Computer Science

ISOL 533 – Information Security and Risk Management DISASTER RECOVERY PLAN University of the Cumberlands

Information Technology Statement of Intent

This document delineates Health Network, Inc. (Health Network) policies and procedures for technology disaster recovery, as well as our process-level plans for recovering critical technology platforms and the telecommunications infrastructure. This document summarizes our recommended procedures. In the event of an actual emergency situation, modifications to this document may be made to ensure physical safety of our people, our systems, and our data.

Our mission is to ensure information system uptime, data integrity and availability, and

business continuity.

Policy Statement

Corporate management has approved the following policy statement:

 The company shall develop a comprehensive IT disaster recovery plan.

 A formal risk assessment shall be undertaken to determine the requirements for the disaster recovery plan.

 The disaster recovery plan should cover all essential and critical infrastructure elements, systems and networks, in accordance with key business activities.

 The disaster recovery plan should be periodically tested in a simulated environment to ensure that it can be implemented in emergency situations and that the management and staff understand how it is to be executed.

 All staff must be made aware of the disaster recovery plan and their own respective roles.

 The disaster recovery plan is to be kept up to date to take into account changing circumstances.

Objectives

The principal objective of the disaster recovery program is to develop, test and document a well- structured and easily understood plan which will help the company recover as quickly and effectively as possible from an unforeseen disaster or emergency which interrupts information systems and business operations. Additional objectives include the following: • The need to ensure that all employees fully understand their duties in implementing such a

plan • The need to ensure that operational policies are adhered to within all planned activities • The need to ensure that proposed contingency arrangements are cost-effective • The need to consider implications on other company sites • Disaster recovery capabilities as applicable to key customers, vendors and others

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Key Personnel Contact Info

Name, Title Contact Option Contact Number

Work

Alternate

Mobile

Home

Email Address

Alternate Email

Work

Alternate

Mobile

Home

Email Address

Alternate Email

Work

Alternate

Mobile

Home

Email Address

Alternate Email

Work

Alternate

Mobile

Home

Email Address

Alternate Email

Work

Alternate

Mobile

Home

Email Address

Alternate Email

Work

Alternate

Mobile

Home

Email Address

Alternate Email

3

Notification Calling Tree Person

Identifying

Incident

4

External Contacts

Name, Title Contact Option Contact Number

Landlord / Property Manager

Account Number None

Work

Mobile

Home

Email Address

Power Company

Account Number Work

Mobile

Home

Email Address

Telecom Carrier 1

Account Number Work

Mobile

Fax

Home

Email Address

Telecom Carrier 2

Account Number Work

Mobile

Home

Email Address

Hardware Supplier 1

Account Number Work

Mobile

Emergency Reporting

Email Address

Server Supplier 1

Account Number. Work

Mobile

Fax

Email Address

Workstation Supplier 1

Account Number Work

Mobile

Home

Email Address

Office Supplies 1

Account Number C3095783 Work

Mobile

Home

Email Address

Insurance – Name

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Name, Title Contact Option Contact Number

Account Number Work

Mobile

Home

Email Address

Site Security –

Account Number Work

Mobile

Home

Email Address

Off-Site Storage 1

Account Number Work

Mobile

Home

Email Address

Off-Site Storage 2

Account Number User ID

Password

Home

Email Address

HVAC –

Account Number Work

Mobile

Home

Email Address

Power Generator –

Account Number Work

Mobile

Home

Email Address

Other –

Account Number Work

Mobile

Home

Email Address

6

External Contacts Calling Tree

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1 Plan Overview

1.1 Plan Updating It is necessary for the DRP updating process to be properly structured and controlled. Whenever changes are made to the plan they are to be fully tested and appropriate amendments should be made to the training materials. This will involve the use of formalized change control procedures under the control of the IT Director.

1.2 Plan Documentation Storage Copies of this Plan, CD, and hard copies will be stored in secure locations to be defined by the company. Each member of senior management will be issued a CD and hard copy of this plan to be filed at home. Each member of the Disaster Recovery Team and the Business Recovery Team will be issued a CD and hard copy of this plan. A master protected copy will be stored on specific resources established for this purpose.

1.3 Backup Strategy Key business processes and the agreed backup strategy for each are listed below. The strategy chosen is for a fully mirrored recovery site at the company’s alternate sites. This strategy entails the maintenance of a fully mirrored duplicate site which will enable instantaneous switching between the live site (headquarters) and the backup site.

KEY BUSINESS PROCESS BACKUP STRATEGY

IT Operations Fully mirrored recovery site

Tech Support – Hardware Fully mirrored recovery site

Tech Support – Software Fully mirrored recovery site

Facilities Management Fully mirrored recovery site

Email Fully mirrored recovery site

Purchasing Fully mirrored recovery site

Disaster Recovery Fully mirrored recovery site

Finance Fully mirrored recovery site

Contracts Admin Fully mirrored recovery site

Warehouse & Inventory Fully mirrored recovery site

Product Sales Fully mirrored recovery site

Maintenance Sales Fully mirrored recovery site

Human Resources Off-site data storage facility

Testing Fully Mirrored Recovery site – Fully mirrored recovery site

Workshop Fully Mirrored Recovery site – Fully mirrored recovery site

Call Center Fully mirrored recovery site

Web Site Fully mirrored recovery site

1.4 Risk Management There are many potential disruptive threats which can occur at any time and affect the normal business process. We have considered a wide range of potential threats and the results of our deliberations are included in this section. Each potential environmental disaster or emergency situation has been examined. The focus here is on the level of business disruption which could arise from each type of disaster.

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Potential disasters have been assessed as follows:

Potential Disaster Probability Rating Impact Rating Brief Description Of Potential

Consequences & Remedial Actions

<Flood> <3> <4> <All critical equipment is located on 1st Floor>

Probability: 1=Very High, 5=Very Low Impact: 1=Total destruction, 5=Minor annoyance

2 Emergency Response

2.1 Alert, escalation and plan invocation

2.1.1 Plan Triggering Events

Key trigger issues at headquarters that would lead to activation of the DRP are: • Total loss of all communications • Total loss of power • Flooding of the premises • Loss of the building

2.1.2 Assembly Points

Where the premises need to be evacuated, the DRP invocation plan identifies two evacuation assembly points: • Primary – Far end of main parking lot; • Alternate – Parking lot of company across the street

2.1.3 Activation of Emergency Response Team

When an incident occurs the Emergency Response Team (ERT) must be activated. The ERT will then decide the extent to which the DRP must be invoked. All employees must be issued a Quick Reference card containing ERT contact details to be used in the event of a disaster. Responsibilities of the ERT are to: • Respond immediately to a potential disaster and call emergency services; • Assess the extent of the disaster and its impact on the business, data center, etc.; • Decide which elements of the DR Plan should be activated; • Establish and manage disaster recovery team to maintain vital services and return to normal

operation; • Ensure employees are notified and allocate responsibilities and activities as required.

2.2 Disaster Recovery Team The team will be contacted and assembled by the ERT. The team’s responsibilities include: • Establish facilities for an emergency level of service within 2.0 business hours; • Restore key services within 4.0 business hours of the incident; • Recover to business as usual within 8.0 to 24.0 hours after the incident;

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• Coordinate activities with disaster recovery team, first responders, etc. • Report to the emergency response team.

2.3 Emergency Alert, Escalation and DRP Activation This policy and procedure has been established to ensure that in the event of a disaster or crisis, personnel will have a clear understanding of who should be contacted. Procedures have been addressed to ensure that communications can be quickly established while activating disaster recovery. The DR plan will rely principally on key members of management and staff who will provide the technical and management skills necessary to achieve a smooth technology and business recovery. Suppliers of critical goods and services will continue to support recovery of business operations as the company returns to normal operating mode.

2.3.1 Emergency Alert The person discovering the incident calls a member of the Emergency Response Team in the order listed: Emergency Response Team • <_________> • <_________> • <_________> If not available try: • <_________> • <_________> The Emergency Response Team (ERT) is responsible for activating the DRP for disasters identified in this plan, as well as in the event of any other occurrence that affects the company’s capability to perform normally.

One of the tasks during the early stages of the emergency is to notify the Disaster Recovery Team (DRT) that an emergency has occurred. The notification will request DRT members to assemble at the site of the problem and will involve sufficient information to have this request effectively communicated. The Business Recovery Team (BRT) will consist of senior representatives from the main business departments. The BRT Leader will be a senior member of the company’s management team, and will be responsible for taking overall charge of the process and ensuring that the company returns to normal working operations as early as possible.

2.3.2 DR Procedures for Management

Members of the management team will keep a hard copy of the names and contact numbers of each employee in their departments. In addition, management team members will have a hard copy of the company’s disaster recovery and business continuity plans on file in their homes in the event that the headquarters building is inaccessible, unusable, or destroyed.

2.3.3 Contact with Employees

Managers will serve as the focal points for their departments, while designated employees will call other employees to discuss the crisis/disaster and the company’s immediate plans. Employees who cannot reach staff on their call list are advised to call the staff member’s emergency contact to relay information on the disaster.

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2.3.4 Backup Staff

If a manager or staff member designated to contact other staff members is unavailable or incapacitated, the designated backup staff member will perform notification duties.

2.3.5 Recorded Messages / Updates

For the latest information on the disaster and the organization’s response, staff members can call a toll-free hotline listed in the DRP wallet card. Included in messages will be data on the nature of the disaster, assembly sites, and updates on work resumption.

2.3.7 Alternate Recovery Facilities / Hot Site

If necessary, the hot site at SunGard will be activated and notification will be given via recorded messages or through communications with managers. Hot site staffing will consist of members of the disaster recovery team only for the first 24 hours, with other staff members joining at the hot site as necessary.

2.3.8 Personnel and Family Notification

If the incident has resulted in a situation which would cause concern to an employee’s immediate family such as hospitalization of injured persons, it will be necessary to notify their immediate family members quickly.

3 Media

3.1 Media Contact Assigned staff will coordinate with the media, working according to guidelines that have been previously approved and issued for dealing with post-disaster communications.

3.2 Media Strategies 1. Avoiding adverse publicity 2. Take advantage of opportunities for useful publicity 3. Have answers to the following basic questions:

 What happened?

 How did it happen?

 What are you going to do about it?

3.3 Media Team • <____________________________________________> • <____________________________________________>

• <____________________________________________>

3.4 Rules for Dealing with Media Only the media team is permitted direct contact with the media; anyone else contacted should refer callers or in-person media representatives to the media team.

4 Insurance As part of the company’s disaster recovery and business continuity strategies a number of insurance policies have been put in place. These include errors and omissions, directors & officers liability, general liability, and business interruption insurance.

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If insurance-related assistance is required following an emergency out of normal business hours, please contact: <___________________________________________>

Policy Name Coverage

Type Coverage

Period Amount Of Coverage

Person Responsible For Coverage

Next Renewal Date

5 Financial and Legal Issues

5.1 Financial Assessment The emergency response team shall prepare an initial assessment of the impact of the incident on the financial affairs of the company. The assessment should include:

 Loss of financial documents

 Loss of revenue

 Theft of check books, credit cards, etc.

 Loss of cash

5.2 Financial Requirements The immediate financial needs of the company must be addressed. These can include:

 Cash flow position

 Temporary borrowing capability

 Upcoming payments for taxes, payroll taxes, Social Security, etc.

 Availability of company credit cards to pay for supplies and services required post-disaster

5.3 Legal Actions The company legal department and ERT will jointly review the aftermath of the incident and decide whether there may be legal actions resulting from the event; in particular, the possibility of claims by or against the company for regulatory violations, etc.

6 DRP Exercising

Disaster recovery plan exercises are an essential part of the plan development process. In a DRP exercise no one passes or fails; everyone who participates learns from exercises – what needs to be improved, and how the improvements can be implemented. Plan exercising ensures that emergency teams are familiar with their assignments and, more importantly, are confident in their capabilities. Successful DR plans launch into action smoothly and effectively when they are needed. This will only happen if everyone with a role to play in the plan has rehearsed the role one or more times. The plan should also be validated by simulating the circumstances within which it has to work and seeing what happens.

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