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BUSINESS CONTINUITY PLANNING
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 1
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 2
Version Version 2
Ratified By NHS West Cheshire Clinical Commissioning Group
Date Ratified April 2013
Author(s)
Responsible Committee / Officers
Senior Management Team
Date Issue April 2013
Review Date October 2017
Intended Audience All clinical commissioning group staff
Impact Assessed Yes
Further information about this document:
Document name Business Continuity Planning
Category of Document in The Policy Schedule
Author(s) Contact(s) for further
information about this document
This document should be read in conjunction with
Published by
Copies of this document are available from
Corporate
Clare Dooley Head of Corporate Governance 01244 650318 claredooley@nhs.net
NHS West Cheshire Clinical Commissioning Group
Website: www.westcheshireccg.nhs.uk
Copyright © 2015. All Rights Reserved
Version Control:
Version History:
Version Number Reviewing Committee / Officer
Date
1.0 NHS West Cheshire Clinical Commissioning Group April 2013 NHS West Cheshire Clinical Commissioning Group July 2014 NHS West Cheshire Clinical Commissioning Group May 2015
2.0 NHS West Cheshire Clinical Commissioning Group October 2016
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 3
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 4
This document can be made available in a range of alternative formats including various languages,
large print, Braille and audio cassette. To discuss your requirements please ring 01244 650368
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 5
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 6
INDEX
Description Page Index 6
Template 1 - Plan Version Control 7
Background 8
Purpose of Business Continuity Plan 8
Roles and Responsibilities 8
Complimentary Links 9
Service/ Clinical Commissioning Group Business Continuity Plans
9
ICT Disaster Recovery Plan 10
Property Disaster Recovery Plan 10
Template 2
• Form B - Business Impact Analysis 12 • Form C - Risk Analysis 13 • Form D - Prevention Measures 14
Appendix A - Classification of severity of a business continuity disruption
17
Appendix B - Risk aAnalysis process and risk matrix 18
Appendix C - Key business continuity personnel contacts directory
20
Appendix D - Key resources and contractor contacts directory 21
Appendix E – Priority ICT programmes to be restored 23
• Form A - Assessment of Service Core Activities 11
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 7
Plan Version Control and Review Template 1
Organisation Address
NHS West Cheshire Clinical Commissioning Group
1829 Building Countess of Chester Health Park Liverpool Road Chester CH2 1HJ
Clinical Commissioning Group Confirmation of completion Emergency Planning Service Business Continuity Plan
Responsible Person (Corporate)
Date April 2013
Responsible Person (Service/CCG)
Date April 2013
NHS West Cheshire Clinical Commissioning Group
Head of Governance
Chief Executive Officer
Confirmation of approval of Emergency Planning Service Business Continuity Plan
Proposed to NHS West Cheshire Clinical Commissioning Group Governing Body 18th April 2013
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 8
NHS WEST CHESHIRE CLINICAL COMMISSIONING GROUP
BUSINESS CONTINUITY PLANNING
Background
1. Under the Civil Contingencies Act Clinical Commissioning Groups have a duty to put in place Business Continuity Management arrangements. Local experiences of recent years which have required organisations to invoke business continuity plans have included flood, fire, disruptions to electrical supply, communication failures and the fuel crisis. Other potential occurrences that also need to be considered when preparing business continuity plans include the risk of flu pandemic and severe weather.
2. Significant events likely to cause serious interruption of the continuity of the clinical
commissioning group’s business warrant the activation of the NHS England Major Incident Plan. Minor business interruptions occur on a daily basis and are dealt with using regular and familiar systems and resources, such as general repair and maintenance contracts or routine management intervention.
Purpose of the Business Continuity Plan
3. The creation and maintenance of the clinical commissioning group’s business
continuity plan ensures that there is a clear, workable plan for prompt action in the face of events that have the potential to compromise the normal expectations of services and delivery of objectives.
4. The business continuity plan will compliment major incident plans but extends
beyond it. It addresses potentially serious disruptions in the services provided by the clinical commissioning group that may not necessarily be of sufficiently high risk to trigger the major incident plan.
5. It coordinates a planned response to an event whose impact could not be handled
within routine service arrangements and would require the implementation of special planning procedures by the clinical commissioning group alone to respond to it.
Roles and Responsibilities
6. The clinical commissioning group Chief Executive Officer has overall responsibility for ensuring that the clinical commissioning group has business continuity management arrangements in place, in line with the requirements as outlined in the Civil Contingencies Act for Category One Responders.
7. A senior manager should be identified to act as business continuity manager with
the responsibility to prepare the clinical commissioning group’s business continuity planning. For NHS West Cheshire Clinical Commissioning Group this is the Head of Governance.
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 9
8. The clinical commissioning group is responsible for developing, maintaining, communicating and operating their own service level procedures to mitigate the impact of any incident affecting the normal delivery of their services.
9. A serious or major business continuity disruption would be reported via established
clinical commissioning group on-call procedures and managed through organisational frameworks.
Complimentary Links
10. The development of the clinical commissioning group’s business continuity plan
will compliment and link with the following:
• EPRR policy • Pandemic flu business continuity plan • Winter plan • On-call arrangements / action card
Service/Clinical Commissioning Group Business Continuity Plans
11. The clinical commissioning group is responsible for developing arrangements that
includes contingency plans and a task list for the recovery process to assure the governing body of its resilience in the face of potential interruptions.
12. The clinical commissioning group’s arrangements must ensure that they have
identified and agreed any support and services required from other parties – this information must be easily accessible and distributed to all personnel who have a specific part to play in a recovery.
13. The clinical commissioning group may decide the most appropriate format for their
business continuity planning. The templates and appendices provided within this paper detail NHS West Cheshire Clinical Commissioning Group’s business continuity arrangements:
• Template 1 Plan version control (page 2)
• Template 2 Form A - Assessment of Core Activities (page 8)
Form B - Business Impact Analysis (page 9) Form C - Risk Analysis (page 10) Form D - Prevention Measures (pages 11 – 13)
• Appendix A Classification of severity of a business continuity disruption
• Appendix B Risk analysis process and risk matrix
• Appendix C Key business continuity personnel contacts directory
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 10
• Appendix D Key resources and contractors contacts directory
• Appendix E ICT programmes to be restored as a priority
ICT Disaster Recovery Plan
14. In relation to any incident or situation resulting in a loss of IT Midlands and Lancashire Commissioning Support Unit ICT Services will develop an ICT Disaster Recovery Plan. The clinical commissioning group business continuity plan will identify those IT programmes on which its service is dependent to deliver its core activities.
Property Disaster Recovery Plan
26. In relation to any incident or situation resulting in denial of access to premises,
NHS England will develop a property disaster recovery plan. The clinical commissioning group business continuity plan will identify the type and location of any alternative premises they may confidently have access to. If there are no reasonable alternatives the property disaster recovery plan may be implemented.
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 11
BUSINESS CONTINUITY PLANNING ASSESSMENT OF SERVICE CORE ACTIVITIES
FORM A
Core Activity Commissioning of healthcare services (including Joint Commissioning) GP Locality Support Practice Member Services Financial Management Performance Management Contract Management Quality Improvement Patient and Public Engagement Programme/Project Delivery Transformational Change/Delivery
Is the Service a Statutory or Regulatory Requirement?
N/A
Resources required Staffing; IT; Premises; Budget Local and national ICT networks & support Local and national infrastructure/utilities
Accommodation required Standard Office Space
Essential equipment required Telephones (1829 Building network) PCs/laptops/iPads and ancillary equipment. Printer/Fax
Essential ICT Programmes Microsoft Office 2010 Packages including outlook (Email and Calendar systems) Telephony
How would you communicate with your staff?
By Mobile Phone; Landline; Email
Have you suggestions for alternative accommodation?
Any other suitable office space in the clinical commissioning group (West Cheshire) area
Can any of your staff work from home, have you considered implications?
Yes – the majority of staff can work from home given the nature of the functions performed.
Other comments
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 12
BUSINESS CONTINUITY PLANNING BUSINESS IMPACT ANALYSIS FORM B
List in order of priority the clinical commissioning group 3 main functions and the implications in the long and short term if they were disrupted. Where possible identify any significant cost implications.
Priority Service Impact / Implications (e.g. stakeholders / vulnerable groups)
1, to be restored within 0-24 hours
Contract Management Inability to respond to significant incidents, never events and other contractual breaches.
2, to be restored within 3 days
Clinical Leadership Inability to respond to the requirements of our clinical leaders.
3, to be restored within 14 days or more
Performance/Quality Management
Inability to take corrective action on any performance/quality deficits.
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 13
BUSINESS CONTINUITY PLANNING RISK ANALYSIS AGAINST 4 RISK SCENARIOS
PLEASE REFER TO RISK ANALYSIS PROCESS APPENDIX B FORM C
CORE ACTIVITIES DAMAGE/DENIAL OF ACCESS TO
PREMISES
LOSS/DAMAGE TO IT SYSTEMS - DATA
NON AVAILABILITY OF KEY STAFF
LOSS / DAMAGE TO OTHER
RESOURCES Priority Restored within 0 – 24 hours Risk Assessment Risk Assessment Risk Assessment Risk Assessment
1 Contract Management
Priority Restored within 3 days Risk Assessment Risk Assessment Risk Assessment Risk Assessment
2 Clinical Leadership
Priority Restored within 14 days or more Risk Assessment Risk Assessment Risk Assessment Risk Assessment
3 Performance/Quality Management
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 14
BUSINESS CONTINUITY PLANNING PREVENTION MEASURES
FORM D
Core Activity PRIORITY 1 – restored within
0 – 24 hours
Risk Analysis Score
Prevention Measures
Contract Management Damage/Denial of access to premises:- n/a
Loss/Damage to ICT systems/data:- Ensure we have remote access to key systems and data/documents.
Non availability of key staff Ensure cross cover arrangements are in place and robust.
Loss/damage to other resources n/a
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 15
Form D
Core Activity PRIORITY 2 - restored within
3 days
Risk Analysis Score
Prevention Measures
Clinical Leadership
Damage/Denial of access to premises:- n/a
Loss/Damage to ICT systems/data:- Ensuring contact database for clinical leaders is up to date and shared across Senior Management team.
Non availability of key staff Ensure cross cover arrangements are in place and robust.
Loss/damage to other resources n/a
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 16
Form D
Core Activity Priority 3 – restored within
14 days
Risk Analysis Score
Prevention Measures
Performance / Quality Management
Damage/Denial of access to premises:- n/a
Loss/Damage to ICT systems/data:- Ensure key performance information is up to date and available to access remotely and ensure key contacts are up to date and available to access remotely (CCG pocket action cards).
Non availability of key staff n/a
Loss/damage to other resources n/a
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 17
APPENDIX A CLASSIFICATION OF SEVERITY OF A BUSINESS CONTIINUITY DISRUPTION
A risk assessment based approach helps us to understand each of the risks faced, set them in priority order, act on them accordingly and evaluate their progress in achieving optimum preparedness.
In terms of grading the classifications of risk severity the following categories are applied.
GREEN Low risk Low
priority Manage situation by routine procedures
AMBER Medium risk
Medium priority
Management responsibility and action must be specified
RED (including any catastrophic event)
High risk High priority
Immediate action – Senior Management attention required. Senior Management to consider informing the Board.
Risks graded Red must be discussed with the responsible, or on-call director in case this should activate the E P R R Plan. Any incidents graded Red would need to be reported via the clinical commissioning group incident reporting system.
Risks graded Amber should be considered in the Service / clinical commissioning group business continuity plan. Any incidents graded Amber would also need to be reported via the clinical commissioning group c luster incident reporting system.
Risks graded Green would not need to be included in the Service/clinical commissioning g roup business c ontinuity Plan.
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 18
APPENDIX B
BUSINESS CONTINUITY PLANNING THE RISK ANALYSIS PROCESS
In business continuity management there are FOUR risk scenarios that require assessment:
• Damage or denial of access to premises – e.g. industrial action / fire / flooding/siege
• Loss or damage to IT systems / voice networks / hardware / software / data – e.g. power supplies / virus
• Non-availability of key staff – e.g. pandemic flu, industrial action, transport issues
• Loss or damage to other resources – e.g. fuel/power
The level of risk for each of these scenarios is a function of the LIKELIHOOD that an adverse event will occur, and the SEVERITY on stakeholders if the event actually occurs.
RISK = Likelihood (L) x Severity (S)
e.g. (L 1 x S 2 = 2), (L 2 X S 2 = 4), ( L 3 x S 3 = 9)
Score 1-2 Score 3 - 4 Score 6 - 9
SEE RISK MATRIX BELOW
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 19
APPENDIX B
The Risk Matrix
RISK CRITERIA FOR LIKELIHOOD / PROBABILITY
FACTOR SCORE THREATS – DESCRIPTION
INDICATORS
Very likely `
3 More than 75% chance of occurrence
Regular occurrence Circumstances frequently encountered – daily / weekly / monthly
Likely 2 40% - 74% chance of occurrence
Likely to happen at some point within the next 1-2 years Circumstances occasionally encountered (few times a year)
Unlikely 1 0% - 40% chance of occurrence
Only likely to happen no more than once in 3 years
RISK CRITERIA FOR SEVERITY/IMPACT
FACTOR SCORE INDICATORS
Major 0 – 24 hrs
3 Complete loss of Core Activity which could lead to fatalities, vulnerable people being without essential services.
Serious 24 hrs-3 days
2 Complete loss of Core Activity, no loss of life, which could lead to the immediate 0-24 hr response being unsupported (e.g. staff welfare).
Minor 3 - 14 days or more
1 Complete loss of Core Activity, non life threatening, but if not resumed within timescale impacts on partner agencies businesses, e.g. payment of invoices, effect on non-crucial areas (e.g. policy).
LIKELIHOOD
Very Likely 3 6 9
Likely 2 4 6
Unlikely 1 2 3
SEVERITY
Minor
Serious
Major
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 20
APPENDIX C
KEY BUSINESS CONTINUITY PERSONNEL - CONTACTS DIRECTORY
Name Job Title Service Business Continuity Role Office Tel Mobile Tel
Alison Lee Chief Executive Officer
CCG Lead Officer 01244 650364 07967 802840
Clare Dooley Head of Governance
CCG Business Continuity Administration Lead
01244 650318 07984 451715
Gareth James Chief Finance Officer
CCG Director of Service/ Line Manager to Staff
01244 650572 07751 398223
Lee Hawksworth Director of Operations
CCG Director of Service/ Line Manager to Staff
01244 650572 07825 256587
Laura Marsh Director of Commissioning Delivery
CCG Director of Service/ Line Manager to Staff
01244 650397 07751 072377
Paula Wedd Director of Quality and Safeguarding
CCG Head of Service/ Line Manager to Staff
01244 650504 07788 415734
Dr Huw Charles- Jones
GP Chair CCG Chair of CCG 01244 650364 07941 393315
Dr Andy McAlavey Medical Director CCG Clinical Leadership 01244 650364 07760 102145
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 21
APPENDIX D
KEY RESOURCES AND CONTRACTORS - CONTACTS DIRECTORY
Resource Resource Provider Hours/Days of Business
Telephone Fax Emergency Contact Tel
NHS England NHS Cheshire and Merseyside
24 HR 01772 867 640 – ask for NHS Gold Commander
n/a n/a
Neighbouring CCG South Cheshire Clinical Commissioning Group
24HR 0845 124 9871 n/a n/a
Neighbouring CCG Vale Royal Clinical Commissioning Group
24 HR 0845 124 9871 n/a n/a
Neighbouring CCG Wirral Clinical Commissioning Group
24 HR 0151 651 3914 ext 1011 (in hours) 0151 678 5111 (out of hours) – ask for the CCG on call manager
n/a n/a
Acute Hospital Provider Countess of Chester Hospital NHS Foundation Trust
24 HR 01244 365000 – ask for 1) CoCH On-call manager or 2) Director on-call
n/a n/a
Acute Hospital Provider Wirral Teaching Hospital NHS Foundation Trust
24 HR 0151 678 5111 – ask for Director/Manager on-call
n/a n/a
Acute Hospital Provider Mid Cheshire Hospitals NHS Foundation Trust
24 HR 01270 255141 – ask for 1) senior manager on-call or 2) Director on-call
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 22
APPENDIX D
KEY RESOURCES AND CONTRACTORS - CONTACTS DIRECTORY
Mental Health Provider Cheshire and Wirral Partnership NHS Foundation Trust
24 HR 01244 397397 (in hours) 01244 365000 (out of hours) – ask for CWP Director on 0n-call
n/a n/a
Community Services Cheshire and Wirral Partnership NHS Foundation Trust
24 HR 01244 397397 (in hours) 01244 365000 (out of hours) – ask for CWP 3rd
tier on-call Director
n/a n/a
GP Out of Hours GP Out of Hours 24 HR Admin Team – 01244 385111 OOH Number – 01244 385300
n/a n/a
Urgent Care Centre Partners for Health - 07703 582680 (John Hodgson / Linda Hodgson)
n/a n/a
Estates NHS PropCo 24 HR 01244 397724 (in hours) 01244 365000 (out of hours) – ask for Estate Manager on-call
n/a n/a
Ambulance Services North West Ambulance Service NHS Trust
24 HR 0151 260 5220 – ask for Duty Control Manager
n/a n/a
Local Authority Cheshire W est and Chester Council (Civil Protection Unit)
24 HR 0845 124 9830 n/a n/a
Business Continuity Planning NHS West Cheshire Clinical Commissioning Group October 2016 23
APPENDIX E
ICT PROGRMMES TO BE RESTORED AS A PRIORITY
Priority Application Resource Provider Hours/Days of Business
Office Tel Fax Emergency Contact Tel
Telephony Midlands and Lancashire ICT
Monday to Friday 0844 800 9982 0844 800 9982
Microsoft Office Suite Midlands and Lancashire ICT
8:30 am to 5pm except BH
0844 800 9982 0844 800 9982
Remote Access Midlands and Lancashire ICT
8:30 am to 5pm except BH
0844 800 9982 0844 800 9982
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