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Department of Deep Sea Studies (Fictitious Dept.)CONTINUITY PLAN
Created: 04/02/2009 Last modified: 04/23/2009
This document has been producedusing the UC Ready on-line planningtool, and is stored in the UC Readydatabase. To update this document,use the UC Ready tool.
What is a continuity plan?
Continuity planning addresses the question: how can we prepare to continue operations despite those adverseevents that we call disasters - or if we can't continue, how can we resume our operations rapidly and gracefully?
The mission of the University of California is teaching, research, public service, and patient care. These fourenterprises, along with the infrastructure that supports them, are the focus of our continuity planning
Your departmental continuity plan:
Identifies your department's critical functionsDescribes how you might carry on these functions under conditions of diminished resources (diminished staff,space, equipment, or IT infrastructure)Contains various information that will be needed during and after the disaster-event.Describes how we can prepare. This is most important of all, because "a stitch in time does indeed save nine."A good continuity plan will identify action items: things that we can do now to lessen the impact ofdisaster-events and make it easier to recover.
Page 1 See list of Action Items in Section VI.
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Department of Deep Sea Studies (Fictitious Dept.)CONTINUITY PLAN
Listed below are the major sections of a 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.
Table of Contents
I. GENERAL INFORMATION
II. CRITICAL FUNCTIONS (order not necessarily significant) #1 Instruction (undergraduate & graduate) #2 Research #3 Payroll #4 Purchasing #5 Donor relations #6 Publish the quarterly Deep Sea Journal #7 Education cruises for public in off-season.
III. INFORMATION TECHNOLOGY
Part 1: Centrally-Owned Applications Part 2: Departmentally-Owned Applications Part 3: Departmentally-Owned Servers Part 4: Workstations Part 5: Recovery Strategies for IT Part 6: Action Items
IV. FACULTY PREPAREDNESS
V. KEY RESOURCES Part 1: Staff of Our Unit Part 2: Work from Home Part 3: Teams (optional) Part 4: Skills (optional) Part 5: Staffing Requirements (optional) Part 6: Staff of Other Units Part 7: Stakeholders Part 8: Equipment & Supplies Part 9: Facilities & Transportation
VI. ACTION ITEMS
Appendix A: LIST OF KEY DOCUMENTS
Page 2 See list of Action Items in Section VI.
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I. GENERAL INFORMATION
Department Department of Deep Sea Studies (Fictitious Dept.)
Parent division College of Natural Resources
Type of unit ResearchInstruction
Personnel count 17 Faculty & other academic appointees0 Residents/Fellows10 Staff (full-time)2 Staff (part-time, excl. student-staff)16 Student-staff0 Volunteers0 Guests18 Other
Head Jack Muller Department Chair
Primary Contact for this plan Tom Holdford
Secondary Contact for this plan Louise Lang
Cost Center N.A.
Buildings Pier 34 Not Owned Berthing facilities for research ship MV California at Oakland Pier34. Higgins Hall Owned Offices & labs
Evacuation plans for all buildings? Yes
Comment "Other" staff is the crew of of the research vessel MV California - 5 FTE plus 13 seasonalemployees.
Critical functions Instruction (undergraduate & graduate) --Critical 3 1.Research --Critical 2 2.Payroll --Critical 2 3.Purchasing --Critical 2 4.Donor relations --Critical 3 5.Publish the quarterly Deep Sea Journal --Deferrable 6.Education cruises for public in off-season. --Deferrable 7.
Definitions: Critical 1: must continue (life, health, security)Critical 2: must continue, perhaps in reduced modeCritical 3: pause if forced, but must resume in 30 days or soonerDeferrable: resume when conditions permit
To edit this plan section, usethese tabs of the UC Ready webtool - Plan Home, Step 1, Step 2.
Page 3 See list of Action Items in Section VI.
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II. CRITICAL FUNCTIONS
Critical Function #1Name Instruction (undergraduate & graduate)
Description Undergraduate & graduate instruction, including staff support fo faculty.
Who Performs this? N. A.
Responsibleperson(s)
Faculty instructors Graduate student instructors
Peak Periods Jan Aug
Comment start of semesters
Documents See Document List (Appendix 1)
Upstreamdependencies
Financial Aid OfficeGraduate Division OfficeRegistrar's Office (course & classroom scheduling)Facilities ManagementMedia Services (classroom electronics)Campus Bookstore (textbooks)
Downstreamdependencies
Students
Possibleconsequences if thisfunction is notcontinued orrecovered quicklyenough
Disruption of teaching more than 2 weeks with no teaching is hard to recover from
Loss of revenue lost tuition if students leave
How to cope if usualspace is not available
-- We will depend on the Campus to handle space issues. -- In the event that sufficient classroomspace is not available, the Chair has provided the Registrar (in advance of each semester) aprioritization of courses for post-disaster recovery. Courses of lower priority for which classroom spaceis not available either will be held at an informal location chosen by the Faculty Instructor or will becancelled.
How to cope with50% absenteeism ofstaff and faculty
-- Staff: We would prioritize staff work and share tasks among those who are at work. We would needto cross-train in advance for this to succeed. -- Faculty: We could tap graduate student instructors to fillin for absent faculty. Temporary lecturers might also be obtained from the SF Maritime Institute. Thechair's list of potential faculty recruits could also be a source of names.
What to do if certainskills/knowledge areheld by only onestaff member(unique skills)?
See above.
Can this function beperformed fully orpartly from home?
-- Staff can work from home if their computers are adequate & if they have broadband connections(cable, DSL). Some staff currently work from home. We use Windows Remote Desktop. -- Some facultycould work from home using podcast technology. Most could not.
How to cope if datanetwork is notavailable
Classes could be held in the absence of computer networks for about one month, but would require thenetworks to function after that time. If the interruption occurs partway through a semester, the impact ofnon-functioning networks would be greater.
Any show-stoppers? -- Faculty. -- Most graduate student instructors.
If University Yes
To edit this plan section, use theStep 2 tab of the UC Ready webtool.
Page 4 See list of Action Items in Section VI.
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If Universitydeclares temporaryclosure, is it possibleto stop doing thisfunction?
Yes
Comment? Exception is if the MV California is at sea.
Do any of thesecoping strategiesexpose theUniversity to risk?
Primary risk is that students would be unable to take desired courses.
Policy exceptionsthat may be needed
Changes in curriculum & academic calendar. Need approval by Dean, Provost, and Academic Senate.
Additionalvulnerabilities
None that we can think of.
Action items for thisfunction
See Action Item List - section VI
Page 5 See list of Action Items in Section VI.
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Critical Function #2Name Research
Description Faculty research & graduate student research, including staff support.
Who Performs this? N.A.
Responsible person(s) Faculty
Peak Periods Apr May Nov Dec
Comment Peak periods are typically connected with the fall & spring research expeditions of the MV California.
Documents See Document List (Appendix 1)
Upstreamdependencies
Sponsored Projects OfficeCampus LibrariesFacilities ManagementCampus IT networks
Downstreamdependencies
Graduate StudentsFaculty
Possibleconsequences if thisfunction is notcontinued orrecovered quicklyenough
Disruption of research
Well-being of faculty/staff
Well-being of students
Loss of revenue possible loss of grant funding
Impact on important business partner(s) We have several corporate business research partners
How to cope if usualspace is not available
-- We will depend on Campus to handle space issues. -- In the event that the usual space for faculty& students is not available, faculty & grad students will be encouraged & assisted to work from home(see below).
How to cope with 50%absenteeism of staffand faculty
Affected research projects might have to delay their schedules. Substitutes are generally not feasiblefor faculity & grad students engaged in research.
What to do if certainskills/knowledge areheld by only one staffmember (unique skills)?
See Staff section above. Research skills are not easily replaced.
Can this function beperformed fully orpartly from home?
-- Faculty, staff, and students can work from home if their computers are adequate & if they havebroadband connections (cable, DSL). Some staff currently work from home. We use WindowsRemote Desktop. -- Support from our IT staff would be necessary to iron out problems.
How to cope if datanetwork is not available
Faculty could conduct their research projects in whatever fashion possible. It is anticipated thatindividuals faculty and graduate students would devise their own best (temporary) solutions.
Any show-stoppers? Computer networks and libraries (if unavailable for an extended period).
If University declarestemporary closure, is itpossible to stop doingthis function?
Yes
Comment? -- Professors would typically continue their research in any fashion possible. Few faculty would seethemselves as "shut down." -- If MV California is at sea, preferred strategy might be to not shut downthat research expedition, unless the flu appeared aboard.
Do any of thesecoping strategiesexpose the Universityto risk?
If research projects are unable to continue for any extended periods of time, funding could bethreatened by lack-of-performance. To control this risk, communication with granting agencies shouldbe established ASAP after the crisis hits.
Policy exceptions that Granting agencies might be asked to alter/waive conditions of grants to allow recovery periods.
Page 6 See list of Action Items in Section VI.
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Policy exceptions thatmay be needed
Granting agencies might be asked to alter/waive conditions of grants to allow recovery periods.
Additionalvulnerabilities
None.
Action items for thisfunction
See Action Item List - section VI
Page 7 See list of Action Items in Section VI.
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Critical Function #3Name Payroll
Description Processing of payroll information for all departmental personnel (campus has central payroll system towhich departmental payroll assistant submits information).
Who Performs this? Departmental Business Office
Responsibleperson(s)
Mary Jones, Chief of Staff Harry Chan, Payroll Assistant
Peak Periods
Comment No peak periods. Load is somewhat lighter in summer due to fewer student employees.
Documents See Document List (Appendix 1)
Upstreamdependencies
Central Computing Division
Downstreamdependencies
Central Payroll OfficeAll faculty & staff
Possibleconsequences ifthis function is notcontinued orrecovered quicklyenough
Disruption of teaching
Disruption of research
Departure of faculty
Departure of staff
Departure of students
Well-being of faculty/staff
Well-being of students student employees might not get paid
Payment deadlines unmet
Legal obligations unmet
How to cope if usualspace is notavailable
-- We will depend on the Campus to handle space issues. -- If Campus does not quickly providealternative space, Chief of Staff will arrange alternative location for payroll assistant to work(telecommute if possible). -- In the event that departmental payroll processing cannot be done in atimely fashion, campus Central Payroll has committed to re-issuing the former period's payroll checks toall personnel (then making corrections later).
How to cope with50% absenteeismof staff and faculty
At present, the payroll assistant, Harry Chan, is the only person trained in payroll issues. Two other staffwill be cross-trained (see action item later).
What to do if certainskills/knowledge areheld by only onestaff member(unique skills)?
See commentary about cross-training above.
Can this function beperformed fully orpartly from home?
-- Staff, and students can work from home if their computers are adequate & if they have broadbandconnections (cable, DSL). Some staff currently work from home. We use Windows Remote Desktop. --Support from our IT staff would be necessary to iron out problems
How to cope if datanetwork is notavailable
If computer networks are not available, Central Payroll has committed to furnish (paper) data-gatheringforms to all departments for manual submission of payroll data.
Any show-stoppers? No
If University No
Page 8 See list of Action Items in Section VI.
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If Universitydeclares temporaryclosure, is itpossible to stopdoing this function?
No
Comment? We would have to ensure that paychecks keep flowing. Work-from-home by our payroll assistant or hisbackup would help and Central Payroll would have to be functioning well enough to issue checks.
Do any of thesecoping strategiesexpose theUniversity to risk?
Risk of delayed paychecks. Central Payroll states that the worst case would be a 2-week delay.
Policy exceptionsthat may be needed
No policy exceptions at department level. Central Payroll will obtain any needed exceptions at its level.
Additionalvulnerabilities
-- Failure of Central Payroll -- Prolonged absence of both payroll assistant and backup substitutes
Action items for thisfunction
See Action Item List - section VI
Page 9 See list of Action Items in Section VI.
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Critical Function #4Name Purchasing
Description Procuring all departmental supplies & equipment. Department purchasing assistant uses one of threeprocesses to make a purchase: -- Campus purchasing card (BluCard) -- Purchase Order created by purchasing assistant within Berkeley Financial System (BFS) -- Purchase Requisition created by purchasing assistant within BFS as a request to Central Purchasing.
Who Performs this? Department Business Office
Responsibleperson(s)
Mary Jones, Chief of Staff George Rudzinski, Purchasing Assistant
Peak Periods May Jun
Comment End of year fiscal closing.
Documents See Document List (Appendix 1)
Upstreamdependencies
Central Computing DivisionCentral Purchasing Office
Downstreamdependencies
Faculty & staffResearch projects
Possibleconsequences if thisfunction is notcontinued orrecovered quicklyenough
Disruption of teaching
Disruption of research
Well-being of faculty/staff
Payment deadlines unmet Inability to pay vendors.
Legal obligations unmet Inability to pay vendors.
Impact on important business partner(s) Inability to pay vendors.
How to cope if usualspace is not available
-- We will depend on the Campus to handle space issues. -- If Campus does not quickly providealternative space, Chief of Staff will arrange alternative location for purchasing assistant to work(telecommute if possible).
How to cope with50% absenteeism ofstaff and faculty
-- At present, the purchasing assistant, George Rudzinski, is the only person trained in purchasingissues. Two other staff will be cross-trained (see action item later). -- At present, only George has aBluCard (a BluCard is assigned only to an individual). An additional BluCard should be obtained for oneof the cross-trained staff members, plus one card for the Chief of Staff.
What to do if certainskills/knowledge areheld by only onestaff member(unique skills)?
See commentary about cross-training above.
Can this function beperformed fully orpartly from home?
-- Staff, and students can work from home if their computers are adequate & if they have broadbandconnections (cable, DSL). Some staff currently work from home. We use Windows Remote Desktop. --Support from our IT staff would be necessary to iron out problems
How to cope if datanetwork is notavailable
Use BluCards for purchases until networks are re-established. Will require increased upper limits onBluCards (see action item).
Any show-stoppers? Phone for Purchasing Assistant.
If University declarestemporary closure, isit possible to stopdoing this function?
Yes
Comment? It is possible, but could seriously hinder research. Better alternative would be to have purchasing
Page 10 See list of Action Items in Section VI.
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Comment? It is possible, but could seriously hinder research. Better alternative would be to have purchasingassistant work from home.
Do any of thesecoping strategiesexpose theUniversity to risk?
Risk of BluCard abuse if upper limit is raised. Control this by requiring Chief of Staff to authorizepurchases in advance if possible.
Policy exceptionsthat may be needed
Raise limit on BluCards. Lift restricted-item rules on BluCards. These exceptions need approval byController and by Central Procurement.
Additionalvulnerabilities
No
Action items for thisfunction
See Action Item List - section VI
Page 11 See list of Action Items in Section VI.
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Critical Function #5Name Donor relations
Description Over the past decade, the Department of Deep Sea Studies has benefited significantly from theinterest shown by two donors. Both benefactors (an individual and a family foundation) continue toexpress active interest in Departmental affairs, and in continuing their financial support. It is importantto keep them informed and engaged in departmental activities.
Who Performs this? Chair's Office.
Responsibleperson(s)
Neil Jefferson, Chair
Peak Periods Jun Jul Aug Sep
Comment Summer is the time we take out donors for a full day of sailing including lunch aboard.
Documents See Document List (Appendix 1)
Upstreamdependencies
Central Computing (networks)
Downstreamdependencies
Department of Deep Sea Studies (financial impact)
Possibleconsequences if thisfunction is notcontinued orrecovered quicklyenough
Loss of revenue Benefactors are very important stakeholders.
How to cope if usualspace is not available
Not an issue.
How to cope with50% absenteeism ofstaff and faculty
If Chair cannot maintain communication with donors, he will assign a senior faculty member to do so.
What to do if certainskills/knowledge areheld by only onestaff member(unique skills)?
Not an issue.
Can this function beperformed fully orpartly from home?
Yes. Telephone or email is sufficient.
How to cope if datanetwork is notavailable
Telephone.
Any show-stoppers? No
If University declarestemporary closure, isit possible to stopdoing this function?
No
Comment? There would be no reason to cease contact with donors.
Do any of thesecoping strategiesexpose theUniversity to risk?
No
Policy exceptionsthat may be needed
None
Additional No
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Additionalvulnerabilities
No
Action items for thisfunction
See Action Item List - section VI
Page 13 See list of Action Items in Section VI.
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III. INFORMATION TECHNOLOGY
Part 1: Centrally-Owned Applications that are Critical for our Unit:
Application or System CriticalityLevel Comment
Berkeley Financial System (BFS) Critical 3
Campus Deposit System (CDS) Deferrable Our dept has daily cash & check receipts that must be processed. Paperworkaround is possible.
Campus Enrollment System(CES) Critical 3 There may be a paper workaround for this.
Human Resources MgmtSystem (HRMS) Critical 2 Enterprise HR system. Necessary for payroll processing & employment
actions.
Definitions: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 + 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.
To edit this plan section, use theStep 3 tab of the UC Ready webtool.
Page 14 See list of Action Items in Section VI.
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III. INFORMATION TECHNOLOGY (cont.)
Part 2: Departmentally-Owned Applications that are Critical for our UnitDefinitions:
Departmentally-owned applications are those whose technical owner is our department or another department (but notcentral IT).
Application #1
Name of application or system Departmental Student & Roster & Database
Functional owner Dept of Deep Sea Studies
Technical Owner Dept of Deep Sea Studies
Type Desktop
Backup frequency Daily
Backup media Disk
Backup auto or manual? Automatic
Database application? Yes
Move data to or from core campussystems?
No
If so, what campus systems?
Depts that will be impacted by failureof this application
our own department
Technical expert(s) Sally Robertson
Responsible for recovery Sally Robertson
Onsite storage Campus Data Center
Offsite storage Iron Mountain, Sacramento
Frequency of offsite storage Weekly
Location of installation disks &documentation
Higgins 372
Successful recovery been done? Yes
Comment Backed up to network server that is co-located in Campus Data Center.
To edit this plan section, use theStep 3 tab of the UC Ready webtool.
Page 15 See list of Action Items in Section VI.
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Application #2
Name of application or system Departmental Faculty Roster & Database
Functional owner Dept of Deep Sea Studies
Technical Owner Dept of Deep Sea Studies
Type Desktop
Backup frequency Daily
Backup media Disk
Backup auto or manual? Automatic
Database application? Yes
Move data to or from core campussystems?
No
If so, what campus systems?
Depts that will be impacted by failureof this application
our own department
Technical expert(s) Sally Robertson
Responsible for recovery Sally Robertson
Onsite storage
Offsite storage Iron Mountain, Sacramento
Frequency of offsite storage Weekly
Location of installation disks &documentation
Higgins 372
Successful recovery been done? Yes
Comment Backed up to network server that is co-located in Campus Data Center.
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Application #3
Name of application or system Departmental BluCard Log
Functional owner Dept of Deep Sea Studies
Technical Owner Dept of Deep Sea Studies
Type Desktop
Backup frequency Daily
Backup media Disk
Backup auto or manual? Automatic
Database application? Yes
Move data to or from core campussystems?
No
If so, what campus systems?
Depts that will be impacted byfailure of this application
our own department
Technical expert(s) Jake McGee
Responsible for recovery Jake McGee
Onsite storage Campus Data Center
Offsite storage Iron Mountain, Sacramento
Frequency of offsite storage Weekly
Location of installation disks &documentation
Higgins 372
Successful recovery been done? Yes
Comment This is simply an Excel file, manually updated. Nightly backup to Campus Data Center viaUC Backup.
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Application #4
Name of application orsystem
SeaMapper
Functional owner Dept of Deep Sea Studies
Technical Owner Dept of Deen Sea Studies
Type Client-Server Application
Backup frequency Daily
Backup media Disk
Backup auto or manual? Automatic
Database application? Yes
Move data to or from corecampus systems?
No
If so, what campussystems?
Depts that will be impactedby failure of this application
US Coast Guard, US Navy National Oceanic & Atmospheric Agency (NOAA)
Technical expert(s) Helen Jamieson
Responsible for recovery Helen Jamieson
Onsite storage Campus Data Center
Offsite storage Iron Mountain, Sacramento
Frequency of offsite storage Weekly
Location of installation disks& documentation
Higgins 372
Successful recovery beendone?
Yes
Comment This is a seafloor mapping application used by our department as well as by our governmentpartners. Major source of funding for departmental projects.
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UC Berkeley Continuity Plan for Department of Deep Sea Studies (Fictitious Dept.)
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III. INFORMATION TECHNOLOGY (cont.)
Part 3: Departmentally-Owned Servers
Server #1
Name of server (or group of servers) Trident
Server Type File server
Explanation dept file server
Backup frequency Daily
Backup media Local backup server
Backup auto or manual? Automatic
Applications that will be impacted byfailure of this server
All dept operations will be impacted.
Departments that will be impacted byfailure of this server
our own dept
Server software Windows Server 2003
Technical expert(s) James Nguyen
Responsible for recovery James Nguyen
Onsite storage Higgins 372
Offsite storage Iron Mountain, Sacramento
Frequency of offsite storage Weekly
Location of installation disks &documentation
Higgins 372
Successful recovery of this serverbeen done?
Partial
Comment Backup is to Campus Data Center via UC Backup
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Page 19 See list of Action Items in Section VI.
UC Berkeley Continuity Plan for Department of Deep Sea Studies (Fictitious Dept.)
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Server #2
Name of server (or group of servers) Neptune
Server Type Web server
Explanation Runs faculty and dept websites plus various applications used in courses.
Backup frequency Daily
Backup media Local backup server
Backup auto or manual? Automatic
Applications that will be impacted byfailure of this server
Failure will have significant impact on undergraduate coursework.
Departments that will be impacted byfailure of this server
our own dept
Server software Windows Server 2003
Technical expert(s) James Nguyen
Responsible for recovery James Nguyen
Onsite storage Campus Data Center
Offsite storage Iron Mountain, Sacramento
Frequency of offsite storage Weekly
Location of installation disks &documentation
Higgins 372
Successful recovery of this serverbeen done?
Yes
Comment Backup to Campus Data Center
Page 20 See list of Action Items in Section VI.
UC Berkeley Continuity Plan for Department of Deep Sea Studies (Fictitious Dept.)
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Server #3
Name of server (or group of servers) Poseiden
Server Type Application server
Explanation student web sites
Backup frequency Daily
Backup media Local tape
Backup auto or manual? Automatic
Applications that will be impacted byfailure of this server
student websites
Departments that will be impacted byfailure of this server
our own deptartment
Server software Windows Server 2003 SQL Server 2003
Technical expert(s) Carol Brown
Responsible for recovery Carol Brown
Onsite storage Higgins 258
Offsite storage None
Frequency of offsite storage No offsite storage
Location of installation disks &documentation
Higgins 372
Successful recovery of this serverbeen done?
No
Comment Backup is to local tape. Considered to be non-critical server.
Page 21 See list of Action Items in Section VI.
UC Berkeley Continuity Plan for Department of Deep Sea Studies (Fictitious Dept.)
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Server #4
Name of server (or group ofservers)
Charybdis
Server Type Application server
Explanation Runs critical seafloor mapping application used by government partners.
Backup frequency Daily
Backup media Local tape
Backup auto or manual? Automatic
Applications that will be impactedby failure of this server
SeaMapper
Departments that will be impactedby failure of this server
our own department US Coast Guard US Navy NOAA several other universities
Server software Apache/Unix
Technical expert(s) James Nguyen
Responsible for recovery James Nguyen
Onsite storage Onsite backup server in Higgins 377
Offsite storage Iron Mountain, Sacramento
Frequency of offsite storage Weekly
Location of installation disks &documentation
Higgins 372
Successful recovery of this serverbeen done?
Yes
Comment Dual backup - onsite backup server in Higgins 377 plus co-located server in CampusData Center.
Page 22 See list of Action Items in Section VI.
UC Berkeley Continuity Plan for Department of Deep Sea Studies (Fictitious Dept.)
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III. INFORMATION TECHNOLOGY (cont.)
Part 4: Workstations
A. Workstation Backup
Backup Method Percent of Workstations Usingthis Backup Method Comment
Files are stored on dept. server,which gets backed up. 95%
Automated backup by central IT(via network) 95% Departmental backup server is itself backed up
nightly to Campus Data CenterLocal backup of workstation byuser (automatic) 0%
Local backup of workstation byuser (manual) 5% Two professors handle their own backup.
Don't Know 5% One professor on sabbatical - will check on herreturn.
B. Workstation Support
Workstation Support is provided by... CommentTechnicians employed by dept Dept of Deep Sea Studies, IT Support GroupExternal vendor DataReal Corp is used occasionally when dept IT staff are overloaded.
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Page 23 See list of Action Items in Section VI.
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III. INFORMATION TECHNOLOGY (cont.)
Part 5: Recovery Strategies for ITWhere to purchasehardware
If campus Procurement Dept is functioning, purchase through them to get campus special pricing.If not, buy direct from manufacturer via web or phone. (Dell, HP, & Apple are the 3 principalvendors for desktop equipment. Ask for higher education pricing.)
If workstations, servers,etc. need to be rebuilt atnew location, where cantechnicians locate thesoftware &documentation?
Higgins 372
Environmentalrequirements forhardware
air conditioning for server room
Will your IT staff besufficient to the task?
Our IT Support Group has 5 programmer/analysts plus manager. If entire Deep Sea Studies Depthad to relocate to new quarters, could take 1-2 weeks to rebuild all desktops & servers (after newhardware arrives). Worse if any IT team member is not here. Possible solutions: outsidevendor/temporary hire/borrow staff from other dept or other sister campus.
Other obstacles -- Inability to purchase new hardware quickly. -- Inability to obtain additional IT support -- NeedCentral IT to re-establish central campus networks & applications.
How your IT staff willassist faculty & staff towork from home
This depends on what level of support the Dept wants us to offer. To offer full support to allfaculty/staff would require travelling to some of their homes to troubleshoot problems (in violationof contagion-avoidance policy!). Phone support is more do-able. Best strategy would be to set upkey users NOW and encourage some telecommuting to keep the work-from-home arrangementsworking. That way we enter the crisis with a working system.
IT applications for whichthere is no workaround
Lack of the SeaMapper application would bring certain research projects to a halt.
Part 6: Action Items for ITSee Action Item List (Section VI)
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Page 24 See list of Action Items in Section VI.
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IV. FACULTY PREPAREDNESS
Listed here are actions that can be done to promote disaster-consciousness and disaster-readiness among our unit's faculty.
These will appear also in the Action Item List in section VI.
Action Item Comment
Request faculty committee to develop strategy for securestorage of non-electronic research materials.
This has been assigned to the Research FacilitiesCommittee who have been asked to report back by end ofthe Fall Semester.
Collaborate with other campus units to develop & keep acurrent listing of refrigerators & freezers for alternate storageof research perishables.
This is being coordinated by the Dean's Office.
Systematize the documentation of lab contents for purposesof replacement & reimbursement.
Coordinate with the campus Emergency ManagementOffice. This needs a campus-wide solution.
Increase the number of Department courses that are"course-casted" & archived. The use of archived courses(audio, video, plus allied course materials) could enableinstruction to continue during a period of crisis.
Currently only Marine Biology 101 and PhysicalOceanography 312 are course-casted.
Plan for a workaround in the event that that the studentcomputer lab (Higgins 419) is not in service.
This lab offers a number of very important course-relatedapplications that are not available on the web. Lack of thislab would be a serious impediment to both undergrad &graduate coursework & research.
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Page 25 See list of Action Items in Section VI.
UC Berkeley Continuity Plan for Department of Deep Sea Studies (Fictitious Dept.)
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V. KEY RESOURCES
Part 1: Staff BasicsDoes your unit have a (printed)emergency contact list for faculty& staff?
Yes
Who holds copies of theemergency contact list? (bespecific)
all central office staff
Who updates the emergencycontact list?
Alicia Torres
Who knows how to checkmessages on your department'smain phone line?
Jared Chan
Who knows how to record agreeting on your department'smain phone line?
Jared Chan
Who can post messages on yourdepartment's web site (i.e., do theactual mechanics)?
Jane Gallegos
Do your staff use any sharedpasswords that should be keptavailable?
No
Comment
Key People in Your Unit:Name Harry ChanTitle or function Payroll AssistantSpecial skill Knows most business functionsSpecial roleComment
Name Jerry SanchezTitle or function IT ManagerSpecial skill Main contact with Central Computing.Special roleComment
Name Jorge EscobarTitle or function Admin SpecialistSpecial skill Payroll backup; web skillsSpecial roleComment
Name Josephine CastenedaTitle or function ChairSpecial skill former provostSpecial role Holds formal delegation(s) of authority Comment Prof. Castaneda holds the typical delegations of authority that are given to Chairs.
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Page 26 See list of Action Items in Section VI.
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Name Mary JonesTitle or function Chief of StaffSpecial skillSpecial role Second Leadership Sucessor, Comment
Name Susan ChangTitle or function ProfessorSpecial skill senior faculty memberSpecial role First Leadership Sucessor, Comment Prof. Chang is a former Chair and could step in if the Chair is absent.
Page 27 See list of Action Items in Section VI.
UC Berkeley Continuity Plan for Department of Deep Sea Studies (Fictitious Dept.)
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V. KEY RESOURCES (cont.)
Part 2: Work from HomeThe capabilities of some faculty & staff to connect from home are listed below.
Name Gwen SmithPosition Faculty Home broadband connection Yes Currently does connect from home Yes Must office computer be running? No Comment
Name Kerry RodriguezPosition Staff Home broadband connection No Currently does connect from home Yes Must office computer be running? No Comment uses dial-up -- very slow connection, does email only
Name Mary JonesPosition Staff Home broadband connection Yes Currently does connect from home Yes Must office computer be running? No Comment Chief of Staff - uses VPN connection from home
Name Stephen RodriquezPosition Staff Home broadband connection Yes Currently does connect from home Yes Must office computer be running? Yes Comment uses Windows Remote Desktop to connect from home
Name Thomas CummingsPosition Faculty Home broadband connection Yes Currently does connect from home Yes Must office computer be running? Don't know Comment
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V. KEY RESOURCES (cont.)
Part 3: TeamsThese are important teams on which departmental faculty and/or staff participate. Only the team members from OURdepartment are shown.
Team Name Vessel Management CommitteePurpose Oversees scheduling, maintenance, permits, and other issues related to the M.V.
California.Members James Davidson
Joyce AlvaradoWinifred ChangKevin Hannity
Comment Meets once per month, more often when necessary. Carolyn Jones acts ascommittee staff.
Team Name Student Scheduling CommitteePurpose Schedules all field work for undergraduates. Has responsibility for coordinating
student educational needs with departmental research needs.Members Roberta Delacorte
Theresa JacintoPete Goldstein
Comment This committee is vital to both instruction and research. It makes all student-crewassignments for cruises of the MV California, and ensures that research projectsobtain student help when needed. Hank Fogleston is staff to this Committee.
Team NamePurposeMembersComment
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V. KEY RESOURCES (cont.)
Part 4: SkillsSkills that may be needed post-disaster to perform our unit´s critical functions:
Skill Description Comment
Oceanographicresearch technician
No certification in this field, but mustbe experienced in handling of marinebiological specimens as well aselectronic gear.
Certain ongoing research projects demand regular attentionby a trained technician. Inability to provide that attentioncould devastate some projects. Some of this work requiressmall-boat-handling skills.
Ship's Officer Maritime License Class 4 or 5 Must have a legally-certified officer assigned to the MVCalifornia at all times.
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V. KEY RESOURCES (cont.)
Part 5: Staffing RequirementsThis list displays both
numbers of staff who may be REQUIRED during crisis, and numbers of staff who may be AVAILABLE FOR RE-ASSIGNMENT during crisis
Definitions:Critical 1: Must continue at normal or increased service load.Critical 2: Must continue if at all possible, perhaps in a reduced mode.Critical 3: May pause if forced to do so, but must resume in 30 days or sooner.Deferrable: May pause; resume when conditions permit.
PLEASE NOTE: THIS PAGE IS OPTIONAL AND IS CURRENTLY NOT BEINGUSED.
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V. KEY RESOURCES (cont.)
Part 6: Staff of Other UnitsThese are staff of other units whom you may need to contact:
Name Steve Brown Department/Org Central ComputingAddress 318 Banway Bldg.Work phone 510.123.4567Cell phone 510.987.6543Fax 510.660.4556Email [email protected] expert on student database
Name Sara Cheung Department/Org College Natural ResourcesAddress 206 Cameron HallWork phone 510.345.6789Cell phone 510.123.4567Fax 510.777.7777Email [email protected] HR Manager for the College
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V. KEY RESOURCES (cont.)
Part 7: StakeholdersThese are stakeholders whom you may need to contact:
Type of StakeholderName Chu, Teresa DonorDepartment/Org Acme Holdings, Inc.Address 45 Holden Way Redlands, CA 34278Work phone 475.454.8888Cell phone 475.123.4567Fax 475.123.4567Email [email protected]/ServicesAlternate VendorsComment Ms. Chu is a significant long-term benefactor of the Dept.
Type of StakeholderName Baradel, Joan Project partnerDepartment/Org California State UniversityAddress 123 Smith Road San Francisco, CA 12345Work phone 415.666.7777Cell phoneFaxEmail [email protected]/Services Partner in several ongoing research projectsAlternate VendorsComment
Type of StakeholderName Nguyen, Henry DonorDepartment/Org Nguyen Securities, Inc.Address 34 Wall Street NY, NY 10047Work phone 212.123.4587Cell phone 212.563.9876Fax 212.563.9876Email [email protected]/ServicesAlternate VendorsComment graduate and benefactor of Dept of Deep Sea Studies
Type of StakeholderName Sanford, Raymond SponsorDepartment/Org The Undersea FoundationAddress 123 Mission Blvd San Francisco, CA 12345Work phone 415.444.5555Cell phoneFaxEmail [email protected]
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Products/Services grantor for several projectsAlternate VendorsComment
Type of StakeholderName Rodriquez, Tomas VendorDepartment/Org WaterSoft, Inc.Address 42 Yardley Terrace Atlanta, GAWork phone 431.567.1234Cell phone 431.849.9876Fax 431.849.9876Email [email protected]/Services Vendor of specialized oceanographic software. Also has office in Toronto, Canada.Alternate Vendors None. No easy substitute. Unique product. Industry leader.Comment
Type of StakeholderName Shabazz, Stephanie VendorDepartment/Org XeroxAddress 672 Broadway Oakland, CAWork phone 510.123.4567Cell phoneFaxEmail [email protected]/Services Maintenance and repairs of Xerox copiersAlternate Vendors Yes - GTP Office Services, Albany, CAComment Campus agreement guarantees 24-hour repair or 72-hour replacement of equipment.
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V. KEY RESOURCES (cont.)
Part 8: Equipment & SuppliesMinimum equipment needed to carry out all critical functions:
A. Office Equipment
Minimum Number Comment
Workstation (includes desktopcomputer, network connection, table,chair)
27 One for each FTE including faculty.
Laptop computer (car chargeradvised)
16 For key staff only. Faculty have their own.
Telephone (hard-wired) 27
Printer 4 3 for Higgins Hall, plus 1 for Rogers Hall.
Fax 1
Copier 1
Scanner 0
Server 6 See Tom Callaway for details on server needs.
B. Other Equipment
(major items only) There is much equipment associated with the vessel MV California. The ship's captain is thecustodian of this list.
C. Supplies
Necessary Consumables Mainly office supplies. We keep a 2-week inventory but plan to increase that to 6-weeks.
Inventory or StockpilingConsiderations
Yes, see above.
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V. KEY RESOURCES (cont.)
Part 9: Facilities & TransportationFacilities (special needsbeyond office-classroom labneeds)
Loading dock for bulky/heavy equipment related to our ocean research expeditions.
Utilities (very important tothe functioning of thedepartment)
Utility Name Comment
Electricity Dockside side electricity has frequent outages -- need to monitorthis because of 2 potential adverse impacts -- (1) onboard experiments (2) lack of shoreside power could delay preparations for expeditions.
Air conditioning For Higgins Hall server room.
Vacuum For student labs.
Transportation (specialtransportation needs)
Departmental pickup truck is needed to prepare the research ship, MV California, for expeditions.
Other Resources None.
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VI. ACTION ITEM LIST
Action Item #1 Collaborate with other campus units to develop & keep a current listing ofrefrigerators & freezers for alternate storage of research perishables.
Supports this critical function Faculty Preparedness Estimated costCost one-time or annual?Within whose scopeComment This is being coordinated by the Dean's Office.Status
Action Item #2 Increase the number of Department courses that are "course-casted" &archived. The use of archived courses (audio, video, plus allied coursematerials) could enable instruction to continue during a period of crisis.
Supports this critical function Faculty Preparedness Estimated costCost one-time or annual?Within whose scopeComment Currently only Marine Biology 101 and Physical Oceanography 312 are
course-casted.Status
Action Item #3 Plan for a workaround in the event that that the student computer lab (Higgins419) is not in service.
Supports this critical function Faculty Preparedness Estimated costCost one-time or annual?Within whose scopeComment This lab offers a number of very important course-related applications that are not
available on the web. Lack of this lab would be a serious impediment to bothundergrad & graduate coursework & research.
Status
Action Item #4 Request faculty committee to develop strategy for secure storage ofnon-electronic research materials.
Supports this critical function Faculty Preparedness Estimated cost Don't know Cost one-time or annual? Both one-time and annual Within whose scope my unit itselfComment This has been assigned to the Research Facilities Committee who have been asked
to report back by end of the Fall Semester.Status In progress
Action Item #5 Systematize the documentation of lab contents for purposes of replacement &reimbursement.
Supports this critical function Faculty Preparedness Estimated costCost one-time or annual?Within whose scopeComment Coordinate with the campus Emergency Management Office. This needs a
campus-wide solution.
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Status
Action Item #6 Do periodic trial recoveries of servers/applications.Supports this critical function Information Technology Estimated cost $1,000 - $10,000 Cost one-time or annual? Annual Within whose scope my unit together with other units on campusCommentStatus In progress
Action Item #7 Have department IT Manager discuss work-from-home issues at facultymeeting.
Supports this critical function Information Technology Estimated cost less than $100 Cost one-time or annual? One-time Within whose scope my unit itselfCommentStatus Completed
Action Item #8 Make mutual arrangements with sister UC campuses to borrow technical staffif needed during recovery.
Supports this critical function Information Technology Estimated cost Don't know Cost one-time or annual?Within whose scope the UC SystemCommentStatus Needs further discussion
Action Item #9 Develop plan for alternate space in case some classrooms are not usable.Supports this critical function Instruction (undergraduate & graduate) Estimated cost Don't know Cost one-time or annual? Both one-time and annual Within whose scope the campusComment This is a campus-wide issue that needs high-level engagement.Status Not yet begun
Action Item #10 Prioritize Course ListSupports this critical function Instruction (undergraduate & graduate) Estimated cost less than $100 Cost one-time or annual? Annual Within whose scope my unit itselfCommentStatus Needs further discussion
Action Item #11 Request facility committee to develop strategy for alternative channels ofdelivery of courses (in case there is a temporary shortage of clasroomspost-disaster).
Supports this critical function Instruction (undergraduate & graduate) Estimated cost $100 - $1,000 Cost one-time or annual? One-time Within whose scope my unit together with other units on campus
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CommentStatus Not yet begun
Action Item #12 Cross-train 2 staff members to process dept. payroll (to serve as backup forHarry Chan).
Supports this critical function Payroll Estimated cost less than $100 Cost one-time or annual? Annual Within whose scope my unit itselfCommentStatus Completed
Action Item #13 Investigate whether BluCard limits & restrictions can be lifted for recoveryperiod.
Supports this critical function Purchasing Estimated cost less than $100 Cost one-time or annual? One-time Within whose scope my unit together with other units on campusCommentStatus Completed
Action Item #14 Obtain 2 additional BluCards.Supports this critical function Purchasing Estimated cost less than $100 Cost one-time or annual? One-time Within whose scope my unit itselfCommentStatus Completed
Action Item #15 Design departmental networks to allow faculty & students to connect remotely(e.g. from home) in case office/lab space is damaged.
Supports this critical function Research Estimated cost Don't know Cost one-time or annual? One-time Within whose scope my unit together with other units on campusCommentStatus Needs further discussion
Action Item #16 Develop a fund for emergency grants to faculty & graduate students to coverexpenses of conducting research in alternate ways or at alternate locations.
Supports this critical function Research Estimated cost Don't know Cost one-time or annual? Both one-time and annual Within whose scope my unit together with other units on campusCommentStatus Not yet begun
Action Item #17 Encourage faculty to request seismic bolting-and-bracing of furniture andequipment. Allocate departmental funds (first-come/first-served up to fundinglimit).
Supports this critical function Research Estimated cost $10,000 - $100,000
Page 39 See list of Action Items in Section VI.
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Cost one-time or annual? One-time Within whose scope my unit together with other units on campusCommentStatus In progress
Page 40 See list of Action Items in Section VI.
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Appendix A.
List of Key Documents
These documents have been identified as important for continuing our critical functions.
Documents that have been uploaded into the UC Ready system (as indicated below) can be viewed on-screen, then printed.
Name Departmental BluCard LogDescriptionMedium PaperLocation Higgins 455Owner (department) My own dept. or school owns these records.Contact person(s)Backup measures NoneCommentUploaded into UC Ready system? No
Name Donor recordsDescription Contact information and giving patterns.Medium Electronic (computer)Location Stored on G drive, in Donor Relations folder.Owner (department) Our own.Contact person(s) ChairBackup measures Chair has a current list.CommentUploaded into UC Ready system? No
Name Employee contact listDescription Confidential list of employee contact info.Medium PaperLocation All faculty & staff are issued paper copies and encouraged to keep both at work & at
home.Owner (department) Our dept.Contact person(s) ChairBackup measuresCommentUploaded into UC Ready system? No
Name Grant documents/project recordsDescription This is the official repository of dept. project-related recordsMedium More than one (explain in comment)Location Higgins Hall rooms 308-310-312Owner (department) Dept of Deep Sea StudiesContact person(s) Tom CallawayBackup measures Some of the paper records are in fire-rated cabinets (but many important records are
not).Comment Paper and electronic files. Electronic records are backed up and recoverable. Paper
documents (i.e. vendor invoices) are not.Uploaded into UC Ready system? No
To edit this plan section, use theStep 5 tab (Document Summary)of the UC Ready web tool.
Page 41 See list of Action Items in Section VI.
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Name Student course rostersDescriptionMedium Electronic (computer)Location 453 Higgins HallOwner (department) My own dept. or school owns these records.Contact person(s) Maria DeLucciBackup measures Daily backup on server.Comment Rosters are distributed to instructors in hard-copy, updated by instructors, then used
by dept. office staff to update the database. These are the only documents thatrecord fulfillment of specific course requirements, leading to the award of credit forthat course.
Uploaded into UC Ready system? No
Name Student foldersDescription One folder per student - contains academic record for that student plus other relevant
documents.Medium PaperLocation 234 Higgins HallOwner (department) My own dept. or school owns these records.Contact person(s) John BauerBackup measures NoneComment Almost all information in these folders is available elsewhere but inconvenience of
reconstructing would be considerable.Uploaded into UC Ready system? No
Page 42 See list of Action Items in Section VI.
UC Berkeley Continuity Plan for Department of Deep Sea Studies (Fictitious Dept.)