managing and Administering Funding Ocean Sciences Department Clear set of procedures and guidelines to follow for manging and distibuting the department s funding including processing attendance administering grant monies etc Electronic computer Departmental share drive copy maintained on a flash drive stored off site Ocean Sciences Department Susan Brown Office Coordinator Dr J ohn Smith Department Chair Nightly backup Monday through Friday performed by our IT Staff FictitiousDept_shared_filer document Managing Dept Funding is in folder Policies and Procedures No Page 36 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Description Medium Location Owner department Contact person s Backup measur
21. ge Location of installation disks amp documentation Successful recovery of this server been done Comment Kurtz File server Department s file server Daily Other describe Automatic All department desktop applications Ocean Sciences Department Windows Server 2003 J ames Nguyen J ames Nguyen n a Iron Mountain Sacramento CA Weekly Bldg 8 Room 101B Partial Backup is to campus data center via CPP Backup Page 16 See list of Action Items in Section VI To edit this plan section use the Step 3 tab of the Poly Ready web tool Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Marlow servers Server Type Web server Explanation Runs both department and faculty websites plus various instructional applications used in courses Backup frequency Daily Backup media Remote backup server Backup auto or manual Automatic Applications that will be impacted All instructional applications used in undergraduate Ocean Sciences courses by failure of this server Departments that will be Ocean Sciences Department impacted by failure of this server Server software Windows Server 2003 SQL Server 2003 Technical expert s J ames Nguyen Responsible for recovery J ames Nguyen Onsite storage n a Offsite storage Iron Mountain Sacramento CA Frequency of offsite storage Weekly Location of installation disks amp Bldg 8 Room 101B documentation Successful reco
22. getting her enabled to work from home Name Cathy Wilson Position Faculty Home broadband connection Yes Currently does connect from home Yes Must office computer be running No Comment Name Dr J ohn Smith Position Staff Home broadband connection Yes Currently does connect from home Yes Must office computer be running Yes Comment Could complete partial duties from home using campus VPN Name Dr Robert Towne Position Faculty Home broadband connection Yes Currently does connect from home Yes Must office computer be running Yes Comment Name Helen J efferson Position Staff Home broadband connection Yes Currently does connect from home Yes Must office computer be running Yes Comment Has worked on the SeaMapper application from home would require use of campus VPN Name J ames Nguyen Position Staff Home broadband connection Don t know Currently does connect from home Don t know Must office computer be running Don t know Page 24 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Will check when he returns from leave of absence Name Sal Roberts Position Staff Home broadband connection Yes Currently does connect from home No Must office computer be running Don t know Comment Has not tried to work from home but says he is able to access databases if needed Name Susan Brown Position Staff Home broadba
23. his would be needed to utilize our departmental share drive FictitiousDept_shared_filer provides database tracking for Student and Financial data identifies what classes are in which rooms and when on line evaluation of faculty by students needed to utilize Remote Desktop connection to the campus network from off campus Page 12 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept To edit this plan section use the Step 3 tab of the Poly Ready web tool Part 2 Departmentally Owned Applications that are critical for our Unit eh a ae applications are those whose technical owner is our department or another department but not central IT Functional owner is the Unit that any modifications Technical owner is the Unit that has system administrator or programming access and implements any modifications Application 1 Name of application or SeaMapper system Functional owner Ocean Sciences Department Technical Owner Ocean Sciences Department Type Client Server Application Backup frequency Daily and Weekly Backup media Other Backup auto or manual Automatic Database application Yes Move data to orfrom No core campus systems If so what campus systems Depts that will be Ocean Sciences Department impacted by failure of US Coast Guard this application US Navy NOAA Technical expert s Helen J efferson Responsible for Helen J effers
24. ide sources grants etc and these funds are administered through our Office Coordinator with management by the Department Chair Ocean Sciences Department Susan Brown Office Coordinator Dr J ohn Smith is the backup Department Chair May Jun Our biggest grant is funded on a two year cycle Every other May and J une is especially busy with applying for renewal of this grant If recovery period falls in May or J une we would need special instructions see Document End of Fiscal Year Funding Process that is uploaded in PolyReady See Document List Appendix 1 Instructional amp Information Technology I amp IT Office of Research amp Sponsored Programs ORSP Cal Poly Pomona Foundation Inc Students Faculty Staff Instructional Departments Disruption of teaching Disruption of research Disruption of patient care Departure of faculty Departure of staff Departure of students Well being of faculty staff Well being of students Payment deadlines unmet Distribution of funding in accordance with grant timelines Loss of revenue Legal obligations unmet Payment to employees funded by the grants Legal harm to the University Impact on other unit s Impact on important business partner s If altemate space is not provided by the campus we are prepared to provide this critical function from home telecommuting using the campus VPN Specifically Susan Brown will coordinate this process from home Susan has tested
25. ious dept To edit this plan section use the Step 5 tab of the Poly Ready web tool Part 7 Facilities amp Transportation Transportation and facilities needs in addition to your office classroonylab needs Loading dock for bulky neavy equipment related to our research expeditions beyond office classroom lab needs Sanago Util Name Comment department distilled water special ventilation reqts explain for labs emergency backup generator can be used to keep labs running gasoline for pick up truck and MV California Transportation special Transportation to and from the MV Califomia which is located off campus approximately 26 transportation needs o A pick up truck is needed to prepare the research vessel MV Califomia for expeditions Other Resources no additional resources atthis time Page 31 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Action Item Summary tab of the Poly Ready web tool Supports this critical function Design departmental networks to allow faculty and students to connect remotely e g from home in case office lab space is damaged Conduct research and report findings Estimated cost Don t know Cost one time or annual One time Within whose scope my unit together with other units on campus Comment Status Completed Action Item 2 Develop a fund for emergency grants to faculty and graduate stu
26. is prepared to perform office functions pertaining to the care of research animals from home She has established VPN access which is tested on a quarterly basis Care of the animals cannot be performed from home so we would move the animals to Mt Sac as agreed in our MOU for alternate space The data network is not needed to care for the animals Feeding patterns and other observations will be recorded manually and date entered when network connection is re established No special forms are required to perform manual obervation or feeding pattem recording No show stoppers No Although we cannot cease this function we have plans in place to ensure it continues No Exception to hire temporary shark handler can be granted by the Dean of Science See Action Item List section VI See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Description Who Performs this Responsible person s Peak Periods Comment and or special instructions Documents Upstream dependencies Downstream dependencies Business Impact Analysis possible consequences if this function is not continued or recovered quickly enough How to cope if usual space is not available How to cope with 50 absenteeism of staff and faculty Manage and administer Ocean Sciences Department funding A majority of the funding for our cpio research comes from outs
27. l tool Yes All staff and faculty within the department are given a copy of the emergency contact list Susan Brown Office Coordinator Dr J ohn Smith Department Chair Susan Brown Office Coordinator Alicia Torres Office Assistant Written instructions on checking the department s phone messages are saved on the departmental share drive document Telephone is in folder Office Affairs Dr J ohn Smith Department Chair Susan Brown Office Coordinator Alicia Torres Office Assistant Written instructions on creating a greeting for the department s phone line are saved on the departmental share drive document Telephone is in folder Office Affairs Susan Brown Office Coordinator Alicia Torres Office Assistant Sal Roberts technical expert Written instructions on maintaining the department s website are saved on the departmental share drive document Department Website is in folder Office Affairs Yes to access several of our applications Passwords are saved on the departmental share drive document Passwords is in folder Office Affairs and has been encrypted using PGP The departmental share drive path is FictitiousDept_shared_filer Dr David Dorian Professor Extensive knowledge of the degree program and department with respect to instruction Second Leadership Successor senior faculty member Dr J ohn Smith Department Chair Authorized to make decisions for the department Holds formal delegation s
28. mentally Owned Servers Part 4 Workstations Part5 Recovery Strategies for IT Part6 Action Items FACULTY PREPAREDNESS KEY RESOURCES Part1 Staff of Our Unit Part 2 Work from Home Part 3 Skills Part 4 Staff of Other Units Part5 Stakeholders Part 6 Equipment amp Supplies Part 7 Facilities amp Transportation ACTION ITEMS LIST OF KEY DOCUMENTS Page 2 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Division Type of unit Personnel count Head Primary Contact for this plan Secondary Contact for this plan Buildings Evacuation plans for all buildings Where is a copy of your evacuation plan s maintained Comment Critical functions listed in priority order To edit this plan section use these tabs of the Poly Ready web tool Plan Home Step 1 Step 2 Ocean Sciences Department fictitious dept Academic Affairs Administrative or Support Instructional Research Library 17 Faculty amp other academic appointees 1 Residents F ellows 10 Staff full time 2 Staff part time excl studentstaff 6 Studentstaff 0 Volunteers O Guests 18 Other Dr J ohn Smith Department Chair Lisa Dye Susan Reese Bldg 3 Science Labs State Facilities Bldg 8 Science State Facilities Some not all 98 B1 31 File Cabinet A Other personnel is the crew of the research vessel MV Califomi
29. n Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept To edit this plan section use the Step 5 tab of the Poly Ready web tool Part 6 Equipment amp Supplies Minimum equipment and supplies needed to carry out all critical functions A Office Equipment Minimum Number Comment Workstation includes 27 one per FTE including faculty desktop computer network connection table chair Laptop computer car 5 for key staff faculty has their own charger advised Telephone hard wired 4 minimum of 4 devices two telephone numbers Printer 3 2 for Building 8 1 for Building 3 Labs Fax 1 Copier 1 we could share a copier with other units if needed Scanner 0 Server 3 Specifications for each server are located on the departmental shared drive FictitiousDept_shared_filer document Servers is in folder IT Info B Other Equipment major items only A pick up truck is needed to prepare the research vessel MV California for expeditions C Supplies Necessary Consumables Mainly office supplies paper writing utensils etc Probably should include disposable cameras just to have on hand for documentation purposes if needed Inventory or Stockpiling We currently maintain a 2 week inventory but plan to increase that to 6 weeks Considerations Page 30 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictit
30. nd connection Yes Currently does connect from home Yes Must office computer be running Yes Comment Could complete partial duties from home using campus VPN Page 25 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Step 5 tab of the Poly Ready web tool Part 3 Skills Skills that may be needed post disaster to perform our unit critical functions Skill Description Comment Application Skilled in application development and usually a oati programmer also in network amp database issues critical for our SeaMapper application Attendance Experienced providing time amp attendance critical for tracking and submitting attendance for coordinator records to Payroll Services payroll purposes Equipment Capable of perfoming a variety of technical would be especially critical if we are having to technician equipment functions use alternate workspace and classrooms a critical if we need to restore a laboratory to Lab technician Experienced in performing laboratory work complete research heii Capable of general end user IT support critical for rebuilding workstations post disaster Page 26 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Part 4 Staff of Other Units These are staff of other units on campus whom you may need to contact Department Org Addre
31. net 8 Server room needs controlled climate air conditioning Two technicians service our department but are also responsible for the entire division If Ocean Sciences Department had to relocate it could take 3 4 weeks to rebuild all desktops and servers after hardware arrives Possible solutions outside vendor temporary emergency hire borrow technician from another division or even from another CSU campus Inability to purchase hardware quickly Inability to obtain additional IT support technicians if needed If central campus networks and applications could not be re established Assuming remote access could be used staff could utlize VPN from home Best approach for this is to train staff NOW on how to setup access and utlize VPN SeaMapper does not have a workaround Conceivably we could get it running at a remote site if one were available Payroll and purchasing information can be tracked and submitted manually Administrative applications and files can generally be worked around with guidance from HR Procurement etc The instructional applications that we support do not have workarounds Faculty would need to adapt their teaching to the resources available and be prepared to teach without the normal resources such as classroom space BlackBoard or both for example Part 6 Action Items for IT See Action Item List Section VI Page 20 See list of Action Items in Section VI Cal Poly Pomona Business Contin
32. nits Business Impact Disruption of teaching Courses using the research animals cannot continue Analysis possible consequences if this function is not continued or recovered quickly Disruption of research Without animals some research cannot continue Disruption of patient care enough Departure of faculty Faculty on grants may be lost if research discontinued Departure of students Students specializing in Ocean Sciences may leave to other Universities Loss of revenue Loss of research funding if fail to meet contractual obligations Legal obligations unmet Grant contracts may be jeopardized Legal harm to the University How to cope if The fresh water fish and salt water fish maintained in Bldg 3 Lab 16 can be maintained in any usual space is not building with electrical power to plug in the tanks and lighting equipment There are currently 3 fresh available water tanks and 2 salt water tanks The plan is that these 5 tanks would be moved to Bldg 8 Rm 4165 This alternate location has been stocked with extra fish food and has been fitted with the proper lighting The sharks will be moved to Mt Sac s shark facility temporarily until a permanent solution is found We have a reciprocal MOU with Mt Sac for this altemate facility agreement This agreement is uploaded in PolyReady How to cope with David Dorian normally oversees this function In his absence Susan Brown has been cross trained 50 absenteeism to step in as a repla
33. on recovery Onsite storage n a Offsite storage Iron Mountain Sacramento CA Frequency of offsite Weekly storage Location of installation Bldg 8 Room 101B disks amp documentation Successful recovery Yes been done Comment This is a seafloor mapping application used by our department and by government partners and iS a major source of funding for department projects Extremely critical pace setting application in this field Page 13 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Functional owner Technical Owner Type Backup frequency Backup media Backup auto or manual Database application Move data to or from core campus systems If so what campus systems Depts that will be impacted by failure of this application Technical expert s Responsible for recovery Onsite storage Offsite storage Frequency of offsite storage Location of installation disks amp documentation Successful recovery been done Comment Departmental Student Roster amp Database Ocean Sciences Department Ocean Sciences Department Desktop Daily Other Automatic Yes No Ocean Sciences Department Sal Roberts Sal Roberts n a Iron Mountain Sacramento CA No offsite storage Bldg 8 Room 101B Yes Backed up to network server that is co located in the campus data center Page 14 See list of Action Items in Secti
34. on VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Functional owner Technical Owner Type Backup frequency Backup media Backup auto or manual Database application Move data to or from core campus systems If so what campus systems Depts that will be impacted by failure of this application Technical expert s Responsible for recovery Onsite storage Offsite storage Frequency of offsite storage Location of installation disks amp documentation Successful recovery been done Comment Departmental Faculty Roster amp Database Ocean Sciences Department Ocean Sciences Department Desktop Daily and Weekly Other Automatic Yes No Ocean Sciences Department Sal Roberts x4444 Sal Roberts x4444 n a Iron Mountain Sacramento CA Weekly Bldg 8 Room 101B Yes Backed up to network server that is co located in the campus data center Page 15 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Part 3 Departmentally Owned Servers Server Type Explanation Backup frequency Backup media Backup auto or manual Applications that will be impacted by failure of this server Departments that will be impacted by failure of this server Server software Technical expert s Responsible for recovery Onsite storage Offsite storage Frequency of offsite stora
35. pecial circumstances Inability to communicate with Payroll Services or lengthy interruption to CPP Foundation accounts receivable and payable Prolonged absence of Department Chair and Office Coordinator who have detailed knowledge of funding operations See Action Item List section VI Page 7 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Description Who Performs this Responsible person s Peak Periods Comment and or special instructions Documents Upstream dependencies Downstream dependencies Business Impact Analysis possible consequences if this function is not continued or recovered quickly enough How to cope if usual space is not available How to cope with 50 absenteeism of staff and faculty What to do if certain skills knowledge are held by only one staff member unique skills Can this function be performed fully or partly from home Provide instruction to students Undergraduate and graduate instruction including staff support of faculty Ocean Sciences Department faculty instructors graduate student instructors Sep No peak periods as instruction occurs year round See Document List Appendix 1 Instructional amp Information Technology I amp IT Registrar s Office CoS Dean s Office Admissions amp Outreach Students Faculty Disruption of teaching Disruption of res
36. ponsible for coordinating this communication Granting agencies could be asked to alter waive conditions of grants to allow for recovery periods none See Action Item List section VI Page 11 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept To edit this plan section use the Step 3 tab of the Poly Ready web tool Part 1 Centrally Owned Applications that are critical for our Unit Centrally owned applications are those whose technical owner is Central IT The functional owner could be any department Critical 1 Cannot pause Necessary to life health security Critical 2 Failure will lead to imminent and very serious consequences Critical 3 Can endure a pause but ONLY for a short time Must be recovered sooner than 30 days Deferrable Important but we can function without this system for more than 30 days Application or Criticality System Level Banner Deferrable BroncoDirect Critical 3 Data Warehouse Critical 3 Files Services Critical 2 PeopleSoft Critical 3 Public Schedule of Clase Deferrable Student Eval Deferrable VPN Critical 2 Comment contains archives of old student information created before conversion to PeopleSoft front end portal to PeopleSoft Student and Financial applications Archives current and past data for reporting purposes provides an arena for staff to place documents to share with others t
37. raduate students Disruption of research Disruption of patient care Departure of faculty Departure of students Well being of faculty staff Well being of students Loss of revenue Possible loss of grant funding Lost tuition if graduate students leave Legal obligations unmet Obligations to Grantors Impact on important business We have several corporate research partners partner s Research will be moved and conducted from the lab in Bldg 8 Rm 4165 This alternate location has been stocked with the necessary equipment and lighting Additionally we have stocked this room with extra research celle forms and copies of current research in progress In the event that the usual office space for faculty and graduate students is not available faculty and graduate students will work from home using their VPN connections Their files are saved to the shared drive and can be accessed from home They test their VPN access from home on a quarterly basis Affected research projects might have to delay their schedules Substitues are generally not feasible for faculty and graduate students engaged in research as the funding is specific to the student faculty member s project Faculty and graduate students performing specific research Research skills are not easily replaced Faculty staff and students can work from home using their VPN connections Some research can not be conducted at home e g research requiring a laboratory etc Page 10
38. ss Work phone Cell phone Fax Email Comment Name Department Org Address Work phone Cell phone Fax Email Comment Name Department Org Address Work phone Cell phone Fax Email Comment Name Department Org Address Work phone Cell phone Fax Email Comment Shari Trinidad Cal Poly Pomona Foundation Inc Bldg 55 Room 5555 909 123 4567 909 765 4321 909 222 2222 fnd csupomona edu Coordinates disbursements Steve Brown I amp IT Bldg 98 Room C7 1234 909 123 4567 909 111 2222 909 222 3333 abc123 csupomona edu Steve Brown helped us establish the SeaMapper application and is also an expert on the student database Raymond Sanford Office of Research amp Sponsored Programs Bldg 1 Room 4321 909 454 5454 909 323 2323 909 676 7676 123 csupomona edu Oversees current research grants and contracts Sara Cheung Payroll Services Bldg 98 Room B1 2020 909 333 4444 909 444 5555 909 777 8888 abc csupomona edu Sara is our Payroll Techncian and Payroll contact Page 27 See list of Action Items in Section VI To edit this plan section use the Step 5 tab of the Poly Ready web tool Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept To edit this plan section use the Step 5 tab of the Poly Ready web tool Part 5 Stakeholders These are stakeholders whom you may need to contact Type of Stakeholder Name Willingham
39. uity Plan for CoS Ocean Sciences Department fictitious dept Step 4 tab of the Poly Ready web tool Listed here are actions that can be done to promote disaster consciousness and disaster readiness among our unit s faculty These will also appear in the Action Item List of section VI Action Item Comment Request the faculty committee to develop a stategy for secure storage of non electronic research materials Practice using alternate methods of teaching Page 21 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept To edit this plan section use the Step 5 tab of the Poly Ready web Part 1 Staff Basics emergency contact list for faculty amp staff Who holds copies of the ameron contact list be specific Who updates the emergency contact list Who knows how to check messages on your department s main phone line Who knows how to record a greeting on your department s main phone line Who can post messages on your department s web site i e do the actual mechanics Do your staff use any shared passwords that should be kept available Comment Key People in Your Unit Name Title or function Special skill Special role Comment Name Title or function Special skill Special role Comment Name Title or function Special skill Special role Comment Name Title or function Special skil
40. ulum and to the academic calendar Dean of the College of Science Campus that may be President Academic Senate needed Additional None that we can think of vulnerabilities Action items for See Action Item List section VI this function Page 9 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Description Who Performs this Responsible person s Peak Periods Comment and or special instructions Documents Upstream dependencies Downstream dependencies Business Impact Analysis possible consequences if this function is not continued or recovered quickly enough How to cope if usual space is not available How to cope with 50 absenteeism of staff and faculty What to do if certain skills knowledge are held by only one staff member unique skills Can this function be performed fully or partly from home Conduct research and report findings Faculty research and graduate student research including staff support Faculty graduate students Apr May Nov Dec Peak periods are typically connected with the fall and spring expeditions of the MV California See Document List Appendix 1 Instructional amp Information Technology I amp IT Office of Research amp Sponsored Programs ORSP Institutional Research amp Academic Resources Cal Poly Pomona Foundation Inc University Library Faculty G
41. very of this No server been done Comment Page 17 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Conrad servers Server Type Application server Explanation Runs SeaMapper the critical seafloor mapping application used by government partners Backup frequency Daily Backup media Other describe Backup auto or manual Automatic Applications that will be SeaMapper impacted by failure of this server Departments that will be Ocean Sciences Department impacted by failure of this server US Coast Guard US Navy NOAA Server software Apache Unix Technical expert s J ames Nguyen x5555 Responsible for recovery J ames Nguyen x5555 Onsite storage Onsite backup server in Bldg 8 Room 101A Offsite storage Iron Mountain Sacramento CA Frequency of offsite storage Weekly Location of installation disks amp Bldg 8 Room 101B documentation Successful recovery of this Yes server been done Comment Dual backup onsite backup server in Bldg 8 Room 101A plus co located server in campus data center Page 18 See list of Action Items in Section VI Cal Poly Pomona Business Continuity Plan for CoS Ocean Sciences Department fictitious dept Step 3 tab of the Poly Ready web tool Part 4 Workstations A Workstation Backup Percent of Workstations Using Backup Method this Backup Method Comment Files are stored on dept
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