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Business Continuity Disaster Recovery COOP Crisis Management John Glenn CRP MBCI
July 26, 2007
A few risks to consider | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| Risk Category/Sub-Category | Impact/Consequence | Avoidance & Mitigation Recommendations |
|---|---|---|
| Accident | ||
| Aircraft (at facility) | Structural damage, lost records, damaged/ruined equipment, relocation, restoration | Insurance, store (copies of) critical records off site, insurance, alternate production site |
| Aircraft (nearby) | Road closure | Map alternate routes |
| Boat | Road, waterway, port closure | Map alternate routes, authorize off-loading at alternate port and truck, rail to site. |
| During company travel | Legal action, succession issues | Create, maintain succession plan (Alternate Responsible Person plan) |
| Hazmat | Road closure, in-place sheltering/loss of production, damage to relocation, restoration | Map alternate routes, inventory, secure alternate site/virtual office |
| On-job | Injury to personnel, process interruption | Insurance (Workman's Comp), overtime as required |
| Rail | Road closure | Map alternate routes |
| Vehicle | Road closure | Map alternate routes |
| Communication | ||
| Interrupted courier service | Cannot send courier packages/letters | Use alternate courier services, mail, hand carry or use taxi/delivery service for local deliveries |
| Interrupted mail service | Cannot send statements, receive mailed information | Fax, courier |
| Interrupted phone service | No communication with vendors, clients, field personnel | Alternate service, mobile phones |
| Loss of facility | Cannot receive critical information, payments at normal location | Reroute mail, courier(s) to designated receiver's alternate location |
| Environment | ||
| Cold | Evacuation, relocation, damage to equipment, livestock, plants | Property, business interruption insurance, alternate site |
| Dust storm | Road closure, damage to equipment (if grit enters equipment area), restoration | Map alternate routes, alternate site/virtual office, maintenance/replacement contracts |
| Earthquake | Personnel death/injury, structural damage, lost records, damaged/ruined equipment, relocation, restoration | Quake proof structure, insurance, off-site record storage, alternate production site |
| Flood | See Water | |
| Heat, lack of in facility | Evacuation, relocation, damage to equipment, livestock, plants | Property, business interruption insurance, alternate site |
| Hurricane | Structural damage, lost records, damaged/ruined equipment, relocation, restoration | Insurance, store (copies of) critical records off site, insurance, alternate production site, protect glass |
| Ice | Road closures, structural damage | Map alternate routes, inventory, alternate site/virtual office |
| Rain | See Water | |
| Sand, dust storm | Road closures, damaged/ruined equipment, restoration (post-storm clean up) | Map alternate routes, alternate site/virtual office, maintenance/replacement contracts |
| Snow | Road closures, possible structural damage, can't move raw materials in/finished goods out | Map alternate routes, inventory, multiple dispersed warehouses |
| Tornado | Personnel death/injury, structural damage, lost records, damaged/ruined equipment, relocation, restoration | Insurance, store (copies of) critical records off site, insurance, alternate production site, protect glass |
| Wind | Personnel death/injury, structural damage, lost records, damaged/ruined equipment, relocation, restoration | Insurance, store (copies of) critical records off site, insurance, alternate production site, protect glass |
| Facility | ||
| Empty building | See Personnel, epidemic, pandemic | |
| Lack of environmental controls (AC, heat) | Loss of production | Overtime; Policy and Procedure covering expectations |
| Loss of environmental controls | See Weather | |
| Loss of structure | Possible death/injury, lost production, relocation, (re)construction including permitting | Insurance; alternate production site if any; maintain (copy of) critical records off site |
| Vandalism | Damaged equipment, lost records, lost production, relocation, restoration | Insurance; alternate production site if any; maintain (copy of) critical records off site |
| Financial | ||
| Backer failure | Inability to complete programs, debt called | Identify alternate financial resources |
| Customer failure | Lost revenue | Expand customer base, check customer's B&D, maintain market watch on main clients |
| Loss of financial rating | Lower stock prices, higher bond and borrowing interest | Improve image, correct cause of problem(s) |
| Fire | ||
| Accidental (wiring, waste basket, etc.) | Death or injury, loss of loss of production | Awareness & Safety training, evacuation exercises |
| Fire | Injury or death to personnel, structural damage, damaged equipment, lost records, relocation, restoration | Insurance; alternate production site if any; maintain (copy of) critical records off site |
| In/around facility | Road closures, personnel absence, health concerns | Map alternate routes, alternate site/virtual office |
| Smoke (in structure) | Building evacuation, temporary relocation, restoration | Virtual office, production overtime; move production to alternate site if any |
| Water damage | See Water | |
| Info Tech | ||
| Desktop equipment loss | Cannot perform job, cannot communicate via email, IM | Use paper work-around, communicate via phone, in person; repair/replace failed equipment |
| Internet | Lost orders, inability to access business sites, no email | Alternate communications tools |
| Loss of infrastructure | Cannot perform job, cannot communicate via email, IM | Use paper work-around if possible, communicate via phone, in person; use local applications |
| Server loss | Cannot perform job, cannot communicate via email, IM | Use paper work-around, communicate via phone, in person; repair/replace failed equipment |
| Neighbor | ||
| Attack by bomb (any type) | Road closure, in-place sheltering/loss of production, damage to relocation, restoration | Map alternate routes, inventory, alternate site/virtual office |
| Attack by gunmen | Road closure, in-place sheltering/loss of production | Map alternate routes, inventory |
| Protest (non-worker related - e.g. animal rights) | Road closure, in-place sheltering/loss of production | Map alternate routes, inventory |
| Work action | Road closure | Map alternate routes, inventory |
| Civil unrest | Road closure, in-place sheltering/loss of production, damage to relocation, restoration | Map alternate routes, inventory, alternate site/virtual office |
| Explosion | Road closure, lost revenue | Map alternate routes, inventory |
| Fire | Road closure, lost revenue | Map alternate routes, inventory |
| Work actions | Road closure, lost revenue | Map alternate routes, inventory |
| Personnel | ||
| Epidemic, pandemic | Personnel stay home to tend to themselves, family; lost production | Virtual office, alternate production site; contact clients, vendors to advise of situation |
| Jury duty (extended duration) | Production impact, supplemental staffing/training, financial hit if supplemental pay is promised | Cross training, overtime, supplemental staffing if skilled help available, retirees |
| Lost I-9 forms | Up to $1,000/form penalty | Store (copies of) critical records off site |
| Lost personnel records | Possible penalties from state, federal agencies | Maintain off-site (copy of) critical records (hard copy and digital) |
| Medical emergency | Death | Advanced first aid training, automatic defibulators with training |
| Military call-up | Production impact, supplemental staffing/training, financial hit if supplemental pay is promised | Cross training, overtime, supplemental staffing if skilled help available, retirees |
| Payroll vendor failure | Personnel not paid on time, people quit | Pay based on last completed pay period, adjust later; arrange with bank to issue checks |
| Succession plan | Lost business, loss of stock value, bond rating, reduced financial backing | Create, maintain succession plan (""Alternate Responsible Person"" plan) |
| Work actions | Lost revenue | Train managers to perform tasks necessary to meet SLAs |
| Policies & Procedures | ||
| Lack of established practices | Legal actions, confusion, over/under funding, abuse of benefits | Create, publish, maintain policies & procedures; issue to all personnel |
| Regulatory | ||
| Failure to comply with regulatory requirements | Penalties, product seizure | Establish compliance team, bring into compliance or discontinue product, service |
| Security | ||
| Data theft | Loss of data, competitor gains information, personal data exposed, regulatory penalties | Vigilance, testing, training |
| Personnel safety | Death or injury to personnel, theft, damage to personal property (cars etc.) | Cameras to staffed monitors, guards/buddy system to parking lot |
| Terrorism | ||
| Bomb (at facility) | Evacuation, process interruption, possible death, injuries | Business interruption insurance |
| Bomb (nearby) | Road closure, in-place sheltering/loss of production, damage to relocation, restoration | Map alternate routes, inventory, alternate site/virtual office |
| Bomb threat | Evacuation, process interruption | Business interruption insurance |
| Mail bomb or dangerous substance | Evacuation, process interruption | Business interruption insurance |
| Transportation | ||
| Commercial transportation failure | Can't receive raw materials, ship finished goods | Review legal options re secondary strike; alternate vendor(s) |
| Public transportation disrupted | Personnel unable to come to work | Hire bus/limo services to transport critical personnel to/from work site via set route |
| Work action | Can't receive raw materials, ship finished goods | Review legal options re secondary strike; alternate vendor(s) |
| Utilities (Electric) | ||
| ATM, stock/bond transaction process failure | Lost revenue, interrupted process with inaccurate transaction record | Hardware/software system to detect/record point of interruption; assume financial loss |
| Loss of IT infrastructure (servers, routers, etc.) | Work ceases, communication may cease | UPS, generator for all critical services |
| No lights | Work ceases | UPS, generator for all critical services |
| No power to desktops, special equipment (phones, copiers, etc) | Work ceases, communication may cease, possible evacuation | UPS, generator for all critical services |
| Process interruption (also see ATM) | Process must be restarted (e.g. aging tests), lost revenue | UPS and generator; test generator regularly, test fuel supply (for quantity, H2O) weekly |
| Utilities (Gas, Oil, etc.)" | ||
| Can't provide hot water to personnel, production line | Production line shut down, lost revenue | Alternate water heating source (alternate power supply, steam generator) |
| Can't provide power to production equipment | Production line shut down, lost revenue | Alternate power provider, external generator |
| Can't run emergency generator | If other power fails, no backup | Business interruption insurance, alternate site, production overtime |
| No heat in facility | See Environment: Cold | |
| Utilities (Telephone) | ||
| Loss of cellular towers, Blackberry connectivity | Loss of mobile communications | Two-way radio for critical staff, landlines if available |
| Loss of landline telephone trunks | Forced to use (personal) cell/Blackberry gear; possible overload of cell infrastructure preventing calls in/out | Assure all critical personnel have cellular equipment with AC and DC chargers |
| Loss of landline telephones | Call center shut down; loss of revenue | Reroute calls to alternate numbers (other call center or virtual office if possible) |
| Vendor | ||
| Vendor failure | Lack of raw materials or services, lost production, failure to meet SLAs, lost customers | Require vendor to have BC plan; alternate vendors |
| Water | ||
| Broken water main | Flooding, evacuation, damage to equipment, relocation, restoration | Property, business interruption insurance, alternate site |
| Fire Department hosing down site | Structural damage, lost records, damaged/ruined equipment, relocation, restoration | Insurance, store (copies of) critical records off site, insurance, alternate production site |
| Fire suppression systems | Damaged/ruined equipment, lost records, relocation, restoration | Insurance; alternate production site if any; maintain (copy of) critical records off site |
| Flood (streams, rivers, lakes, oceans) | Road closures, structural damage, lost records, damaged/ruined equipment, relocation, restoration | Alternate site/virtual office, maintenance/replacement contracts |
| Inability to control flow rate | Production line shut down, lost revenue | Alternate path with independent controls; independent H2O supply, pumps |
| Lack of controlled temperature | Production line shut down, lost revenue | In-line heating, cooling units; repair parts available or replacement contract in place |
| Melting snow | Temporary relocation, restoration | Insurance, store (copies of) critical records off site, insurance, alternate production site |
| Rain | Structural damage, lost records, damaged/ruined equipment, relocation, restoration | Insurance, store (copies of) critical records off site, insurance, alternate production site |
| Sewage line backup | Damaged/ruined equipment, lost records, relocation, restoration | Insurance; alternate production site if any; maintain (copy of) critical records off site |
| Storm drain backup | Damaged/ruined equipment, lost records, relocation, restoration | Insurance; alternate production site if any; maintain (copy of) critical records off site |
| Tsunami | Road closures, structural damage, lost records, damaged/ruined equipment, relocation, restoration | Alternate site/virtual office, maintenance/replacement contracts |
| Water pipe break | Damaged/ruined equipment, lost records, relocation, restoration | Insurance; alternate production site if any; maintain (copy of) critical records off site |
For the record
The table started life as an Excel spreadsheet.
Extra columns were inserted between the columsn shown above. HTML markup was inserted into the extra columns. The file was saved as *.cvs.
The *.cvs file was opened in a text editor (Notepad) which has a REPLACE function. A number of global REPLACE actions and a few individual "tweaks" cleaned up the file for display. The file was renamed with an HTML extender.
Simple, easy, and a lot less overhead than Microsoft imposes when it converts a file to HTML.