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Lets Get Real: Disaster Recovery and Business Continuity in Public Safety

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Is Yours Just a Paper Plan or a Real Way to Prepare and Respond ... Self-organizing communities (e.g. Craig's List) Non-Governmental Organizations. Charities ... – PowerPoint PPT presentation

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Title: Lets Get Real: Disaster Recovery and Business Continuity in Public Safety


1
Lets Get Real Disaster Recovery and Business
Continuity in Public Safety
  • Is Yours Just a Paper Plan or a Real Way to
    Prepare and Respond to Incidents and Disasters?

2
Presentation Overview
  • Key DR/BC Concepts and Issues
  • Report card and dashboard
  • Scenarios
  • Requirements What has to operational by when
    for work to be done by how many at what locations
    serving what customers who are where?
  • Facilities
  • People
  • Systems
  • Integration
  • Coordination
  • Daily readiness and simulated escalations
  • Testing and independent verification and
    validation
  • Implementation and triage
  • Recovery, discovery, and improvements
  • Player Scorecard Who Is In the Game and Why?
  • DR/ BC Framework
  • Action Steps to a Real Plan
  • First steps
  • Critical functions
  • Funding and leveraging scarce resources

3
Key DR/BC Concepts and Issues
4
The Report Card and Dashboard
  • All aspects of the plan, test, and implementation
    should be scored simply (Red, Yellow, and Green)
  • Key indicators of planning and readiness need a
    dashboard to enable assessment and action
  • Score or status
  • Trend
  • Key issue

5
Public Safety Scenarios
  • Public safety entities have a more difficult
    challenge
  • Your IT DR/BC plan is intertwined with risk
    scenarios
  • You may be affected by the risks of a given
    scenario and your IT plan must address those
    risks appropriately to maintain operations
  • You also have a role in response to the scenario
    so the events will affect your operational
    requirements

6
Scenarios Overview
  • Threat driven geographic circles of impact
  • Kinds of threats and events
  • Responsibility
  • What will you do, what is shared, what do others
    have to do for themselves
  • Tolerance for risk and uncertainty
  • Lesson learned if you have a well known and
    documented local risk
  • Have a real plan or get ready for a career change…

7
Source IBM
8
Scenarios
  • Identify Possible and Likely Natural Disasters
    and Environmental Conditions By Kind and Duration
    of Effects
  • Tornado
  • Hurricane
  • Tsunami
  • Flood
  • Snowstorm
  • Drought
  • Earthquake

9
Scenarios
  • Identify Possible and Likely Natural Disasters
    and Environmental Conditions By Kind and Duration
    of Effects
  • Electrical storms
  • Fire
  • Subsidence and landslides
  • Freezing Conditions

10
Scenarios
  • Identify Possible and Likely Natural Disasters
    and Environmental Conditions By Kind and Duration
    of Effects
  • Contamination, Toxic releases and environmental
    hazards
  • Epidemic
  • Pandemic
  • Animal or crop disease outbreak

11
Scenarios
  • Organized and/or Deliberate Disruption
  • Act of terrorism
  • WMD
  • Acute and short lived (bomb)
  • Acute and long lived (dirty bomb)
  • Chronic
  • Long term (contaminants and biohazards)
  • Permanent (radioactivity, etc.)
  • WLD (suicide bombers, car bombs, utility
    sabotage)
  • Bioterrorism or genetically modified or inorganic
    organisms
  • Direct contact
  • Infectious
  • Contact
  • Airborne

12
Scenarios
  • Organized and/or Deliberate Disruption
  • Act of Sabotage
  • Product or food tampering
  • Act of war
  • Theft
  • Arson
  • Labor Disputes / Industrial Action

13
Scenarios
  • Loss of Utilities and Services
  • Electrical power failure
  • Loss of gas supply
  • Loss of water supply
  • Petroleum and oil shortage
  • Raw materials
  • Refined materials
  • Communications services breakdown
  • Loss of drainage / waste removal and trash pickup

14
Scenarios
  • Equipment or System Failure
  • Internal power failure
  • HVAC failure
  • Equipment failure (excluding IT hardware)

15
Scenarios
  • Serious Information Security Incidents
  • Cyber crime
  • Malware
  • Zombie attacks
  • Denial of service
  • Loss or alteration of records or data
  • Disclosure of sensitive information

16
Scenarios
  • IT system failure (local or hosted)
  • Hardware
  • Software
  • Commercial application
  • Locally developed application
  • Data
  • Communications

17
Scenarios
  • Other Emergency Situations
  • Workplace violence
  • Public transportation disruption
  • Neighborhood hazard
  • Health and safety issues

18
Scenarios
  • Multiple and compound hazards and events
  • Purposeful
  • Coincidental
  • Causally connected
  • Interrelated

19
IT Requirements
  • What systems need to function
  • How fast
  • Maximum and optimum time frame for each system or
    function to be restored
  • How well
  • Sometimes minimal functionality is sufficient

20
IT Requirements
  • Where will it be used and by whom and will the
    communications infrastructure support it?
  • Employees
  • Users or beneficiaries
  • By what priority will systems be restored
  • The priority will be modified by what
    contingencies
  • E.g. a long term total evacuation changes the
    operational needs for criminal justice systems
    and personnel

21
Facilities
  • Hot, warm, cold
  • Mirrored, recoverable, reload-able
  • Properly located
  • EOC
  • Non-EOC
  • Operational
  • IT facilities
  • For user interaction with IT systems

22
Facilities
  • New kinds of mutual aid and sister
    city/county/state arrangements
  • Work with friends, colleagues, associations, and
    vendors
  • To match you with a comparable entities that are
    located outside the various geographic threat
    circles
  • Who can mirror your IT operations (hardware,
    software, operating systems, and culture)

23
People
  • The right numbers, skills, location, redundancy,
    etc.
  • Skills and abilities inventory
  • Employees
  • Contractors
  • Vendors
  • Mutual aid and the cavalry

24
People
  • Force in depthwho is the backup to the backup to
    the backup?
  • Consider the actual health and physical abilities
    and disabilities of a person when assigning tasks
    for a disaster scenario
  • The disaster is not the time to find out the
    electrician in the hazmat suit has a heart
    condition
  • What family and personal duties may interfere
    with performing official duties (e.g. save your
    own kids or save a stranger)?

25
Systems
  • Daily operational
  • Interdependent systems
  • Emergency only
  • Identity security and access management for
    physical and logical security
  • Follow FIPS 201 for federal/state/local
    interoperability

26
Integration
  • With whom should you work closely?
  • Identify integration issues between
  • Internal systems and public safety entities
  • Other governmental systems
  • Related actors
  • Non-governmental systems and processes
  • Example 911 and 311or its equivalent
  • Normally separate but related
  • Emergencies blur the line
  • Co-location, cross training, and system
    integration

27
Coordination
  • Within organization
  • Within unit of government
  • Across units of government
  • Across levels of government
  • Across public and private boundaries

28
Daily Readiness and Simulated Escalations
  • A disaster a day (What, thats not normal?)
  • Realistic scenarios
  • Captured lessons
  • Learning and actually responding to lessons
    learned within risk framework
  • A quality and security framework for daily
    operations has substantial overlap with DR/BC

29
Security Capabilities Models
  • Like similar capability models from the Carnegie
    Mellon SEI, SCMM models brings benefits
  • Helps close security holes
  • Serves as a foundation for growth
  • Guides security leadership
  • Is evolutionary, not chaotic
  • Supports point solutions

KPMG SCMM Model
30
Capability Maturity
  • Like the SCI CMM models, the KPMG Security
    Capability Model has five levels of maturity

31
Testing and Independent Verification and
Validation
  • Does the planned response or action step actually
    work?
  • Who verifies that it does?
  • What do you do if it fails the test?

32
Implementation and Triage
  • Someone better be in charge
  • Dispute resolution processes
  • Who will be your Sensibility and Sanity Checker
    (off site, not affected by the disaster, and
    actually getting enough sleep to make sound
    decisions)?
  • Baton Rouge example with Mayor Holden

33
Recovery, Discovery, and Improvements
  • What will the new normal be and when will it
    happen
  • Learn from history, both recent and long past
  • Document while the event occurs if at all
    possible (make it someones job) or soon after
    before memories fade

34
Player Scorecard
  • Who Is In the Game and Why

35
Overlapping and Inter-Related Responsibilities
Disaster Preparedness and Recovery and Business
Continuity
Physical Security
Quality Assurance Methodologies
Cyber Security
Public Safety
36
The Usual Suspects in Public Safety
  • Police
  • Fire
  • Other sworn officers (transit, game, building or
    branch based, etc.)
  • National Guard
  • Public Health
  • Public Works
  • Transportation
  • Environmental Protection

37
The Usual Suspects in Emergency Management
  • Federal, state and local emergency management
    entities
  • National Guard
  • NOAA, NWS, NSSL, other National Laboratories,
  • Corps of Engineers

38
IT Entities
  • CIO, CTO, and Enterprise IT Shops
  • Distributed IT Departments and leadership
  • Government IT contractors
  • DR/BC specific entities
  • Applications developers and software
  • Hardware
  • Service providers (ASP, MSP, call centers, etc.
  • Communications providers

39
Policy Makers
  • Executive, legislative, and judicial
  • Those who hold the seat and those who actually
    make the decisions…
  • Go below the top level to ensure clarity,
    alignment, and redundancy
  • EOC designees
  • Emergency authorizers

40
Non-Governmental Organizations
  • Media
  • Broadcast and satellite
  • Emergency Broadcast System Members
  • Print
  • New media
  • The Web
  • Government site mangers
  • Commercial site managers
  • Citizens and bloggers
  • Self-organizing communities (e.g. Craigs List)

41
Non-Governmental Organizations
  • Charities
  • Businesses and business associations
  • Community organizations
  • Vital private services (hospitals, nursing homes,
    etc. )

42
A DR/BC Framework
43
Business Operations and Technology
  • Create a matrix, not a linear or organizational
    view
  • Strategy
  • Organization
  • Processes
  • Applications and data
  • Technology
  • Facilities

44
Source IBM
45
Action Steps to a Real Plan
46
First Steps
47
First Steps
  • Leadership clarity, alignment, and commitment
  • Authority or consensus?
  • Stakeholders roles and responsibilities
  • Be clear about risk tolerance
  • Applications and IT assets inventory
  • If needed, dust off and update your Y2K work
  • Good data on plan status, readiness, test
    results, response, and compliance

48
First Steps
  • Make a friend in accountingactuarially accurate
    threat scenarios are more likely to be funded as
    risk and cost can be properly balanced
  • Review existing plan or make a plan
  • Borrow or buy a template
  • Review peer plans and conduct site visits
  • Communicate until it hurts

49
Critical Functions
50
Nail Down Your Critical Functions
  • Law and order essentials (people, mobility,
    tools, survival basics, etc.)
  • Communications
  • Personnel management (policies, scheduling,
    notification trees and systems, counseling, etc.)
  • Data and the connections to data and people
  • Transactional systems

51
Nail Down Your Critical Functions
  • Rescue and response
  • Pipeline to the health care system
  • Building/location/hazmat information for fire and
    first responders
  • Justice processing and incarceration
  • Dispatch

52
Nail Down Your Critical Functions
  • Records
  • Mobility
  • Devices and local storage if communications are
    intermittent or fail (e.g. mobile maps and
    databases)
  • Know what you can actually cover (and what you
    are just waiving your hands at and hoping it
    either works or is never needed)

53
Funding and Leverage
54
Funding and Leverage
  • Work within your risk/threat/cost/benefit matrix
    and follow your own rules
  • How serious are you about being prepared?

55
Funding and Leverage
  • Stop building single purpose infrastructures and
    reuse what you have
  • Ask not, what an infrastructure can do for you,
    but what it can do for your taxpayers
  • Use shared services
  • Follow standards or help create them if lacking

56
Funding and Leverage
  • Determine what pre-existing, unmet needs can be
    addressed by a new investment
  • Determine whether existing public safety or
    enterprise systems will do the job and if you can
    use them
  • Invest wisely
  • Vendors over inventors
  • COTS over customization
  • Web services over hard coding

57
Think Out of the Box
58
Think Third World
  • Hand crank your computers
  • Bike generators
  • Solar and wind power
  • Portable water purifiers
  • Emergency shelter
  • Runners and mountain bikes
  • Hand tools

59
Think New World
  • Internet Protocol (IP) everything
  • Bridge between radio, wireless data/WI-FI and use
    each as IP conduits as needed
  • Gigs of portable flash memory
  • Satellite data and telephony

60
Think New World
  • Instant Message
  • Text and mobile email
  • Cell On Wheels/Boat/Balloon
  • Negotiate/legislate priority and bumping rights
    in telecommunications provisioning

61
Integrate With the Big DR/BC Picture
62
The Big Picture
  • Consult EM before, during, and after
  • Once essential public safety systems have a DR/BC
    IT and overall plan it can be incorporated into
    the overall EM plan for the jurisdiction
  • Tie it all together in formal and informal
    agreements
  • Create a focal point such as your EOC

63
EOC Basics
  • Not located in a hazard area (floodway)
  • 500 square feet minimum floor space
  • Communications section adjacent to EOC
  • Three methods of communications with state EMA
    and local responders
  • UPS and generator systems located above flood
    level
  • Sleeping space for identified staff
  • Kitchen space/food or meal contract
  • New construction to International Building Code

Source Alabama EMD
64
Conclusion Essential Public Safety Systems and
Organizations Must Be Disaster Resistant,
Flexible, Diversified, and Redundant (Or We Are
All In Big Trouble)
  • Contact Information
  • Richard J. H. Varn
  • Center for Digital Government
  • rjmvarn_at_msn.com

65
Model Plan Outline
  • What follows is a private sector based, but
    broadly applicable tool that sells for 199
  • To buy a copy of the business continuity plan
    generator see http//www.eon-commerce.com/rusecure
    /bcp.asp

66
Model Plan Outline
  • Business Continuity - Preparing the Plan
  • Initiating the BCP Project
  • Project Initiation Activities
  • BC 010101 Review of Existing BCP (if available)

67
Model Plan Outline
  • BC 010102 Benefits of Developing a BCP
  • BC 010103 BCP Policy Statement
  • BC 010104 Preliminary BCP Project Budget
  • BC 010105 Procedure for Approving BCP Content

68
Model Plan Outline
  • BC 010106 Communication on BCP Project to All
    Employees
  • Project Organization
  • BC 010201 Terms of Reference for BCP Project
    Manager
  • BC 010202 Appoint BCP Project Manager and Deputy
  • BC 010203 Select and Notify BCP Project Team

69
Model Plan Outline
  • BC 010204 Initial BCP Project Meeting
  • BC 010205 Project Objectives and Deliverables
  • BC 010206 Project Milestones
  • BC 010207 Project Reporting Requirements and
    Frequency
  • BC 010208 Required Documents and Information

70
Model Plan Outline
  • Assessing Business Risk and Impact of Potential
    Emergencies
  • Emergency Incident Assessment
  • BC 020101 Environmental Disasters
  • BC 020102 Organized and / or Deliberate Disruption

71
Model Plan Outline
  • BC 020103 Loss of Utilities and Services
  • BC 020104 Equipment or System Failure
  • BC 020105 Serious Information Security Incidents
  • BC 020106 Other Emergency Situations
  • Business Risk Assessment

72
Model Plan Outline
  • BC 020201 Key Business Processes
  • BC 020202 Establish Time-Bands for Business
    Service Interruption Measurement
  • BC 020203 Financial and Operational Impact
  • IT and Communications

73
Model Plan Outline
  • BC 020301 Specifications of IT and Communication
    Systems and Business Dependencies
  • BC 020302 Key IT, Communications and Information
    Processing Systems
  • BC 020303 Key IT Personnel and Emergency Contact
    Information
  • BC 020304 Key IT and Communications Suppliers and
    Maintenance Engineers
  • BC 020305 Existing IT Recovery Procedures

74
Model Plan Outline
  • Existing Emergency Procedures
  • BC 020401 Summary of Existing Procedures for
    Handling Emergency Situations
  • BC 020402 Key Personnel Responsible for Handling
    Existing Emergency Procedures
  • BC 020403 External Emergency Services and Contact
    Numbers

75
Model Plan Outline
  • BC 020500 Premises Issues
  • BC 020501 Responsibility and Authority for
    Building Repairs
  • BC 020502 Back-up Power Arrangements
  • Preparing for a Possible Emergency

76
Model Plan Outline
  • Back-up and Recovery Strategies
  • BC 030101 Alternative Business Process Handling
    Strategy
  • BC 030102 IT Systems Back-Up and Recovery
    Strategy
  • BC 030103 Premises and Essential Equipment
    Back-up and Recovery Strategy

77
Model Plan Outline
  • BC 030104 Customer Service Back-up and Recovery
    Strategy
  • BC 030105 Administration and Operations Back-up
    and Recovery Strategy
  • BC 030106 Information and Documentation Back-up
    and Recovery Strategy
  • BC 030107 Insurance Coverage
  • Key BCP Personnel and Supplies

78
Model Plan Outline
  • BC 030201 Functional Organization Chart
  • BC 030202 BCP Project Co-coordinator and Deputy
    for Each Functional Area
  • BC 030203 Key Personnel and Emergency Contact
    Information
  • BC 030204 Key Suppliers and Vendors and Emergency
    Contact Information
  • BC 030205 Manpower Recovery Strategy

79
Model Plan Outline
  • BC 030206 Establishing the Disaster Recovery Team
  • BC 030207 Establishing the Business Recovery Team
  • Key Documents and Procedures
  • BC 030301 Documents and Records Vital to the
    Business Process
  • BC 030302 Off-site Storage

80
Model Plan Outline
  • BC 030303 Emergency Stationery and Office
    Supplies
  • BC 030304 Media Handling Procedures
  • BC 030305 Emergency Authorization Procedures
  • BC 030306 Prepare Budget for Back-up and Recovery
    Phase

81
Model Plan Outline
  • Disaster Recovery Phase
  • Planning for Handling the Emergency
  • BC 040101 Identification of Potential Disaster
    Status
  • BC 040102 Involvement of Emergency Services
  • BC 040103 Assessing Potential Business Impact of
    the Emergency

82
Model Plan Outline
  • BC 040104 Project Management Activities
  • Notification and Reporting During Recovery Phase
  • BC 040201 Mobilizing the Recovery Team
  • BC 040202 Notification to Management and Key
    Employees

83
Model Plan Outline
  • BC 040203 Handling Personnel Families
    Notification
  • BC 040204 Handling Media during the Disaster
    Recovery Phase
  • BC 040205 Maintaining Event Log during Disaster
    Recovery Phase
  • BC 040206 Disaster Recovery Phase Report
  • Business Recovery Phase

84
Model Plan Outline
  • Managing the Business Recovery Phase
  • BC 050101 Mobilizing the Business Recovery Team
  • BC 050102 Assessing Extent of Damage and Business
    Impact
  • BC 050103 Preparing Specific Recovery Plan

85
Model Plan Outline
  • BC 050104 Monitoring Progress
  • BC 050105 Keeping Everyone Informed
  • BC 050106 Handing Business Operations Back to
    Regular Management
  • BC 050107 Preparing Business Recovery Phase
    Report
  • Business Recovery Activities

86
Model Plan Outline
  • BC 050201 Power and Other Utilities
  • BC 050202 Premises, Fixtures and Furniture
    (Facilities Recovery Management)
  • BC 050203 Communication Systems
  • BC 050204 IT Systems (Hardware and Software)

87
Model Plan Outline
  • BC 050205 Production Equipment
  • BC 050206 Other Equipment
  • BC 050207 Warehouse and Stock
  • BC 050208 Trading, Sales and Customer Service

88
Model Plan Outline
  • BC 050209 Human Resources
  • BC 050210 Information and Documentation
  • BC 050211 Office Supplies
  • BC 050212 Operations and Administration (Support
    Services)

89
Model Plan Outline
  • Testing the Business Recovery Process
  • Planning the Tests
  • Develop Objectives and Scope of Tests
  • Setting the Test Environment
  • Environmental Disasters

90
Model Plan Outline
  • Organized and / or deliberate disruption
  • Loss of Utilities and Services
  • Equipment or System Failure
  • Serious Information Security Incidents
  • Other Emergency Situations
  • Prepare Test Data
  • Identify Who is to Conduct the Tests

91
Model Plan Outline
  • Identify Who is to Control and Monitor the Tests
  • Prepare Feedback Questionnaires
  • Prepare Budget for Testing Phase
  • Training Core Testing Team for each Business Unit

92
Model Plan Outline
  • Conducting the Tests
  • Test each part of the Business Recovery Process
  • Test Accuracy of Employee and Vendor Emergency
    Contact Numbers
  • Assess Test Results
  • Training Staff in the Business Recovery Process

93
Model Plan Outline
  • Managing the Training Process
  • Develop Objectives and Scope of Training
  • Training Needs Assessment
  • Training Materials Development Schedule
  • Prepare Training Schedule
  • Communication to Staff
  • Prepare Budget for Training Phase
  • Assessing the Training

94
Model Plan Outline
  • Feedback Questionnaires
  • Assess Feedback
  • Keeping the Plan Up-to-date
  • Maintaining the BCP

95
Model Plan Outline
  • Change Controls for Updating the Plan
  • Responsibilities for Maintenance of Each Part of
    the Plan
  • Test All Changes to Plan
  • Advise Person Responsible for BCP Training
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