Guide to Business Continuity and Recovery Planning on Campus

Guide to Business Continuity and
Recovery Planning on Campus
Table of
Contents
Guide to Business Continuity and
Recovery Planning on Campus
2
Introduction
4
Critical Functions
8
Communications
12
Technology & Utilities
18
Academics & Research
24
Continuity & Recovery
30
Employee Preparedness
34
Conclusion
Treasury & Risk Management Services
Campus Box 1100
104 Airport Drive, Suite 2700
Chapel Hill, NC 27599-1100
P 919.962.6681
F 919.962.0636
E-mail: [email protected]
April 2009
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1
Introduction
Welcome to UNC Chapel Hill’s “Guide to Business Continuity and
Recovery Planning on Campus.” As you pursue academic and research
excellence on campus, we are pleased that you are taking time to
ensure your department is prepared to respond to various types of
operational interruptions. This Guide will help you plan not only for major
disasters (e.g. total loss of a building) but also lesser interruptions to
service (e.g. the computers are down). It puts planning in perspective
and makes it more likely that crisis response will run smoothly.
The goals of business continuity and recovery are:
To ensure that maximum possible service levels are maintained during a crisis, and
To ensure that departments recover from interruptions as quickly as possible.
Business continuity plans must be reasonable, practical and achievable. We are
not planning for every possibility that could cause an interruption; instead we are
planning for the effects of any interruption. For example, your building may be
unavailable for many reasons (fire, flood, wind damage, etc.), but the effect is still
the same: you cannot work in that location.
Generally speaking, however, we need four things to do our jobs on campus:
employees/staff,
utilities,
telecommunications, and
a facility in which to work.
Some offices also need specialized equipment. The template that follows will
address each of these needs and guide you through your planning process.
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The University of North Carolina at Chapel Hill
The time to
repair the roof
is when the sun is
Before you go further into this Guide, it would be helpful to consider what risks
your department might face. Is your building prone to flooding due to heavy rains?
Are there chemicals or other substances in your building that might make it more
likely to experience a fire? Is there a chance that enrollment in your department’s
program could significantly decrease or could the department experience a loss of
faculty? Would your co-workers or staff be affected by ice or snow storms?
You could let your imagination run wild with potential risks! Some of them are
more probable than others – perhaps they have happened before or perhaps you are
aware of imminent problems. What are the most likely risks your department faces?
Consider these risks as you complete the Guide. Your department may be able to
plan for that risk now by finding strategies to reduce the risk or reduce its effects.
It is important to review these risks annually to gauge your continuity and recovery
progress. As more mitigation strategies are implemented, the risks will diminish or
change, as will their potential effects, and your department will be better prepared
for interruptions. Set a date to review risks and the plan each year (such as the first
of the new calendar year or when daylight savings time begins).
We suggest that you discuss identified risks and their potential effects with your
leadership and your co-workers or staff. The following template is meant to be
completed as a collaborative effort, so sharing ideas and discussing options is a great
way to start.
A PDF version of this Guide is available on the University’s Risk Management
Services web page (http://finance.unc.edu/treasury--risk-management/
risk-management/welcome.html). Update as needed, print and include it, along
with any other pertinent information, in the folder at the back of this booklet.
shining.
– John F. Kennedy,
35th US president (1917 – 1963)
How to Use the Guide
The following pages consist
primarily of inquiries for you to
consider and room for you to
record your responses. Most
pages include a sidebar as well in
which you will find information that
better defines the section or offers
additional tips and tricks.
Completion of the Guide will
provide your department with a
basic continuity and recovery plan.
We encourage you and your team
to discuss your own continuity and
recovery preparedness, then
include any extra information you
believe would be valuable at the
back of the Guide.
If you have any questions about
the Guide, or if you need additional
assistance in your continuity and
recovery planning, please contact
Risk Management Services at
962-7360 or at [email protected]
Good luck and good planning!!
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3
Critical
Functions
What does your department receive funding or
payment to do? What are the priority operations
for your department?
Some departments may define critical functions as those whose loss would cause
adverse effects on their students, patients or clients. Some might determine this
based on loss of income or loss of important research.
Briefly identify your department’s critical functions below. (We will explore in more
detail in the following pages.) Identify who should be contacted if this function is
in jeopardy.
#1 Critical Function
During a crisis or disaster, a
department should strive to maintain
as high a level of operations as
possible. By identifying your critical
Primary Contact
RTO
Secondary Contact
Name
Phone Number
Alternate Number
functions, you can better determine
#2 Critical Function
which staff, materials, procedures and
RTO
equipment are absolutely necessary to
keep your department functioning.
Primary Contact
Also, consider how long before
you would need to resume operations
Name
to prevent significant loss of service,
Phone Number
revenue, or materials. Would this be
Alternate Number
Secondary Contact
days or hours? This is your Recovery
Time Objective (RTO). You can put
#3 Critical Function
RTO
your critical functions in order based
upon their RTOs.
Primary Contact
Name
Phone Number
Alternate Number
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The University of North Carolina at Chapel Hill
Secondary Contact
#1 Critical Function
(Please explain this function in more detail, including any mitigating factors in place.)
If you can’t
specify what
you intend to
achieve or
produce, how can you
What would be the effect of loss of staff (due to public health concerns, furloughs,
adverse weather, etc.) on this function? What is your continuity strategy for this risk?

produce it?
– Mel Gosling,
Founder of Merrycon,
Business Continuity Consultancy
What would be the effect of loss of utilities (i.e. water, electricity) on this function?
What is your continuity strategy for this risk?

Mitigate:
What would be the effect of loss of telecommunications (i.e. phones, computers,
internet access) on this function? What is your continuity strategy for this risk?

• To conserve, protect, record
• To limit the adverse
effects of natural or
technological hazard
• To moderate in force
or intensity
What would happen if there was an entire loss of facility (due to fire, tornado, gas
release, etc.)? What is your continuity strategy for this risk?

• To make less severe
What steps can you take
now to mitigate impact on
your operations?
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5
Notes:
#2 Critical Function
(Please explain this function in more detail, including any mitigating factors in place.)
What would be the effect of loss of staff (due to public health concerns, furloughs,
adverse weather, etc.) on this function? What is your continuity strategy for this risk?

What would be the effect of loss of utilities (i.e. water, electricity) on this function?
What is your continuity strategy for this risk?

What would be the effect of loss of telecommunications (i.e. phones, computers,
internet access) on this function? What is your continuity strategy for this risk?

What would happen if there was an entire loss of facility (due to fire, tornado, gas
release, etc.)? What is your continuity strategy for this risk?

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The University of North Carolina at Chapel Hill
#3 Critical Function
(Please explain this function in more detail, including any mitigating factors in place.)
I never saw a wreck
never have
been wrecked
and
nor was I ever in any
predicament that
threatened to end
What would be the effect of loss of staff (due to public health concerns, furloughs,
adverse weather, etc.) on this function? What is your continuity strategy for this risk?

in
disaster.
– Captain Edward Smith in 1907
(Captain of the Titanic,
which sank in 1912)
What would be the effect of loss of utilities (i.e. water, electricity) on this function?
What is your continuity strategy for this risk?

What would be the effect of loss of telecommunications (i.e. phones, computers,
internet access) on this function? What is your continuity strategy for this risk?

What would happen if there was an entire loss of facility (due to fire, tornado, gas
release, etc.)? What is your continuity strategy for this risk?

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Communications
Communication is the most frequent point of failure
in every disaster event. Poor communication is usually at the top of customer and staff complaints. It is
important, therefore, for you to carefully consider the
items below and implement a schedule for testing
your communication plan for an unexpected event.
A communication plan should include the following areas:
Audience. Who should receive the communication?
Responsibility. Who is responsible for the communication?
Medium. In what way will your message be delivered?
Content. What information will your message include? Who, what, where, when,
why and how?
Timing/Frequency. How often will information be presented or updated?
Make a list of your department’s most important customers and all students/staff/
faculty. Proactively plan to communicate regularly with them before, during and
after an incident. Share with them your crisis communication plan.
Just because
quiet
the river is
does not mean the
The first priority in a disaster or significant interruption is to communicate with
your department’s leadership to let them know what has happened and to receive
guidance as necessary. The next priority is to communicate with your staff/faculty.
Campus leadership also needs to be notified so they can assist with alerting the
public if necessary.
Departmental Leadership
crocodiles
have left.
– Malay proverb
Name
Head of Operations
First Successor
Second Successor
Third Successor
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The University of North Carolina at Chapel Hill
Phone Number
Alternate Number
Call Tree
Notes:
Below is an example of a call tree. This can be easily created in an Excel file. A
sample is also available from the University’s Risk Management Services home
page. You can modify the sample call tree to fit your department’s particular needs.
Call tree drills should be conducted at least every six months or whenever there is
significant staff turnover. If you are conducting a drill, you must say, “This is a test
of the [department name] call tree.” This will discourage unnecessary panic.
The call tree is activated when the head of operations contacts the directors. The
directors then contact the first member of their staff (Staff 1), who contacts the next
staff member (Staff 2), etc. The last staff member calls back to the director to assure
that all employees have been contacted. The directors, in turn, report back to the
head of operations. An absence of call backs
indicates that the call tree failed and needs to
be conducted again, perhaps with the directors
Head of
calling each staff member personally.
Operations
Director A
Director B
Director C
Staff 1
Staff 1
Staff 1
Staff 2
Staff 2
Staff 2
Staff 3
Staff 3
Staff 3
Staff 4
Staff 4
Staff 4
Director A
Director B
Director C
Head of
Operations
It is important to train staff on how the call tree works so they will know what to
expect and what is expected of them. Three significant tips:
Write down the message so you can be confident that you are relaying the
appropriate information.
If the caller reaches an answering machine, leave a message and then call the
next person on the call tree to keep it going.
If no one answers, call the next person on the call tree. Make a note of the
person who didn’t answer and try again later.
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Responsibilities
Determine ahead of time whose responsibility it is to communicate with different
audiences:
Who will communicate with campus leadership?
Who will communicate with the Department of Public Safety, Facilities Services,
Energy Services or the Department of Environment Health and Safety?
Who will communicate with Risk Management Services?
Who will communicate with faculty/staff?
Who will communicate with students?
Who will communicate with the public?
If the phone systems fail, use
e-mail or mobile phones to
contact all students/faculty/staff,
vendors, patients, and customers.
Inform them that they may contact
your department through e-mail or
by contacting a designated mobile
phone number.
Medium
Effective crisis communication relies on “push,” where the information is pushed,
or disseminated, to the audience via phone, e-mail, radios, etc. You might
supplement that with the “pull” method, in which information is made available,
but your audience has to find it. A Web site is a good example of the“pull”method
of communication. If you intend to use the department’s Web site for providing
updates, be sure to inform your audiences of that plan and give them the
appropriate URL address before and during the event.
Before a crisis, as your department shares information about continuity and
recovery planning, you may use newsletters, intranets, staff meetings, and other
communication tools. The purpose is to make sure that information is fully shared
and understood, so using a variety of communication mediums is appropriate.
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The University of North Carolina at Chapel Hill
In the event of a crisis, what are some of the mediums you are prepared to use to communicate with your audiences?
Phone Lines
Cellular Phones
Pagers
Blackberry and other PDAs
E-mail
Call Tree
External e-mail (i.e. AOL, gmail)
Departmental Web site
University Web site (AlertCarolina.unc.edu)
Instant Messenger Services
Fax Lines
Direct Connect (e.g. Nextel)
Other external Web presence
Content and Timing
Keep initial crisis messages simple, reporting only what is known without speculation. Remember to be clear and
concise, but compassionate, i.e. express appreciation for the inconvenience or the concern the audience is experiencing.
Explain that you will provide more information as it becomes available. Direct them to the department’s Web site for
updates if appropriate.
Follow through by scheduling times to continue communicating and provide the additional information as promised.
If the situation has not changed, communicate that fact. Failure to communicate effectively and frequently may
escalate anxieties and contribute to further problems.
Additional Notes
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Technology
& Utilities
In this exciting age of technological advances,
it is difficult to imagine how we could possibly
work without our computers and Internet access.
Computer and system crashes can seriously
jeopardize our productivity.
What if software and data are not accessible or are corrupted?
What if equipment (hardware) has malfunctioned or is destroyed? How would
the department function if the mainframe, network and/or Internet access were
not available?
What critical interdependencies exist between internal systems, applications
and business processes? (What other departments depend on the work your
department produces?)
Although we are rarely in a position to prevent such events, we can, at a minimum,
create plans and strategies to mitigate the potential impact. For example, maintain
a list of vital records and ensure that electronic copies are maintained on more
than one computer and/or on more than one system (i.e. copies on the director’s
home computer, in another department or on separate disk or flash drive). These
documents can be retrieved and recreated quickly if needed.
For a moment,
nothing
happened.
Then, after a second or so,
nothing
In the event of a network problem in which you cannot access your software, files
or e-mails, contact the specialized IT support within your department or School to
establish the nature and duration of the problem. This will help you decide whether
or not to retrieve your vital records from their backup location and what actions can
be continued. List the contact information below:
School/Department IT Support:
continued to happen.
– Douglas Adams,
author (1952-2001)
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The University of North Carolina at Chapel Hill
Make copies and a list of important documents and store them somewhere other
than your office to ensure they are retrievable in the event of system of computer
crash. (Some examples include continuity plans, insurance policies, financial
account information, laboratory/research notes, gradebooks, etc.)
Document Name (and file name)
Backup Location
1
2
3
4
5
6
Consider your options, and then record your plan below for ensuring back up of
your department’s electronic information. Include key contact names and numbers
to ensure that the information remains available to your department even if there is
staff turnover.
The University’s Information
Technology Services (ITS) offers
assistance with comprehensive data
back up. They can offer guidance
about available solutions that may
backup your entire department’s
computers or even just one. Recovery
would be available even if hard
drives are corrupted or computers
are stolen. Consult with your
department’s information technology
experts or contact ITS at 962-HELP,
or review information about the
program at http://help.unc.edu/5662.
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Familiarize yourself with assistance offered by Information Technology Services (ITS). The department offers computer
repair and loaner services through the Computer Repair Center. You may review this service at http://help.unc.edu/5966 or
by contacting the ITS Help Desk at 962-HELP.
Maintain an inventory of your hardware and software to assist you in rapid recovery in the event of a disaster. Also, consider
insuring your computer hardware. Contact Risk Management Services at [email protected] or 962-7360 for assistance.
Computer Hardware Inventory
Hardware
(CPU, Monitor, Printer)
14
Hardware Size, RAM & CPU
Capacity
The University of North Carolina at Chapel Hill
Model
Serial Number
Notes:
Computer Software Inventory
Program
(unique to your department)
Vendor Contact Information
License Number
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Loss of Utilities
In an office setting, when power is out, the safest strategy is usually to promptly
exit the building. It may be wise to provide flashlights to your staff for just such an
event. The Emergency Coordinator for your building or section should guide your
evacuation efforts. If you do not have an Emergency Coordinator for your building
or department, contact an EHS Fire Safety Professional at 962-5708 or 962-5728.
Online training is available for new and continuing Emergency Coordinators.
Who is your Emergency Coordinator?
Name Phone Number
Loss of utilities may significantly affect campus research laboratories. Laboratory
directors are encouraged to consult with the Department of Environment, Health
and Safety (962-5507) to develop effective and safe plans for emergency shutdown
and/or potential continuity strategies.
In addition, departments that host laboratory animals have special heating, cooling
and air quality needs. They, too, are encouraged to consult with the Department of
Environment, Health and Safety for best practices in the event of a utility outage.
To find out the extent and likely
duration of a utility service outage,
contact Energy Services at 962-8394.
If there is a water outage or sewer
backup, contact Energy Services at
962-3456. (After hours emergencies
should be reported at 962-1167.)
The University maintains an emergency freezer service through Facility Services.
In the event of a failure in a laboratory freezer, contact Facility Services (HVAC) at
962-3456. In the evenings this number will automatically transfer the caller to the
Department of Public Safety.
Many investigators choose to have their freezers connected to the Freezer Alarm
system on campus. If the freezer fails for whatever reason, an alarm sounds in the
Department of Public Safety, whose staff then contacts the person identified as
responsible for the freezer. If your department is interested in this option, contact
Facility Services to discuss your need, costs, expectations and responsibilities
(962-3456).
Alternatively, to prevent loss and to assure research continuity, a department can
contract with an external bio-repository to house their freezers or portions of their
work in progress. More information about this service is available through the
UNC Lineberger Comprehensive Cancer Center. Contact the Tissue Culture
Facility Director at 966-4324.
Notes regarding follow up (include emergency contact numbers for the biorepository, if used):
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The University of North Carolina at Chapel Hill
Some offices and buildings have “red outlets,” which are emergency power outlets connected to a backup power system.
If you need help understanding this service, or if you want to be considered for installation of red outlets, contact the
Help Desk at Facility Services (962-3456). They will connect you with Fire & Life Safety personnel, who can advise
you in this effort.
If you have, or think you need, a generator, discuss with your department or School’s facility director or contact Facility
Services at 201-2782. If you have a generator, determine where your department is on the campus priority list, learn
more about what to expect in the event of large scale crisis, and determine what equipment would be powered by the
generator.
If you have one or more generators, and either should fail, be prepared to tell Facility Services personnel exactly what
type of replacement generator you would need. You can discuss this with your department or School’s facility director
or contact Facility Services for guidance in determining this information.
Model
Load
Adapter
Fuel per hour
Additional Notes
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Academics
& Research
Academic Continuity
Academic continuity is vitally important because it
focuses on the core business of higher education:
providing students with the opportunity to learn.
In the event of a disaster on campus, or other significant interruption, it may be
necessary to provide alternative means of instruction. The checklists below provide
faculty with ideas to improve their own preparedness for online, hybrid, or face-toface course formats.
Prior to starting class:
Record and backup student names, e-mail addresses, and phone contact
information.
Record e-mail and phone number of your director or other appropriate
point of contact for your primary program or department.
Prepare a backup working copy of your gradebook to ensure continuity
of grading and reporting to students and administrators if your primary
online gradebook is not available for an extended period of time.
Back up critical teaching materials, including lectures, assignments,
instructions, quizzes, discussion topics, the syllabus, schedule, and other
artifacts. You may be able to provide these materials to your students via
the Internet in the event of a significant classroom interruption. (You
may not be able to save some materials such as reserved readings, library
resources, etc.)
Next week there
can’t be
any crisis.
My schedule
is already
Consider creating an external Web presence in preparation for a disaster or
significant interruption to campus Internet capabilities.
Once Class Has Begun:
full.
– Henry Kissinger, former US
Secretary of State (1923 - )
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The University of North Carolina at Chapel Hill
Send a test e-mail message to the students in your class. This test
message will help you identify any possible problems with spam filters or
firewalls that may block receipt of your e-mails. If this should occur, ask
the students to add you to their approved recipient list. Create a group
distribution list based on your students’ e-mail contact information.
Send students a welcome e-mail blast with your contact information and ask them to save the e-mail.
Maintain a copy for your own records. This practice will ensure that both you and your students have each
other’s current e-mail address.
Let students know that it is critical for them to provide you with current e-mail and contact information
throughout the semester.
Remind students regularly about the importance of keeping backup electronic copies of their assignments.
Download students’ assignments when they are submitted so that you will always have ready access to them
in the event of a system failure.
Download and maintain copies of online discussions if possible.
Stay informed about other technologies you may need to use temporarily to continue teaching and learning
activities if your classroom were to remain inaccessible for an extended period of time.
Let students know of your plans for continuing instruction and communication in the event of disaster or
significant interruption. You may want to have the students test their ability to access any external Web sites
you have created in preparation for such events.
Course Continuity During an Interruption:
Use the distribution list you created at the beginning of the semester to send an e-mail to students reminding them
of when and how they may contact you. Let them know of any changes to your syllabus.
Continue timely sharing of lectures and supporting materials by using your backup copies, and sharing via e-mail or
your department’s Web page (if available).
Post comments, materials and assignments on your external Web site if necessary.
Consider excusing students from the requirement to interact, either online or through class participation, and ask
them instead to submit individual contributions (especially if Web access is limited).
If you adjust the requirements for interaction during the classroom interruption, prepare a synopsis of student
submissions, add substantive comments, and send this information to all students via e-mail.
If you supplement assignment information with Web postings, send that additional information to students via
e-mail also and retain a copy.
Consider setting up and learning how to use a telephone conference call or using an instant messaging/chat program.
Use your backup gradebook if necessary. Communicate individual grading and feedback information to each
student via e-mail and retain a copy.
Consider posting classroom communications and lecture materials or conducting student discussions on Internet
blogs or a wiki during a classroom or system interruption. Ensure that viewing and writing access is restricted to
members of the class. In a wiki, you may be able to create individual student pages with restricted page-level access
so that each student has a private space for communicating with you and/or submitting an assignment.
Encourage students to communicate with each other as support for class teams if appropriate.
Backup or print all e-mail and/or Web submissions and comments from students during the interruption.
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Notes:
Explore Additional Technologies
Below is a list of optional technologies and tools you may want to investigate and/
or use if your class is interrupted. These tools are suggested only as alternatives
and are not required for normal course activity. You may want to consult with your
department’s Internet technology (IT) specialist and/or consider taking trainings
offered by the University’s Information Technology Services (ITS).
Centre for Learning & Performance Technologies
Top 25 Teaching Resources 2008
Firefox
delicious
Google Reader
gMail (Google Mail)
Skype
Google Calendar
Google Docs
iGoogle
Slideshare
flickr
Voicethread
Wordpress
Web browser plus
social bookmarking
an RSS reader
Webmail
IM and voice call tool
online calendar
online office suite
personal start page tool
presentation sharing
image hosting and
sharing tool
slideshow with audio
blogging tool
Audacity an audio/podcasting tool YouTube video hosting and sharing
Jing screen capture/screencasting
PBwiki wiki tool
PollDaddy polling tool
Nvu Web authoring (site) tool
Yugma Web meeting tool
Ustream live broadcasting tool
Ning private, customized networking
Freemind brainstorming tool
eXe course/training creation tool
Moodle course management system
twitter micro-blogging tool
See http://www.c4lpt.co.uk/25Tools/index.html
If you have any doubt about how to handle the situations and responsibilities
outlined in this section, seek the advice of your director. Consult with him/her
to ensure that your plans for continuity do not constitute a substantial change
in course requirements as described in the syllabus. Discuss your ideas with
other faculty.
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The University of North Carolina at Chapel Hill
Research Continuity
Name of Principal Investigators for laboratories addressed in this plan (if
applicable):
Project
Location
Chance favors the
prepared
Principal Investigator
Office Phone / Pager
E-mail
– Louis Pasteur, chemist &
microbiologist (1822 – 1895)
Home / Cell Phones
mind.
Project
Location
Principal Investigator
Office Phone / Pager
E-mail
Home / Cell Phones
Project
Location
Principal Investigator
Office Phone / Pager
E-mail
Home / Cell Phones
Additional Notes
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Clearly list all special equipment safety precautions in case personnel not familiar with the equipment must access the
area. Include cell phone of knowledgeable personnel.
Maintain detailed information regarding feeding/care of laboratory animals in case usual caregivers are unavailable and
persons unfamiliar with your research must provide care. Label most valuable animal cages. Make any special notes below,
but keep detailed information close to animal cages.
Duplicate stocks, samples, or subsets that are temperature sensitive and crucial to the research mission. Store duplicates at
a remote site in case of power or freezer loss at primary site. Location of remote site (on- or off-campus):
Maintain off-site copies of essential vendor contact information, contact information for funding organizations/program
officers, backup records of time and effort reporting, and the lab map and inventory list.
Consider supplemental insurance for specific pieces of equipment that are critical to operations. Contact Risk
Management Services to discuss options at [email protected] or 962-7360.
Organize research materials for easy access/retrieval in case of emergencies. Label (using weather resistant labels) the
most important materials. Designate an emergency rack whose contents will be taken first in the event of an evacuation.
Ensure that temperature or time-sensitive equipment is equipped with failure alarms. Contact Facilities Services at
962-3456 for information about the University research alarm system.
Ensure that freezers, refrigerators, incubators, etc. are on an emergency power supply. Be aware of the emergency
generator power source for your area, including how long that power source can be relied upon.
Ensure that research notes, letters, documents, spreadsheets, etc. are backed up to the network drive every day.
Information (data or documents) that is stored on laptops should be routinely uploaded to the network drive. Consider
storing copies of critical documentation and findings at an alternative location.
Consider what portion of research efforts could be continued from home or other site, i.e. data analysis, summarizing
findings, etc.
Provide each clinical trial group with remote contact information in case University or Hospital telecommunications fail.
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The University of North Carolina at Chapel Hill
Peer-to-Peer Support
Provide the name, location and contact information of a campus or local peer who might be willing and able to assist
in your research continuity if an emergency occurs. This person may be able to provide storage space or key supplies in
a crisis.
Peer Name
Institution
Contact Information
Peer Name
Institution
Contact Information
Peer Name
Institution
Contact Information
Additional Notes
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Continuity
& Recovery
Scenario:
It is the middle of the night when you get
a call informing you that one or more of
your department’s workspaces has been
completed incapacitated. Let’s imagine
there has been a major fire, hazardous
gas release or similar event, which
makes entry into the building impossible.
Essentially, you have just lost your office,
classroom or lab!
This occurs, of course, at the worst
possible time—a deadline is looming,
classes are just starting (or ending), or
at some other time that is critical to your
department. What do you do? Where
else could you work? What resources
would you need? How would you recover?
Continuity and recovery are not the same. Continuity
planning prepares you to maintain your critical functions during a crisis. The academic plans your faculty
have made are examples of continuity planning. Recovery planning helps you rebuild all of your typical
functions in a more permanent location.
Continuity and recovery do not begin after disaster strikes. They begin right now,
with you and your co-workers completing this Guide. Your communications plan,
the academic and research continuity efforts, computer backup and other mitigation
strategies are the very first steps in continuity and recovery. The information you
have collected in the previous sections will prepare you for a quick and effective
continuity response and, finally, recovery.
For small interruptions, such as emergency repairs or utility loss, refer to the phone
numbers provided in the back of this Guide. Unfortunately, a large scale disaster
may occasionally strike a campus, causing serious damage to one or more buildings.
Sometimes University resources can be stretched thin, so your prior planning is
essential to help your department recover quickly as well as to maintain the critical
functions you previously identified.
In a large scale disaster, perhaps when your department’s building is unavailable,
continuity usually occurs in a different location. Let’s look at some of the issues and
challenges your department might face at this critical time.
Continuity – Relocating
Consider the critical functions you described earlier in the first section of this
Guide. If your department has an extremely short Recovery Time Objective, you
may need a “hot site” where you can immediately move critical operations. A
hot site would be equipped with everything your department needs to continue
or resume operations, i.e. work stations and computers with duplicate software
programs, vital records, supplies, special equipment, etc. A formal agreement would
be in place with this space provider.
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The University of North Carolina at Chapel Hill
If you have a hot site, please complete the following:
Location
Main Contact Information
Which of your critical functions could be completed from this site?
Key supplies/equipment available
What specialized equipment, forms or supplies would need to be acquired?
Another option is to develop mutual aid agreements with other departments on campus that offer similar services or
use similar equipment as your staff. You can store duplicates of vital records, backup supplies and other key materials
you might need in their offices, and perhaps plan to use a conference room as your continuity site. Conversely, your
department would offer the same help to the other department. These agreements do not need to be excessively
formal, but there does need to be some documentation to denote the location, main contact persons, and what space
and supplies would be available. Risk Management Services can help you facilitate these agreements.
Location
Main Contact Information
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Which of your critical functions could be completed from this site?
Key supplies/equipment available
What specialized equipment, forms or supplies would need to be acquired?
In the event of wide-scale destruction on campus, we strongly encourage you to
have plans for off-campus relocation or, at least, some ready options. For example,
a theater group may be able to use the stage at the Carrboro Arts Center or even a
local high school. A research laboratory might make use of available space at North
Carolina Central University or North Carolina State University. Office space may
be available in hotel conference rooms. Employees might work from home. What
are some options for your department?
Contact these other locations now to discuss what availability you might be able to
expect in the event of a crisis.
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The University of North Carolina at Chapel Hill
Remember to use your department’s communication plan to inform your many audiences of the new location and,
if applicable, your limited services. What equipment would be needed at a continuity site to communicate with
employees, students, vendors and customers? Is Web access available?
A large-scale disaster on campus could disrupt or delay numerous campus services. In particular, Material and
Disbursement Services (M&DS) recognizes that it may not be able to process all the purchasing and check request
needs of the campus when its own functions may have been affected. Your department is encouraged to maintain
contact information for its own specialized vendors, including persons or companies providing repair services to
specialized equipment. In the event of a disaster on campus, you may need to contact them directly.
Product
Vendor
Contact Information
Material and Disbursement Services offers an Emergency Purchasing Card, which could be used in a large disaster.
This would allow your department to purchase needed supplies without having to secure a check or purchase order
from MD&S during a crisis. Your department would need to document its purchases carefully, of course, but, at least,
the Emergency Purchasing Card would allow a quicker response to your department’s crisis situation. Contact the
P-Card Officer for more information at 962-2255.
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Recovery
Once the University has determined that the crisis has passed, you may be asked to relocate your offices again, hopefully to a
permanent location. To fully reestablish your department’s office or other work area, you will need a Recovery Inventory.
The Recovery Inventory is created by assessing what equipment and supplies you currently have, and would potentially need
to replace, to run at full operations. This could be computers and desks, file cabinets, specialized equipment, copy paper, etc.
Equipment/Supply
Number
Possible Source
If you have a more extensive list than can be accommodated above, simply include it in the folder at the back of this Guide.
Ensure that your supervisor and select staff members have copies as well.
Once the work area has been recovered, it is time to recover your department’s critical data. Work with your department’s
information technology (IT) specialist or the University’s Information Technology Services (ITS) to retrieve data that has
been backed up to the network drives or to the recovery company (Iron Mountain). Also, retrieve and reproduce any critical
documents that may have been lost.
Academics, laboratories and administrative offices may have very different tasks for recovering. List the tasks your
department will need to complete to fully recover.
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Additional Notes
At the onset of an
emergency,
everyone’s IQ goes
immediately to ‘0’.
– Winston Scott,
NASA Astronaut (1950 - )
Your staff and co-workers may be aversely affected by the same crisis that affects the
campus. Please take time to assure their well-being before returning to full operations.
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Employee
Preparedness
There is no more important resource on campus
than human resources. After a disaster, computer
backups and new facilities are useless without staff.
For this reason, it is important to communicate with
your employees, to identify your essential staff, and
to help your employees better prepare themselves
for emergencies.
Before an incident or interruption occurs, share your department’s continuity and
recovery plans with your staff and co-workers. They may offer additional ideas or
options that could enhance planning.
After an incident on campus, one of your priorities will be to communicate with
your staff as soon as possible. You will want to update them on the effects of the
incident and the current status of your department. You may also need to give them
alternative work plans or information regarding relocation.
In the Communications section of this Guide, you created a call tree. This should be
updated at least every six months or whenever there has been significant change in
staff. Test the call tree after each update.
tendency
The
of an event to occur
varies inversely
with one’s
preparation for it.
After a serious storm or other event off campus, co-workers often worry about each
other. Designate a phone number in your department where employees can leave
an “I’m okay” or similar personal update message. This could be an administrator’s
number or another designated number.
Employee Update Number:
In addition, ensure that your faculty and staff are aware of “Alert Carolina,” the
University’s safety awareness program (www.alertcarolina.unc.edu). Encourage
them to register their cell phones with the text messaging service to receive updates
in case of imminent danger on campus.
– David Searles, author
(from Continuity Central)
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The University of North Carolina at Chapel Hill
Consider the minimum number of employees necessary for maintaining your department’s critical functions. In
preparation for a pandemic or other communicable disease, please identify these essential staff members to your
department’s HR Facilitator and to the Department of Environment, Health and Safety.
Determine what cross-training may be needed to ensure backup for critical functions/roles if key personnel are
unavailable.
In the event that your facility is unavailable, some employees may be able to work from home. In the event of a sudden
crisis, it would not be necessary to receive prior approval from the Office of Human Resources for staff to work from
home, but it would be wise to develop some general good practices, such as providing daily updates of work completed,
tracking hours worked, etc. This will be especially helpful when tracking Time and Effort reporting. Briefly describe
your department’s work-at-home plan.
Providing for your staff and co-workers’ well-being is recognized as one of the best ways to ensure effective recovery.
If individuals and families are prepared, your department is better positioned in an emergency situation. Following a
disaster, basic services such as electricity, gas, water, sewage treatment, and telephones may be out of service for days, a
week, or longer. A key element of personal preparedness is the creation of a disaster supplies kit.
At work: A work kit should be in one container and ready to “grab and go” in case it is necessary to evacuate the
workplace. Keep some food (i.e. energy bars) and water in the kit, as well as first aid supplies, one day’s worth of
essential medicines, a flashlight and whatever else you deem appropriate. You may want to have comfortable walking
shoes at your workplace in case an evacuation requires walking long distances.
In the car: In case you are stranded, keep a kit of emergency supplies in your car. This kit should contain food,
water, first aid supplies, flares, jumper cables, and seasonal supplies.
At home: A disaster supply kit should contain essential food, water, and supplies for family members (and pets) for
at least three days. Keep the kit in a designated place and have it ready in case you have to leave your home quickly.
Make sure all family members know where the kit is kept. Additionally, maintain supplies sufficient for up to two
weeks in case your family needs to shelter in place (i.e. stay at home for an extensive period). More information about
home planning is provided in the following pages.
Encourage your staff and their families to get an emergency supply kit, make a family emergency plan, and be
informed about different risks and appropriate responses. Go to www.ready.gov for more information.
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Notes:
Family Disaster Supply Kits
Families and individuals should maintain at least two disaster kits as referenced
above. The first, a “Go” kit, is for an incident in which it is necessary to flee the
home, i.e. a gas release in the area, severe storm damage, fire, etc. Keep the entire
kit in plastic storage containers or fill a book bag for each family member to carry.
The second disaster kit is a “Shelter in Place” kit, which is larger and allows for an
extended stay in the home, probably without utilities. Store this somewhere in or
near the home.
“Go” Kit (for 72 hours away from home)
Water —at least one gallon daily per person for three days
Food — at least enough for three days (non-perishable packaged or
canned food/juices, snack foods, etc.)
Manual can opener, cooking utensils/fuel, paper plates, plastic utensils
Blankets/Pillows
Seasonal clothing, rain gear, sturdy shoes
First aid kit, medicines and prescription drugs
Toiletries and hygiene items (toilet paper, tooth brush/paste, wipes, etc.)
Special items for infants, sick or elderly (diapers, foods, medicines, etc.)
Toys, books, games for children
Flashlights with extra batteries
Small tool kit
Copies of essential family information (insurance policies, birth
certificates, banking information, etc.)
Cash — in case banks or ATMs are not operating
Cell phone charger
Pet care items —identification, food/water, carrier, leash
Keep fuel tanks at least half-full at all times in family cars.
Determine evacuation routes. Choose several destinations in different directions
and at different distances. Be sure that all family members are aware of these plans.
Designate an out-of-town contact to help facilitate communication between family
members who are separated.
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The University of North Carolina at Chapel Hill
“Shelter in Place” Kit (for 7-10 days in the home)
Water — At least one gallon per person/per day.
Food —Stockpile non-perishable packaged or canned foods, bottled water
and juices, snack foods, etc. Use a permanent marker to clearly mark
expiration dates.
Heat source —Consult with your local fire department for safest options.
Manual can opener
Cooking utensils/fuel, paper plates, plastic utensils
First aid kit, medicines and prescription drugs —at least enough for 7-10 days
Toiletries and hygiene items (toilet paper, tooth brush/paste, etc.)
The only thing
harder than
planning for
an emergency is
explaining
why you didn’t.
– Anonymous
Special items for infants, sick or elderly (diapers, foods, medicines, etc.)
Toys, books, games for children
Flashlights with extra batteries. Be especially careful if using candles for
lighting.
Fire extinguisher
Tool kit, including wrench for turning off gas or water
Dust masks, plastic sheeting and duct tape to help filter contaminated
outside air
Copies of essential family information (insurance policies, birth certificates,
banking information, etc.)
Pet care items —food/water, toys
Battery-powered or hand crank radio and a NOAA weather radio with tone
alert, and extra batteries for both
Keep a document updated with all family member’s names, social security numbers,
dates of birth and important medical information.
Discuss evacuation and shelter-in-place plans with schools, work places and other
locations you frequent. Schools, daycare providers, work places and apartment
buildings should all have site-specific emergency plans that you and your family
need to know about.
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Conclusion
After Action Reports
It is important to document steps taken during any recovery, no matter the size
or extent of the disruption. Use this information to evaluate your department’s
response. Prepare a summary to share with leadership, co-workers and staff,
including what worked well, what needed improvement, which phone numbers
were out of date, etc., and conduct meetings with staff to discuss ways to improve
your department’s response. Retain a copy of your notes on the recovery and your
summary to review after the next incident occurs. This will help you document your
department’s progress in becoming more prepared for continuity and recovery.
Exercises and Tests
Test your department’s continuity and recovery plan by conducting a tabletop
exercise, i.e. a scenario-led discussion of planned responses, or a “live” exercise, in
which essential personnel actually move to the designated recovery site and operate
critical functions from there. You may also test portions of your plan by performing
a call tree drill or by retrieving your backup computer files (ask your IT support
person, or the University’s Information Technology Services, to help you). Please
list your plan for tests and exercises.
A
good plan
today
is better than a
perfect plan
tomorrow.
– George Patton, WWII
Army General (1885 – 1945)
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The University of North Carolina at Chapel Hill
Distribution of Plan
Maintain a current list of persons receiving copies of your department’s plan. These should include directors,
supervisors, essential personnel, etc. Changes in the plan may significantly affect continuity and recovery actions, so it
is imperative that all on the distribution list receive updated copies.
Name
Position
Phone
E-mail
Plan Maintenance and Update
Activity
Tasks
Frequency
Plan update
Review entire plan for accuracy. Discuss plan with leadership, co-workers and staff.
Annually
Plan update
Incorporate lessons learned and changes in policy or planned activities. Discuss
changes with leadership, co-workers and staff.
After incidents
Plan update
Incorporate lessons learned and changes in policy or planned activities.
After tests or exercises
Distribution
Distribute copies to appropriate persons.
After updates
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Record of Changes
Version Number
Date
Brief Description of Changes
Copies Distributed
Approved by:
Director’s Signature
Version Number
Date
Date
Brief Description of Changes
Copies Distributed
Approved by:
Director’s Signature
Version Number
Date
Date
Brief Description of Changes
Copies Distributed
Approved by:
Director’s Signature
Version Number
Date
Date
Brief Description of Changes
Copies Distributed
Approved by:
Director’s Signature
Version Number
Date
Date
Brief Description of Changes
Copies Distributed
Approved by:
Director’s Signature
Version Number
Date
Date
Brief Description of Changes
Copies Distributed
Approved by:
Director’s Signature
Version Number
Date
Date
Brief Description of Changes
Copies Distributed
Approved by:
Director’s Signature
Version Number
Date
Date
Brief Description of Changes
Copies Distributed
Approved by:
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Director’s Signature
The University of North Carolina at Chapel Hill
Date
Definitions
Alternate Location
A location, other than the normal facility, used to process data and/or conduct essential functions in the event of a disaster.
Business Impact Analysis
The process of determining the potential consequences of a disruption or degradation of critical and/or business functions.
Cold Site
An alternate site that is reserved for emergency use, but which requires the installation of equipment before it can
support operations.
Continuity of Operations Planning (COOP)
The effort to assure that the capability exists to continue essential functions across a wide range of potential emergencies.
Critical Functions
Activities, processes or functions that could not be interrupted or unavailable without significantly jeopardizing the
operation of an organization.
Delegations of Authority
Pre-delegated authorities for making policy determinations and decisions in crisis conditions, at alternate locations,
etc., as appropriate.
Essential Personnel
Personnel designated by their division as critical to the continuity and/or resumption of essential functions and services.
Facility
A location or work space containing the equipment, supplies, and voice and data communication lines to conduct
transactions required to conduct functions and business under normal conditions.
Hot Site
A fully-equipped facility, which includes stand-by computer equipment, environmental systems, communications
capabilities and other equipment necessary to fully support a department’s immediate work and data processing
requirements in the event of a disruption or a disaster.
Recovery Time Objective (RTO)
The period of time in which systems, applications or functions must be recovered after an outage to prevent significant
impact on business or service responsibilities.
Risk
An ongoing or impending concern that has a significant probability of adversely affecting operations and business continuity.
Risk Management
The discipline that ensures that an organization does not assume an unacceptable level of risk.
Shelter in Place
The process of staying where you are and taking shelter, rather than trying to evacuate.
Vital Records, Systems and Equipment
Records, files, documents or databases, which, if damaged or destroyed, would cause considerable inconvenience and/
or require replacement or re-creation at considerable expense. For legal, regulatory or operational reasons these records
cannot be irretrievably lost or damaged without materially impairing the organization’s ability to conduct business.
Vulnerability
The susceptibility of a department to a hazard. The degree of vulnerability to a hazard depends upon its risk and
consequences.
Warm Site
An alternate work site which is only partially equipped.
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Important Contact Numbers
Access Control
Bio-repository
UNC Lineberger Comprehensive Cancer Center,
Tissue Culture Facility Director
201-7748
966-4324
Computer back-up
962-HELP
Computer Repair Center (and loaner service)
962-HELP
Emergencies (police dispatch)
911 / 962-6565
Non-emergency assistance
962-8100
Emergency Coordinator Program
962-5728
Environment, Health and Safety (Department of )
962-5507
Freezer Alarms
962-3456
Freezer Failure
962-3456
Generators
201-2782
Heating and cooling problems
962-3456
Human Resources (Office of )
843-2300
HVAC Systems
962-3456
ITS Teaching & Learning
445-9474
Insurance
962-7360
Lab Safety
843-5331
P-Card Officer
962-2255
Public Safety (Department of )
After hours assistance
962-3951
962-8100
Red Outlets
962-3456
Risk Management Services
962-7360
Sewer backup
962-3456
Utility Service Outage
After hours emergencies
962-8394
962-1167
Water Outage
962-3456
For any emergency assistance, call the UNC Department of Public Safety at 911.
For a concern about a student, call the Dean of Students Office, 966-4042.
For a concern about a co-worker, call the Employee Assistance Program, 929-2362.
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Additional Notes
There’s
no
need to
fear the wind if
your haystacks
are
tied down.
– Irish Proverb
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Additional Notes
worry
Don’t
about the world
ending today.
It’s already
tomorrow
in Australia.
– Charles Schultz,
cartoonist (1922-2000)
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The University of North Carolina at Chapel Hill
Treasury & Risk Management Services
Campus Box 1100
104 Airport Drive, Suite 2700
Chapel Hill, NC 27599-1100
P 919.962.6681
F 919.962.0636
E-mail: [email protected]