UC Santa Cruz Continuity Plan For UC Ready UCSC SHS CONTINUITY PLAN Creation Date: Dec 22, 2014 Last Modified: Mar 09, 2015 UC Ready UCSC SHS Continuity planning addresses the question: how can we prepare to continue operations despite those adverse events that we call disasters - or if we can't continue, how can we resume our operations rapidly and gracefully? What is a continuity plan? The core mission of higher education is teaching; and the mission may also include research, public service, and healthcare. These four enterprises, along with the infrastructure that supports them, are the focus of our continuity planning. A good continuity plan will identify action items: things that we can do now to lessen the impact of disaster-events and make it easier to recover. Your departmental continuity plan: • 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." space, equipment, or IT infrastructure). This document has been produced using the UC Ready on-line planning tool, and is stored in the tool's database. To update this document, please use the on-line tool. • Identifies your department's critical functions. • Describes how you might carry on these functions under conditions of diminished resources (diminished staff, See list of Action Items in Section VI. Page 1
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UC Santa CruzContinuity Plan For UC Ready UCSC SHS
CONTINUITY PLANCreation Date: Dec 22, 2014
Last Modified: Mar 09, 2015
UC Ready UCSC SHS
Continuity planning addresses the question: how can we prepare to continue operations despite those adverse eventsthat we call disasters - or if we can't continue, how can we resume our operations rapidly and gracefully?
What is a continuity plan?
The core mission of higher education is teaching; and the mission may also include research, public service, and healthcare.These four enterprises, along with the infrastructure that supports them, are the focus of our continuity planning.
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.
Your departmental continuity plan:
• 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."
space, equipment, or IT infrastructure).
This document has been produced using the UC Readyon-line planning tool, and is stored in the tool's database.To update this document, please use the on-line tool.
• Identifies your department's critical functions. • Describes how you might carry on these functions under conditions of diminished resources (diminished staff,
See list of Action Items in Section VI.Page 1
II.
I. GENERAL INFORMATION
Table of Contents
Listed below are the major sections of a Continuity Plan. Your department may choose to include or exclude certain sections. Hence it ispossible that one or more of these sections may not appear in this plan document.
CONTINUITY PLAN
UC Ready UCSC SHS
CRITICAL FUNCTIONS (order not necessarily significant)
Continuity Plan For UC Ready UCSC SHSUC Santa Cruz
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
See list of Action Items in Section VI.Page 5
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
Health Center Administration
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 1
Who performs this?
Responsible person(s)
Peak periods
Explanation
Documents See Document List (Appendix A)
Upstream dependencies
Upstream comment
Downstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
How to cope if usual space is notavailable
How to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
Can this function be performed fullyor partly from home?
How to cope if data network is notavailable
Any show-stoppers?
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
Policy exceptions that may be needed
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 6
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
See list of Action Items in Section VI.Page 7
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
Same Day Clinic
Reception and treatment of urgent and same day clinic patients.
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 2
Who performs this? Same Day Clinic medical staff, nursing and physicians
Dr. MalloyResponsible person(s)
Peak periods Jan Feb Mar Apr May Sep Oct Nov
Explanation
Documents See Document List (Appendix A)
Upstream dependencies Physical Plant, Health Services, Environmental Health & Safety, Transportationand Parking Services, Information Technology Services
Upstream comment
Entire student populationDownstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
Disruption of patient care
Departure of students
Well-being of students
Loss of revenue
Legal harm to the University
would need an alternate spaceinitial triaging may take place outdoors
How to cope if usual space is notavailable
we would triage patients as neededHow to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
we would need medical staff, (physicians, nurse practitioners, physician)assistants, nurses, pharmacists, clinical laboratory scientists, radiologictechnologists; there is some cross-training however all those skill sets would beneeded
Can this function be performed fullyor partly from home?
not for patient care
How to cope if data network is notavailable
we would use a "paper process"
Any show-stoppers? space and trained personnelcertain equipment and computers
Not sure
See list of Action Items in Section VI.Page 8
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
patient care notably without enough trained staff and without supplies, diagnosticabilities and treatmentspatient privacy
Policy exceptions that may be needed County Medical Officer could pronounce a state of emergency
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 9
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
Nursing Services
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 3
Who performs this?
Responsible person(s)
Peak periods
Explanation
Documents See Document List (Appendix A)
Upstream dependencies
Upstream comment
Downstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
How to cope if usual space is notavailable
How to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
Can this function be performed fullyor partly from home?
How to cope if data network is notavailable
Any show-stoppers?
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
Policy exceptions that may be needed
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 10
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
See list of Action Items in Section VI.Page 11
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
Laboratory Services
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 4
Who performs this?
Responsible person(s)
Peak periods
Explanation
Documents See Document List (Appendix A)
Upstream dependencies
Upstream comment
Downstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
How to cope if usual space is notavailable
How to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
Can this function be performed fullyor partly from home?
How to cope if data network is notavailable
Any show-stoppers?
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
Policy exceptions that may be needed
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 12
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
See list of Action Items in Section VI.Page 13
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
Medical Assisting
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 5
Who performs this?
Responsible person(s)
Peak periods
Explanation
Documents See Document List (Appendix A)
Upstream dependencies
Upstream comment
Downstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
How to cope if usual space is notavailable
How to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
Can this function be performed fullyor partly from home?
How to cope if data network is notavailable
Any show-stoppers?
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
Policy exceptions that may be needed
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 14
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
See list of Action Items in Section VI.Page 15
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
IT Services
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 6
Who performs this?
Responsible person(s)
Peak periods
Explanation
Documents See Document List (Appendix A)
Upstream dependencies
Upstream comment
Downstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
How to cope if usual space is notavailable
How to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
Can this function be performed fullyor partly from home?
How to cope if data network is notavailable
Any show-stoppers?
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
Policy exceptions that may be needed
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 16
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
See list of Action Items in Section VI.Page 17
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
Facilities and Financial Services
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 7
Who performs this?
Responsible person(s)
Peak periods
Explanation
Documents See Document List (Appendix A)
Upstream dependencies
Upstream comment
Downstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
How to cope if usual space is notavailable
How to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
Can this function be performed fullyor partly from home?
How to cope if data network is notavailable
Any show-stoppers?
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
Policy exceptions that may be needed
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 18
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
See list of Action Items in Section VI.Page 19
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
Pharmacy Services
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 8
Who performs this?
Responsible person(s)
Peak periods
Explanation
Documents See Document List (Appendix A)
Upstream dependencies
Upstream comment
Downstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
How to cope if usual space is notavailable
How to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
Can this function be performed fullyor partly from home?
How to cope if data network is notavailable
Any show-stoppers?
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
Policy exceptions that may be needed
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 20
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
See list of Action Items in Section VI.Page 21
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
Radiology Services
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 9
Who performs this?
Responsible person(s)
Peak periods
Explanation
Documents See Document List (Appendix A)
Upstream dependencies
Upstream comment
Downstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
How to cope if usual space is notavailable
How to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
Can this function be performed fullyor partly from home?
How to cope if data network is notavailable
Any show-stoppers?
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
Policy exceptions that may be needed
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 22
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
See list of Action Items in Section VI.Page 23
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
Counseling Psychology
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 10
Who performs this?
Responsible person(s)
Peak periods
Explanation
Documents See Document List (Appendix A)
Upstream dependencies
Upstream comment
Downstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
How to cope if usual space is notavailable
How to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
Can this function be performed fullyor partly from home?
How to cope if data network is notavailable
Any show-stoppers?
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
Policy exceptions that may be needed
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 24
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
See list of Action Items in Section VI.Page 25
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
Psychiatry
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 11
Who performs this?
Responsible person(s)
Peak periods
Explanation
Documents See Document List (Appendix A)
Upstream dependencies
Upstream comment
Downstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
How to cope if usual space is notavailable
How to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
Can this function be performed fullyor partly from home?
How to cope if data network is notavailable
Any show-stoppers?
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
Policy exceptions that may be needed
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 26
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
See list of Action Items in Section VI.Page 27
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
Medical Records Services
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 12
Who performs this?
Responsible person(s)
Peak periods
Explanation
Documents See Document List (Appendix A)
Upstream dependencies
Upstream comment
Downstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
How to cope if usual space is notavailable
How to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
Can this function be performed fullyor partly from home?
How to cope if data network is notavailable
Any show-stoppers?
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
Policy exceptions that may be needed
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 28
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
See list of Action Items in Section VI.Page 29
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
Reception
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 13
Who performs this?
Responsible person(s)
Peak periods
Explanation
Documents See Document List (Appendix A)
Upstream dependencies
Upstream comment
Downstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
How to cope if usual space is notavailable
How to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
Can this function be performed fullyor partly from home?
How to cope if data network is notavailable
Any show-stoppers?
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
Policy exceptions that may be needed
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 30
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
See list of Action Items in Section VI.Page 31
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
Medical Appointments
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 14
Who performs this?
Responsible person(s)
Peak periods
Explanation
Documents See Document List (Appendix A)
Upstream dependencies
Upstream comment
Downstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
How to cope if usual space is notavailable
How to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
Can this function be performed fullyor partly from home?
How to cope if data network is notavailable
Any show-stoppers?
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
Policy exceptions that may be needed
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 32
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
See list of Action Items in Section VI.Page 33
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
Insurance Office Services
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 15
Who performs this?
Responsible person(s)
Peak periods
Explanation
Documents See Document List (Appendix A)
Upstream dependencies
Upstream comment
Downstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
How to cope if usual space is notavailable
How to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
Can this function be performed fullyor partly from home?
How to cope if data network is notavailable
Any show-stoppers?
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
Policy exceptions that may be needed
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 34
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
See list of Action Items in Section VI.Page 35
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
Billing Office Services
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 16
Who performs this?
Responsible person(s)
Peak periods
Explanation
Documents See Document List (Appendix A)
Upstream dependencies
Upstream comment
Downstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
How to cope if usual space is notavailable
How to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
Can this function be performed fullyor partly from home?
How to cope if data network is notavailable
Any show-stoppers?
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
Policy exceptions that may be needed
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 36
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
See list of Action Items in Section VI.Page 37
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name
Description
Appointment Making Services
To edit this plan section, use theStep 2 tab of the on-line tool
II. CRITICAL FUNCTIONS
Critical Function # 17
Who performs this?
Responsible person(s)
Peak periods
Explanation
Documents See Document List (Appendix A)
Upstream dependencies
Upstream comment
Downstream dependencies
Downstream comment
Possible consequences if thisfunction is not continued or recoveredquickly enough
How to cope if usual space is notavailable
How to cope with 50% absenteeismof staff and faculty
What to do if certain skills/knowledgeare held by only one staff member(unique skills)?
Can this function be performed fullyor partly from home?
How to cope if data network is notavailable
Any show-stoppers?
If University declares temporaryclosure, is it possible to stop doingthis function?
Comment
Do any of these coping strategiesexpose the University to risk?
Policy exceptions that may be needed
Additional vulnerabilities
Action items for this function See Action Item List - section VI
See list of Action Items in Section VI.Page 38
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
See list of Action Items in Section VI.Page 39
III. INFORMATION TECHNOLOGY
To edit this plan section, use theStep 3 tab of the on-line tool.
Part 1: Centrally-Owned Applications that are Critical for our Unit:
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
CriticalityLevel CommentApplication or System
AIS/Academic Information Systems Critical 3
CruzBuy/e-Procurement Critical 2
CruzPay/Enterprise Time & Attendance System Critical 3
FacilitiesLink (FacLink) Critical 3
FAMIS/Facility Administration and Maintenance Critical 2
FileMaker - CAPS Referral Database Critical 3
FileMaker - Insurance Database Critical 2
FileMaker - Scheduling Database Critical 2
FMW/Financial Manager's Workbench Critical 3
Fuji PACS Radiology System Critical 1
googlecalendar
GoogleMail Critical 2
InfoView (for Data Warehouse) Critical 3
IT Request Critical 2
Omnilock Wireless Access Management System Critical 2
OTP/Online Tag Program - Hazardous Waste Critical 3
Centrally-owned applications are those whose technical owner is Central IT. The functional owner could be any department.
Definitions:
Critical 1: Cannot pause. Necessary to life, health, security. (Possible example: police dispatch system).Critical 2: Failure will lead to imminent & very serious consequences. (Possible examples: data networks, email system, patient scheduling system,medical records system)Critical 3: Can endure a pause, but ONLY for a short time. Must be recovered by some time sooner than 30 days. (Possible examples: financialsystem, payroll system, HR system, research administration systems, student systems, library systems, courseware).Deferrable: Important, but we can function without this system for more than 30 days. (Possible examples: calendaring application, documentimaging system, budget preparation software.)
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
III. INFORMATION TECHNOLOGY (cont.)
Part 2: Departmentally-Owned Applications that are Critical for our Unit
To edit this plan section, use theStep 3 tab of the on-line tool.
Definitions:Departmentally-owned applications are those whose technical owner is our department or another department (but not central IT).
Name of application or system Point and Click Electronic Medical Record
Application # 1
Functional owner SHS
Technical owner SHS/ITS
Type Client-Server Application
Backup frequency Daily
Backup media Tape
Backup auto or manual? Automatic
Database application? Yes
Move data to or from core campussystems?
Yes
If so, what campus systems? AIS demographic data is imported into PnC and patient charges are transferred to accounts inAIS.
Depts that will be impacted by failureof this application
Onsite storage ITS Data Center, UCSC Communications Building, Operations Hotline 831-459-2714
Offsite storage Iron Mountain
Frequency of offsite storage Daily
Location of installation disks &documentation
ITS
Successful recovery been done? Partial (please explain)
Comment The server was migrated to a virtual platform in 2013 and databases and configurations rebuiltand reconnected at that time. Backup restoration tests are conducted annually to determineviability of backup media.
See list of Action Items in Section VI.Page 44
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name of application or system Orchard - Harvest Laboratory Information System
Application # 3
Functional owner SHS
Technical owner SHS/ITS
Type Client-Server Application
Backup frequency Daily
Backup media Tape
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
Onsite storage ITS Data Center, UCSC Communications Building, Operations Hotline 831-459-2714
Offsite storage Iron Mountain
Frequency of offsite storage Daily
Location of installation disks &documentation
ITS
Successful recovery been done? Partial (please explain)
Comment The server was migrated to a virtual platform in 2013 and databases and configurations rebuiltand reconnected at that time. Backup restoration tests are conducted annually to determineviability of backup media.
See list of Action Items in Section VI.Page 45
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name of application or system FileMaker Database
Application # 4
Functional owner SHS
Technical owner SHS/ITS
Type Client-Server Application
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
Onsite storage ITS Data Center, UCSC Communications Building, Operations Hotline 831-459-2714
Offsite storage Iron Mountain
Frequency of offsite storage Daily
Location of installation disks &documentation
ITS
Successful recovery been done? Partial (please explain)
Comment The server was migrated to a virtual platform in 2014 and databases and configurations rebuiltand reconnected at that time. Backup restoration tests are conducted annually to determineviability of backup media.
See list of Action Items in Section VI.Page 46
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name of application or system Fuji PACS Radiology System
Application # 5
Functional owner SHS
Technical owner SHS/ITS
Type Client-Server Application
Backup frequency Daily
Backup media Tape
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
Onsite storage ITS Data Center, UCSC Communications Building, OperationsHotline 831-459-2714
Offsite storage Iron Mountain
Frequency of offsite storage Daily
Location of installation disks &documentation
ITS
Successful recovery been done? Partial (please explain)
Comment New servers were built in 2010 and databases and configurationsrebuilt and reconnected at that time. Backup restoration tests areconducted annually to determine viability of backup media.
See list of Action Items in Section VI.Page 48
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name of server (or group of servers) SHS-PNC-STNDBY
Server # 2
Server Type Database server
Explanation PointNClick/Standby/SQLIP: 10.3.3.2Location: Data Center
Backup frequency
Backup media
Backup auto or manual?
Applications that will be impacted byfailure of this server
Point and Click
Server software
Depts that will be impacted by failureof this application
Student Health Services (including Counseling and PsychologicalServices)
Onsite storage ITS Data Center, UCSC Communications Building, OperationsHotline 831-459-2714
Offsite storage Iron Mountain
Frequency of offsite storage Daily
Location of installation disks &documentation
ITS
Successful recovery been done? Partial (please explain)
Comment New servers were built in 2010 and databases and configurationsrebuilt and reconnected at that time. Backup restoration tests areconducted annually to determine viability of backup media.
See list of Action Items in Section VI.Page 49
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Name of server (or group of servers) SHS-PNC-FS
Server # 3
Server Type File server
Explanation PointNClick/File ServerIP: 10.3.3.5Location: Data Center
Backup frequency
Backup media
Backup auto or manual?
Applications that will be impacted byfailure of this server
Point and Click
Server software
Depts that will be impacted by failureof this application
Student Health Services (including Counseling and PsychologicalServices)
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III. INFORMATION TECHNOLOGY (cont.)
Part 4: Workstations
A. Workstation Backup
Backup Method Comment
Percent of WorkstationsUsing
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Files are stored on dept. server, which gets backed up. 10%
Automated backup by central IT (via network) 0%
CommentWorkstation Support is provided by...
B. Workstation Support
Technicians from another department ITS desktop support.
See list of Action Items in Section VI.Page 56
III. INFORMATION TECHNOLOGY (cont.)
Part 5: Recovery Strategies for IT
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Where to purchase hardware Dell Computer, HP, Zebra Technologies, Canon
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
If workstations, servers, etc.need to be rebuilt at newlocation, where cantechnicians locate thesoftware & documentation?
Workstations use the campus-approved image. Documentation and drivers would be either comewith newly purchased equipment or would be downloaded via web. ITS desktop support has mostof our specialized software on CD stored in media binders in the SHC IT office.
Environmental requirementsfor hardware
SHS systems store or access restricted medical data and must be secured in accordance with thefederal HIPAA privacy/security rule.
Will your IT staff be sufficientto the task?
No. Currently, two primary desktop support staff are assigned to the unit and one serveradministrator. In the event that systems would have to be rebuilt, a much larger group of technicalstaff would need to be assigned to the task. Depending on the nature of the emergency or disaster,central IT staff may be assigned to other higher priority projects.
Other obstacles
How your IT staff will assistfaculty & staff to work fromhome
This would not be possible for our unit since our primary mission is on campus health andcounseling services. Our operation depends on the facility we currently reside in and students(patients/clients) who reside on campus. A small number of administrative staff could remainpartially functional working from home. Assuming their home computers and internet services wereadequate, they could begin working from home immediately. IT support could be accomplished viathe Remote Assistance Program.
IT applications for whichthere is no workaround
Our medical systems (servers, workstations, printers, scanners, etc) are critical to the function ofthe operation. Short term disruption (1-2 weeks) could be accommodated, but longer termdisruption could not be accommodated.
Part 6: Action Items for IT
See Action Item List (Section VI)
See list of Action Items in Section VI.Page 57
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
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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
IV. FACULTY PREPAREDNESS
See list of Action Items in Section VI.Page 58
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
V. KEY RESOURCES
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Part 1: Staff Basics
Does your unit have a (printed)emergency contact list for faculty& staff?
Yes
Who holds copies of theemergency contact list? (bespecific)
Maggie Merritt, Assistant to the Director
Who updates the emergencycontact list?
Maggie Merritt
Who knows how to checkmessages on your department'smain phone line?
Maggie MerrittMelissa MillerDebbi Saint JohnDebbie Hall
Who knows how to record agreeting on your department'smain phone line?
Melissa MillerMaggie MerrittDebbi Saint John
Who can post messages on yourdepartment's web site (i.e., do theactual mechanics)?
Student Services Office
Do your staff use any sharedpasswords that should be keptavailable?
Yes
Comment?
Key People in Your Unit:
Beth HydeNameTitle or function Pt Care CoordinatorSpecial skill NPSpecial role Third Leadership SuccessorComment Lead with pt care coordination; supervises mid-level providers;
communicable disease tracker
Cathy SandersNameTitle or function MRSASpecial skill Medical RecordsSpecial role Holds formal delegation(s) of authorityComment Point and Click knowledge and access
Debbi Saint JohnNameTitle or function Clinic DirectorSpecial skill RNSpecial role Second Leadership SuccessorComment Manages Reception, Nursing, Medical Assistants; Clinic Operations and
Flow
See list of Action Items in Section VI.Page 59
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Diane LamotteNameTitle or function Ancillary Svcs DirSpecial skill PharmacistSpecial role Second Leadership SuccessorComment Access to Pharmacy, Health and Safety Officer, CERT trained
Dorje' JeanetteNameTitle or function CAPS Clinical MgrSpecial skill PhD PsychSpecial role Holds formal delegation(s) of authorityComment CAPS
Edward MalloyNameTitle or function Medical DirectorSpecial skill MDSpecial role First Leadership SuccessorComment
Gary DunnNameTitle or function CAPS DirectorSpecial skill CounselingSpecial role Second Leadership SuccessorComment CAPS; on Red Folder Team
Dependent upon type of crisis.
Maggie MerrittNameTitle or function Assistant to Dir.Special skill PersonnelSpecial roleComment
Mary KnudtsonNameTitle or function Executive DirectorSpecial skill Mgr, NPSpecial roleComment Leader
MaryJan MurphyNameTitle or function CAPS Training DirSpecial skill PhD PsychSpecial role Holds formal delegation(s) of authorityComment CAPS
Robert AntoninoNameTitle or function Business IT MgrSpecial skill IT, FacilitySpecial role Third Leadership SuccessorComment
Tammy WoodNameTitle or function HR SpecialistSpecial skill SHR, BusinessSpecial role Holds formal delegation(s) of authority
See list of Action Items in Section VI.Page 60
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Comment Access to SHR systems
See list of Action Items in Section VI.Page 61
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
V. KEY RESOURCES (cont.)
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Part 2: Work from Home
The capabilities of some faculty & staff to connect from home are listed below.
See list of Action Items in Section VI.Page 62
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Part 3: Teams
These are important teams on which departmental faculty and/or staff participate.
Team Name
PurposeMembers
Comment
Team Name
PurposeMembers
Comment
Team Name
PurposeMembers
Comment
Team Name
PurposeMembers
Comment
Team Name
PurposeMembers
Comment
Team Name
PurposeMembers
Comment
Team Name
PurposeMembers
Comment
See list of Action Items in Section VI.Page 63
Team Name
PurposeMembers
Comment
Team Name
PurposeMembers
Comment
Team Name
PurposeMembers
Comment
See list of Action Items in Section VI.Page 64
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
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Part 4: Skills
Skill Description Comment
V. KEY RESOURCES (cont.)
Skills that may be needed post-disaster to perform our unit´s critical functions:
Clinical Laboratory Scientist medical laboratory technician
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Part 5: Staffing Requirements
This 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
Function
Definitions
CriticalityLevel
Category ofStaff Shift
FTErequiredundernormalconditions
FTErequiredduringcrisis
FTE whomay beavailablefor re-assignment
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
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
-2.00Same Day Clinic Critical 1 Physician Day 2.00 4.00
-2.00Same Day Clinic Critical 1 Nurse Practitioner Day 2.00 4.00
-1.00Same Day Clinic Critical 1 Physician Assistant Day 1.00 2.00
-1.00Same Day Clinic Critical 1 Nurse, Clinical Day 2.00 3.00
0.00Same Day Clinic Critical 1 AdministrativeAssistant
Day 3.00 3.00
0.00Laboratory Services Critical 1 Lab Assistant Day 2.00 2.00
0.00Pharmacy Services Critical 2 Pharmacist Day 1.00 1.00
0.00Pharmacy Services Critical 2 Pharmacy Tech Day 1.00 1.00
0.00Facilities and FinancialServices
Critical 2 Buyer Day 1.00 1.00
0.00Medical Assisting Critical 1 _Assistant Day 4.00 4.00
Utilities (very important to thefunctioning of the department)
CommentUtility Name
Elevator
Emergency BackupGenerator
Heating, Ventilation,Air Conditioning(HVAC)
Freezer
City Water
Oxygen (bottled)
Refrigeration
PublicAddress/PagingSystem
Security AlarmSystem
Electricity
Radio Communication(800 MHz)
Wireless Network
Waste/GarbageRemoval
Sewer
Cogeneration
Transportation (special transportationneeds)
Possible patient transport to hospital
See list of Action Items in Section VI.Page 76
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Other Resources
See list of Action Items in Section VI.Page 77
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
To edit this plan section, use theAction Item Summary tab of theon-line tool.
VI. ACTION ITEM LIST
Action Item # Remote server back-up1Information technologySupports this critical function
Estimated cost
Cost one-time or annual?
Within whose scope
Date Entered
Assigned To
Due Date
Comment
Status In progress
Archived?
Action Item # Back-up restoration testing with central ITS and vendors.2Information technologySupports this critical function
Estimated cost less than $100
Cost one-time or annual? Annual
Within whose scope my unit together with other units on campus
Date Entered
Assigned To
Due Date
Comment In addition, our information system vendors would need to be heavily involved.
Status In progress
Archived?
Action Item # Criticality analysis to determine minimum number and location of systems thatneed to be deployed within the facility to become functional.
3
Information technologySupports this critical function
Estimated cost less than $100
Cost one-time or annual? One-time
Within whose scope my unit itself
Date Entered
Assigned To
Due Date
Comment
Status In progress
Archived?
See list of Action Items in Section VI.Page 78
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
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VI. ACTION ITEM LIST (cont.)
Action Item # Upload actual paper process documents.4Same Day ClinicSupports this critical function
Estimated cost less than $100
Cost one-time or annual? One-time
Within whose scope my unit itself
Date Entered 2014/02/27
Assigned To
Due Date
Comment
Status In progress
Archived? N
See list of Action Items in Section VI.Page 79
UC Santa CruzContinuity Plan For UC Ready UCSC SHS
Appendix A.
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List of Key Documents
Documents that have been uploaded into this on-line continuity tool (as indicated below) can be viewed on-screen, then printed.
These documents have been identified as important for continuing our critical functions.