Department of Deep Sea Studies (Fictitious Dept.)gato-docs.its.txstate.edu/jcr:e227b76a-5ca0-4f6e... · Critical 3: pause if forced, but must resume in 30 days or sooner Deferrable:

Department of Deep Sea Studies (Fictitious Dept.)CONTINUITY PLAN

Created: 04/02/2009 Last modified: 04/23/2009

This document has been producedusing the UC Ready on-line planningtool, and is stored in the UC Readydatabase. To update this document,use the UC Ready tool.

What is a continuity plan?

Continuity planning addresses the question: how can we prepare to continue operations despite those adverseevents that we call disasters - or if we can't continue, how can we resume our operations rapidly and gracefully?

The mission of the University of California is teaching, research, public service, and patient care. These fourenterprises, along with the infrastructure that supports them, are the focus of our continuity planning

Your departmental continuity plan:

Identifies your department's critical functionsDescribes how you might carry on these functions under conditions of diminished resources (diminished staff,space, equipment, or IT infrastructure)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."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.

Page 1 See list of Action Items in Section VI.

UC Berkeley Continuity Plan for Department of Deep Sea Studies (Fictitious Dept.)

Department of Deep Sea Studies (Fictitious Dept.)CONTINUITY PLAN

Listed below are the major sections of a Continuity Plan. Your department may choose to include or exclude certain sections.Hence it is possible that one or more of these sections may not appear in this plan document.

Table of Contents

I. GENERAL INFORMATION

II. CRITICAL FUNCTIONS (order not necessarily significant) #1 Instruction (undergraduate & graduate) #2 Research #3 Payroll #4 Purchasing #5 Donor relations #6 Publish the quarterly Deep Sea Journal #7 Education cruises for public in off-season.

III. INFORMATION TECHNOLOGY

Part 1: Centrally-Owned Applications Part 2: Departmentally-Owned Applications Part 3: Departmentally-Owned Servers Part 4: Workstations Part 5: Recovery Strategies for IT Part 6: Action Items

IV. FACULTY PREPAREDNESS

V. KEY RESOURCES Part 1: Staff of Our Unit Part 2: Work from Home Part 3: Teams (optional) Part 4: Skills (optional) Part 5: Staffing Requirements (optional) Part 6: Staff of Other Units Part 7: Stakeholders Part 8: Equipment & Supplies Part 9: Facilities & Transportation

VI. ACTION ITEMS

Appendix A: LIST OF KEY DOCUMENTS



I. GENERAL INFORMATION

Department Department of Deep Sea Studies (Fictitious Dept.)

Parent division College of Natural Resources

Type of unit ResearchInstruction

Personnel count 17 Faculty & other academic appointees0 Residents/Fellows10 Staff (full-time)2 Staff (part-time, excl. student-staff)16 Student-staff0 Volunteers0 Guests18 Other

Head Jack Muller Department Chair

Primary Contact for this plan Tom Holdford

Secondary Contact for this plan Louise Lang

Cost Center N.A.

Buildings Pier 34 Not Owned Berthing facilities for research ship MV California at Oakland Pier34. Higgins Hall Owned Offices & labs

Evacuation plans for all buildings? Yes

Comment "Other" staff is the crew of of the research vessel MV California - 5 FTE plus 13 seasonalemployees.

Critical functions Instruction (undergraduate & graduate) --Critical 3 1.Research --Critical 2 2.Payroll --Critical 2 3.Purchasing --Critical 2 4.Donor relations --Critical 3 5.Publish the quarterly Deep Sea Journal --Deferrable 6.Education cruises for public in off-season. --Deferrable 7.

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

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II. CRITICAL FUNCTIONS

Critical Function #1Name Instruction (undergraduate & graduate)

Description Undergraduate & graduate instruction, including staff support fo faculty.

Who Performs this? N. A.

Responsibleperson(s)

Faculty instructors Graduate student instructors

Peak Periods Jan Aug

Comment start of semesters

Documents See Document List (Appendix 1)

Upstreamdependencies

Financial Aid OfficeGraduate Division OfficeRegistrar's Office (course & classroom scheduling)Facilities ManagementMedia Services (classroom electronics)Campus Bookstore (textbooks)

Downstreamdependencies

Students

Possibleconsequences if thisfunction is notcontinued orrecovered quicklyenough

Disruption of teaching more than 2 weeks with no teaching is hard to recover from

Loss of revenue lost tuition if students leave

How to cope if usualspace is not available

-- We will depend on the Campus to handle space issues. -- In the event that sufficient classroomspace is not available, the Chair has provided the Registrar (in advance of each semester) aprioritization of courses for post-disaster recovery. Courses of lower priority for which classroom spaceis not available either will be held at an informal location chosen by the Faculty Instructor or will becancelled.

How to cope with50% absenteeism ofstaff and faculty

-- Staff: We would prioritize staff work and share tasks among those who are at work. We would needto cross-train in advance for this to succeed. -- Faculty: We could tap graduate student instructors to fillin for absent faculty. Temporary lecturers might also be obtained from the SF Maritime Institute. Thechair's list of potential faculty recruits could also be a source of names.

What to do if certainskills/knowledge areheld by only onestaff member(unique skills)?

See above.

Can this function beperformed fully orpartly from home?

-- Staff can work from home if their computers are adequate & if they have broadband connections(cable, DSL). Some staff currently work from home. We use Windows Remote Desktop. -- Some facultycould work from home using podcast technology. Most could not.

How to cope if datanetwork is notavailable

Classes could be held in the absence of computer networks for about one month, but would require thenetworks to function after that time. If the interruption occurs partway through a semester, the impact ofnon-functioning networks would be greater.

Any show-stoppers? -- Faculty. -- Most graduate student instructors.

If University Yes

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If Universitydeclares temporaryclosure, is it possibleto stop doing thisfunction?

Yes

Comment? Exception is if the MV California is at sea.

Do any of thesecoping strategiesexpose theUniversity to risk?

Primary risk is that students would be unable to take desired courses.

Policy exceptionsthat may be needed

Changes in curriculum & academic calendar. Need approval by Dean, Provost, and Academic Senate.

Additionalvulnerabilities

None that we can think of.

Action items for thisfunction

See Action Item List - section VI



Critical Function #2Name Research

Description Faculty research & graduate student research, including staff support.

Who Performs this? N.A.

Responsible person(s) Faculty

Peak Periods Apr May Nov Dec

Comment Peak periods are typically connected with the fall & spring research expeditions of the MV California.



Sponsored Projects OfficeCampus LibrariesFacilities ManagementCampus IT networks


Graduate StudentsFaculty


Disruption of research

Well-being of faculty/staff

Well-being of students

Loss of revenue possible loss of grant funding

Impact on important business partner(s) We have several corporate business research partners


-- We will depend on Campus to handle space issues. -- In the event that the usual space for faculty& students is not available, faculty & grad students will be encouraged & assisted to work from home(see below).

How to cope with 50%absenteeism of staffand faculty

Affected research projects might have to delay their schedules. Substitutes are generally not feasiblefor faculity & grad students engaged in research.

What to do if certainskills/knowledge areheld by only one staffmember (unique skills)?

See Staff section above. Research skills are not easily replaced.


-- Faculty, staff, and students can work from home if their computers are adequate & if they havebroadband connections (cable, DSL). Some staff currently work from home. We use WindowsRemote Desktop. -- Support from our IT staff would be necessary to iron out problems.

How to cope if datanetwork is not available

Faculty could conduct their research projects in whatever fashion possible. It is anticipated thatindividuals faculty and graduate students would devise their own best (temporary) solutions.

Any show-stoppers? Computer networks and libraries (if unavailable for an extended period).

If University declarestemporary closure, is itpossible to stop doingthis function?

Yes

Comment? -- Professors would typically continue their research in any fashion possible. Few faculty would seethemselves as "shut down." -- If MV California is at sea, preferred strategy might be to not shut downthat research expedition, unless the flu appeared aboard.

Do any of thesecoping strategiesexpose the Universityto risk?

If research projects are unable to continue for any extended periods of time, funding could bethreatened by lack-of-performance. To control this risk, communication with granting agencies shouldbe established ASAP after the crisis hits.

Policy exceptions that Granting agencies might be asked to alter/waive conditions of grants to allow recovery periods.



Policy exceptions thatmay be needed

Granting agencies might be asked to alter/waive conditions of grants to allow recovery periods.


None.





Critical Function #3Name Payroll

Description Processing of payroll information for all departmental personnel (campus has central payroll system towhich departmental payroll assistant submits information).

Who Performs this? Departmental Business Office


Mary Jones, Chief of Staff Harry Chan, Payroll Assistant

Peak Periods

Comment No peak periods. Load is somewhat lighter in summer due to fewer student employees.



Central Computing Division


Central Payroll OfficeAll faculty & staff

Possibleconsequences ifthis function is notcontinued orrecovered quicklyenough

Disruption of teaching


Departure of faculty

Departure of staff

Departure of students


Well-being of students student employees might not get paid

Payment deadlines unmet

Legal obligations unmet

How to cope if usualspace is notavailable

-- We will depend on the Campus to handle space issues. -- If Campus does not quickly providealternative space, Chief of Staff will arrange alternative location for payroll assistant to work(telecommute if possible). -- In the event that departmental payroll processing cannot be done in atimely fashion, campus Central Payroll has committed to re-issuing the former period's payroll checks toall personnel (then making corrections later).

How to cope with50% absenteeismof staff and faculty

At present, the payroll assistant, Harry Chan, is the only person trained in payroll issues. Two other staffwill be cross-trained (see action item later).


See commentary about cross-training above.


-- Staff, and students can work from home if their computers are adequate & if they have broadbandconnections (cable, DSL). Some staff currently work from home. We use Windows Remote Desktop. --Support from our IT staff would be necessary to iron out problems


If computer networks are not available, Central Payroll has committed to furnish (paper) data-gatheringforms to all departments for manual submission of payroll data.

Any show-stoppers? No

If University No



If Universitydeclares temporaryclosure, is itpossible to stopdoing this function?

No

Comment? We would have to ensure that paychecks keep flowing. Work-from-home by our payroll assistant or hisbackup would help and Central Payroll would have to be functioning well enough to issue checks.


Risk of delayed paychecks. Central Payroll states that the worst case would be a 2-week delay.


No policy exceptions at department level. Central Payroll will obtain any needed exceptions at its level.


-- Failure of Central Payroll -- Prolonged absence of both payroll assistant and backup substitutes





Critical Function #4Name Purchasing

Description Procuring all departmental supplies & equipment. Department purchasing assistant uses one of threeprocesses to make a purchase: -- Campus purchasing card (BluCard) -- Purchase Order created by purchasing assistant within Berkeley Financial System (BFS) -- Purchase Requisition created by purchasing assistant within BFS as a request to Central Purchasing.

Who Performs this? Department Business Office


Mary Jones, Chief of Staff George Rudzinski, Purchasing Assistant

Peak Periods May Jun

Comment End of year fiscal closing.



Central Computing DivisionCentral Purchasing Office


Faculty & staffResearch projects


Disruption of teaching



Payment deadlines unmet Inability to pay vendors.

Legal obligations unmet Inability to pay vendors.

Impact on important business partner(s) Inability to pay vendors.


-- We will depend on the Campus to handle space issues. -- If Campus does not quickly providealternative space, Chief of Staff will arrange alternative location for purchasing assistant to work(telecommute if possible).


-- At present, the purchasing assistant, George Rudzinski, is the only person trained in purchasingissues. Two other staff will be cross-trained (see action item later). -- At present, only George has aBluCard (a BluCard is assigned only to an individual). An additional BluCard should be obtained for oneof the cross-trained staff members, plus one card for the Chief of Staff.


See commentary about cross-training above.


-- Staff, and students can work from home if their computers are adequate & if they have broadbandconnections (cable, DSL). Some staff currently work from home. We use Windows Remote Desktop. --Support from our IT staff would be necessary to iron out problems


Use BluCards for purchases until networks are re-established. Will require increased upper limits onBluCards (see action item).

Any show-stoppers? Phone for Purchasing Assistant.

If University declarestemporary closure, isit possible to stopdoing this function?

Yes

Comment? It is possible, but could seriously hinder research. Better alternative would be to have purchasing



Comment? It is possible, but could seriously hinder research. Better alternative would be to have purchasingassistant work from home.


Risk of BluCard abuse if upper limit is raised. Control this by requiring Chief of Staff to authorizepurchases in advance if possible.


Raise limit on BluCards. Lift restricted-item rules on BluCards. These exceptions need approval byController and by Central Procurement.


No





Critical Function #5Name Donor relations

Description Over the past decade, the Department of Deep Sea Studies has benefited significantly from theinterest shown by two donors. Both benefactors (an individual and a family foundation) continue toexpress active interest in Departmental affairs, and in continuing their financial support. It is importantto keep them informed and engaged in departmental activities.

Who Performs this? Chair's Office.


Neil Jefferson, Chair

Peak Periods Jun Jul Aug Sep

Comment Summer is the time we take out donors for a full day of sailing including lunch aboard.



Central Computing (networks)


Department of Deep Sea Studies (financial impact)


Loss of revenue Benefactors are very important stakeholders.


Not an issue.


If Chair cannot maintain communication with donors, he will assign a senior faculty member to do so.


Not an issue.


Yes. Telephone or email is sufficient.


Telephone.

Any show-stoppers? No

If University declarestemporary closure, isit possible to stopdoing this function?

No

Comment? There would be no reason to cease contact with donors.


No


None

Additional No




No





III. INFORMATION TECHNOLOGY

Part 1: Centrally-Owned Applications that are Critical for our Unit:

Application or System CriticalityLevel Comment

Berkeley Financial System (BFS) Critical 3

Campus Deposit System (CDS) Deferrable Our dept has daily cash & check receipts that must be processed. Paperworkaround is possible.

Campus Enrollment System(CES) Critical 3 There may be a paper workaround for this.

Human Resources MgmtSystem (HRMS) Critical 2 Enterprise HR system. Necessary for payroll processing & employment

actions.

Definitions:Centrally-owned applications are those whose technical owner is Central IT. The functional owner could be any department.

Critical 1: Cannot pause. Necessary to life, health, security.Critical 2: Failure will lead to imminent + very serious consequences.Critical 3: Can endure a pause, but ONLY for a short time. Must be recovered sooner than 30 days.Deferrable: Important, but we can function without this system for more than 30 days.




III. INFORMATION TECHNOLOGY (cont.)

Part 2: Departmentally-Owned Applications that are Critical for our UnitDefinitions:

Departmentally-owned applications are those whose technical owner is our department or another department (but notcentral IT).

Application #1

Name of application or system Departmental Student & Roster & Database

Functional owner Dept of Deep Sea Studies

Technical Owner Dept of Deep Sea Studies

Type Desktop

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

our own department

Technical expert(s) Sally Robertson

Responsible for recovery Sally Robertson

Onsite storage Campus Data Center

Offsite storage Iron Mountain, Sacramento

Frequency of offsite storage Weekly

Location of installation disks &documentation

Higgins 372

Successful recovery been done? Yes

Comment Backed up to network server that is co-located in Campus Data Center.




Application #2

Name of application or system Departmental Faculty Roster & Database



Type Desktop


Backup media Disk




No


Depts that will be impacted by failureof this application

our own department

Technical expert(s) Sally Robertson

Responsible for recovery Sally Robertson

Onsite storage




Higgins 372


Comment Backed up to network server that is co-located in Campus Data Center.



Application #3

Name of application or system Departmental BluCard Log



Type Desktop


Backup media Disk




No


Depts that will be impacted byfailure of this application

our own department

Technical expert(s) Jake McGee

Responsible for recovery Jake McGee





Higgins 372


Comment This is simply an Excel file, manually updated. Nightly backup to Campus Data Center viaUC Backup.



Application #4

Name of application orsystem

SeaMapper


Technical Owner Dept of Deen Sea Studies

Type Client-Server Application


Backup media Disk



Move data to or from corecampus systems?

No

If so, what campussystems?

Depts that will be impactedby failure of this application

US Coast Guard, US Navy National Oceanic & Atmospheric Agency (NOAA)

Technical expert(s) Helen Jamieson

Responsible for recovery Helen Jamieson




Location of installation disks& documentation

Higgins 372

Successful recovery beendone?

Yes

Comment This is a seafloor mapping application used by our department as well as by our governmentpartners. Major source of funding for departmental projects.




Part 3: Departmentally-Owned Servers

Server #1

Name of server (or group of servers) Trident

Server Type File server

Explanation dept file server


Backup media Local backup server


Applications that will be impacted byfailure of this server

All dept operations will be impacted.

Departments that will be impacted byfailure of this server

our own dept

Server software Windows Server 2003

Technical expert(s) James Nguyen

Responsible for recovery James Nguyen

Onsite storage Higgins 372




Higgins 372

Successful recovery of this serverbeen done?

Partial

Comment Backup is to Campus Data Center via UC Backup




Server #2

Name of server (or group of servers) Neptune

Server Type Web server

Explanation Runs faculty and dept websites plus various applications used in courses.


Backup media Local backup server



Failure will have significant impact on undergraduate coursework.


our own dept

Server software Windows Server 2003







Higgins 372


Yes

Comment Backup to Campus Data Center



Server #3

Name of server (or group of servers) Poseiden

Server Type Application server

Explanation student web sites


Backup media Local tape



student websites


our own deptartment

Server software Windows Server 2003 SQL Server 2003

Technical expert(s) Carol Brown

Responsible for recovery Carol Brown

Onsite storage Higgins 258

Offsite storage None

Frequency of offsite storage No offsite storage


Higgins 372


No

Comment Backup is to local tape. Considered to be non-critical server.



Server #4

Name of server (or group ofservers)

Charybdis

Server Type Application server

Explanation Runs critical seafloor mapping application used by government partners.


Backup media Local tape


Applications that will be impactedby failure of this server

SeaMapper

Departments that will be impactedby failure of this server

our own department US Coast Guard US Navy NOAA several other universities

Server software Apache/Unix



Onsite storage Onsite backup server in Higgins 377




Higgins 372


Yes

Comment Dual backup - onsite backup server in Higgins 377 plus co-located server in CampusData Center.




Part 4: Workstations

A. Workstation Backup

Backup Method Percent of Workstations Usingthis Backup Method Comment

Files are stored on dept. server,which gets backed up. 95%

Automated backup by central IT(via network) 95% Departmental backup server is itself backed up

nightly to Campus Data CenterLocal backup of workstation byuser (automatic) 0%

Local backup of workstation byuser (manual) 5% Two professors handle their own backup.

Don't Know 5% One professor on sabbatical - will check on herreturn.

B. Workstation Support

Workstation Support is provided by... CommentTechnicians employed by dept Dept of Deep Sea Studies, IT Support GroupExternal vendor DataReal Corp is used occasionally when dept IT staff are overloaded.





Part 5: Recovery Strategies for ITWhere to purchasehardware

If campus Procurement Dept is functioning, purchase through them to get campus special pricing.If not, buy direct from manufacturer via web or phone. (Dell, HP, & Apple are the 3 principalvendors for desktop equipment. Ask for higher education pricing.)

If workstations, servers,etc. need to be rebuilt atnew location, where cantechnicians locate thesoftware &documentation?

Higgins 372

Environmentalrequirements forhardware

air conditioning for server room

Will your IT staff besufficient to the task?

Our IT Support Group has 5 programmer/analysts plus manager. If entire Deep Sea Studies Depthad to relocate to new quarters, could take 1-2 weeks to rebuild all desktops & servers (after newhardware arrives). Worse if any IT team member is not here. Possible solutions: outsidevendor/temporary hire/borrow staff from other dept or other sister campus.

Other obstacles -- Inability to purchase new hardware quickly. -- Inability to obtain additional IT support -- NeedCentral IT to re-establish central campus networks & applications.

How your IT staff willassist faculty & staff towork from home

This depends on what level of support the Dept wants us to offer. To offer full support to allfaculty/staff would require travelling to some of their homes to troubleshoot problems (in violationof contagion-avoidance policy!). Phone support is more do-able. Best strategy would be to set upkey users NOW and encourage some telecommuting to keep the work-from-home arrangementsworking. That way we enter the crisis with a working system.

IT applications for whichthere is no workaround

Lack of the SeaMapper application would bring certain research projects to a halt.

Part 6: Action Items for ITSee Action Item List (Section VI)




IV. FACULTY PREPAREDNESS

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

Request faculty committee to develop strategy for securestorage of non-electronic research materials.

This has been assigned to the Research FacilitiesCommittee who have been asked to report back by end ofthe Fall Semester.

Collaborate with other campus units to develop & keep acurrent listing of refrigerators & freezers for alternate storageof research perishables.

This is being coordinated by the Dean's Office.

Systematize the documentation of lab contents for purposesof replacement & reimbursement.

Coordinate with the campus Emergency ManagementOffice. This needs a campus-wide solution.

Increase the number of Department courses that are"course-casted" & archived. The use of archived courses(audio, video, plus allied course materials) could enableinstruction to continue during a period of crisis.

Currently only Marine Biology 101 and PhysicalOceanography 312 are course-casted.

Plan for a workaround in the event that that the studentcomputer lab (Higgins 419) is not in service.

This lab offers a number of very important course-relatedapplications that are not available on the web. Lack of thislab would be a serious impediment to both undergrad &graduate coursework & research.




V. KEY RESOURCES

Part 1: Staff BasicsDoes your unit have a (printed)emergency contact list for faculty& staff?

Yes

Who holds copies of theemergency contact list? (bespecific)

all central office staff

Who updates the emergencycontact list?

Alicia Torres

Who knows how to checkmessages on your department'smain phone line?

Jared Chan

Who knows how to record agreeting on your department'smain phone line?

Jared Chan

Who can post messages on yourdepartment's web site (i.e., do theactual mechanics)?

Jane Gallegos

Do your staff use any sharedpasswords that should be keptavailable?

No

Comment

Key People in Your Unit:Name Harry ChanTitle or function Payroll AssistantSpecial skill Knows most business functionsSpecial roleComment

Name Jerry SanchezTitle or function IT ManagerSpecial skill Main contact with Central Computing.Special roleComment

Name Jorge EscobarTitle or function Admin SpecialistSpecial skill Payroll backup; web skillsSpecial roleComment

Name Josephine CastenedaTitle or function ChairSpecial skill former provostSpecial role Holds formal delegation(s) of authority Comment Prof. Castaneda holds the typical delegations of authority that are given to Chairs.




Name Mary JonesTitle or function Chief of StaffSpecial skillSpecial role Second Leadership Sucessor, Comment

Name Susan ChangTitle or function ProfessorSpecial skill senior faculty memberSpecial role First Leadership Sucessor, Comment Prof. Chang is a former Chair and could step in if the Chair is absent.



V. KEY RESOURCES (cont.)

Part 2: Work from HomeThe capabilities of some faculty & staff to connect from home are listed below.

Name Gwen SmithPosition Faculty Home broadband connection Yes Currently does connect from home Yes Must office computer be running? No Comment

Name Kerry RodriguezPosition Staff Home broadband connection No Currently does connect from home Yes Must office computer be running? No Comment uses dial-up -- very slow connection, does email only

Name Mary JonesPosition Staff Home broadband connection Yes Currently does connect from home Yes Must office computer be running? No Comment Chief of Staff - uses VPN connection from home

Name Stephen RodriquezPosition Staff Home broadband connection Yes Currently does connect from home Yes Must office computer be running? Yes Comment uses Windows Remote Desktop to connect from home

Name Thomas CummingsPosition Faculty Home broadband connection Yes Currently does connect from home Yes Must office computer be running? Don't know Comment





Part 3: TeamsThese are important teams on which departmental faculty and/or staff participate. Only the team members from OURdepartment are shown.

Team Name Vessel Management CommitteePurpose Oversees scheduling, maintenance, permits, and other issues related to the M.V.

California.Members James Davidson

Joyce AlvaradoWinifred ChangKevin Hannity

Comment Meets once per month, more often when necessary. Carolyn Jones acts ascommittee staff.

Team Name Student Scheduling CommitteePurpose Schedules all field work for undergraduates. Has responsibility for coordinating

student educational needs with departmental research needs.Members Roberta Delacorte

Theresa JacintoPete Goldstein

Comment This committee is vital to both instruction and research. It makes all student-crewassignments for cruises of the MV California, and ensures that research projectsobtain student help when needed. Hank Fogleston is staff to this Committee.

Team NamePurposeMembersComment





Part 4: SkillsSkills that may be needed post-disaster to perform our unit´s critical functions:

Skill Description Comment

Oceanographicresearch technician

No certification in this field, but mustbe experienced in handling of marinebiological specimens as well aselectronic gear.

Certain ongoing research projects demand regular attentionby a trained technician. Inability to provide that attentioncould devastate some projects. Some of this work requiressmall-boat-handling skills.

Ship's Officer Maritime License Class 4 or 5 Must have a legally-certified officer assigned to the MVCalifornia at all times.





Part 5: Staffing RequirementsThis 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

Definitions:Critical 1: Must continue at normal or increased service load.Critical 2: Must continue if at all possible, perhaps in a reduced mode.Critical 3: May pause if forced to do so, but must resume in 30 days or sooner.Deferrable: May pause; resume when conditions permit.

PLEASE NOTE: THIS PAGE IS OPTIONAL AND IS CURRENTLY NOT BEINGUSED.





Part 6: Staff of Other UnitsThese are staff of other units whom you may need to contact:

Name Steve Brown Department/Org Central ComputingAddress 318 Banway Bldg.Work phone 510.123.4567Cell phone 510.987.6543Fax 510.660.4556Email [email protected] expert on student database

Name Sara Cheung Department/Org College Natural ResourcesAddress 206 Cameron HallWork phone 510.345.6789Cell phone 510.123.4567Fax 510.777.7777Email [email protected] HR Manager for the College





Part 7: StakeholdersThese are stakeholders whom you may need to contact:

Type of StakeholderName Chu, Teresa DonorDepartment/Org Acme Holdings, Inc.Address 45 Holden Way Redlands, CA 34278Work phone 475.454.8888Cell phone 475.123.4567Fax 475.123.4567Email [email protected]/ServicesAlternate VendorsComment Ms. Chu is a significant long-term benefactor of the Dept.

Type of StakeholderName Baradel, Joan Project partnerDepartment/Org California State UniversityAddress 123 Smith Road San Francisco, CA 12345Work phone 415.666.7777Cell phoneFaxEmail [email protected]/Services Partner in several ongoing research projectsAlternate VendorsComment

Type of StakeholderName Nguyen, Henry DonorDepartment/Org Nguyen Securities, Inc.Address 34 Wall Street NY, NY 10047Work phone 212.123.4587Cell phone 212.563.9876Fax 212.563.9876Email [email protected]/ServicesAlternate VendorsComment graduate and benefactor of Dept of Deep Sea Studies

Type of StakeholderName Sanford, Raymond SponsorDepartment/Org The Undersea FoundationAddress 123 Mission Blvd San Francisco, CA 12345Work phone 415.444.5555Cell phoneFaxEmail [email protected]




Products/Services grantor for several projectsAlternate VendorsComment

Type of StakeholderName Rodriquez, Tomas VendorDepartment/Org WaterSoft, Inc.Address 42 Yardley Terrace Atlanta, GAWork phone 431.567.1234Cell phone 431.849.9876Fax 431.849.9876Email [email protected]/Services Vendor of specialized oceanographic software. Also has office in Toronto, Canada.Alternate Vendors None. No easy substitute. Unique product. Industry leader.Comment

Type of StakeholderName Shabazz, Stephanie VendorDepartment/Org XeroxAddress 672 Broadway Oakland, CAWork phone 510.123.4567Cell phoneFaxEmail [email protected]/Services Maintenance and repairs of Xerox copiersAlternate Vendors Yes - GTP Office Services, Albany, CAComment Campus agreement guarantees 24-hour repair or 72-hour replacement of equipment.




Part 8: Equipment & SuppliesMinimum equipment needed to carry out all critical functions:

A. Office Equipment

Minimum Number Comment

Workstation (includes desktopcomputer, network connection, table,chair)

27 One for each FTE including faculty.

Laptop computer (car chargeradvised)

16 For key staff only. Faculty have their own.

Telephone (hard-wired) 27

Printer 4 3 for Higgins Hall, plus 1 for Rogers Hall.

Fax 1

Copier 1

Scanner 0

Server 6 See Tom Callaway for details on server needs.

B. Other Equipment

(major items only) There is much equipment associated with the vessel MV California. The ship's captain is thecustodian of this list.

C. Supplies

Necessary Consumables Mainly office supplies. We keep a 2-week inventory but plan to increase that to 6-weeks.

Inventory or StockpilingConsiderations

Yes, see above.





Part 9: Facilities & TransportationFacilities (special needsbeyond office-classroom labneeds)

Loading dock for bulky/heavy equipment related to our ocean research expeditions.

Utilities (very important tothe functioning of thedepartment)

Utility Name Comment

Electricity Dockside side electricity has frequent outages -- need to monitorthis because of 2 potential adverse impacts -- (1) onboard experiments (2) lack of shoreside power could delay preparations for expeditions.

Air conditioning For Higgins Hall server room.

Vacuum For student labs.

Transportation (specialtransportation needs)

Departmental pickup truck is needed to prepare the research ship, MV California, for expeditions.

Other Resources None.




VI. ACTION ITEM LIST

Action Item #1 Collaborate with other campus units to develop & keep a current listing ofrefrigerators & freezers for alternate storage of research perishables.

Supports this critical function Faculty Preparedness Estimated costCost one-time or annual?Within whose scopeComment This is being coordinated by the Dean's Office.Status

Action Item #2 Increase the number of Department courses that are "course-casted" &archived. The use of archived courses (audio, video, plus allied coursematerials) could enable instruction to continue during a period of crisis.

Supports this critical function Faculty Preparedness Estimated costCost one-time or annual?Within whose scopeComment Currently only Marine Biology 101 and Physical Oceanography 312 are

course-casted.Status

Action Item #3 Plan for a workaround in the event that that the student computer lab (Higgins419) is not in service.

Supports this critical function Faculty Preparedness Estimated costCost one-time or annual?Within whose scopeComment This lab offers a number of very important course-related applications that are not

available on the web. Lack of this lab would be a serious impediment to bothundergrad & graduate coursework & research.

Status

Action Item #4 Request faculty committee to develop strategy for secure storage ofnon-electronic research materials.

Supports this critical function Faculty Preparedness Estimated cost Don't know Cost one-time or annual? Both one-time and annual Within whose scope my unit itselfComment This has been assigned to the Research Facilities Committee who have been asked

to report back by end of the Fall Semester.Status In progress

Action Item #5 Systematize the documentation of lab contents for purposes of replacement &reimbursement.

Supports this critical function Faculty Preparedness Estimated costCost one-time or annual?Within whose scopeComment Coordinate with the campus Emergency Management Office. This needs a

campus-wide solution.

To edit this plan section, use theAction Item Summary tab of theUC Ready web tool.



Status

Action Item #6 Do periodic trial recoveries of servers/applications.Supports this critical function Information Technology Estimated cost $1,000 - $10,000 Cost one-time or annual? Annual Within whose scope my unit together with other units on campusCommentStatus In progress

Action Item #7 Have department IT Manager discuss work-from-home issues at facultymeeting.

Supports this critical function Information Technology Estimated cost less than $100 Cost one-time or annual? One-time Within whose scope my unit itselfCommentStatus Completed

Action Item #8 Make mutual arrangements with sister UC campuses to borrow technical staffif needed during recovery.

Supports this critical function Information Technology Estimated cost Don't know Cost one-time or annual?Within whose scope the UC SystemCommentStatus Needs further discussion

Action Item #9 Develop plan for alternate space in case some classrooms are not usable.Supports this critical function Instruction (undergraduate & graduate) Estimated cost Don't know Cost one-time or annual? Both one-time and annual Within whose scope the campusComment This is a campus-wide issue that needs high-level engagement.Status Not yet begun

Action Item #10 Prioritize Course ListSupports this critical function Instruction (undergraduate & graduate) Estimated cost less than $100 Cost one-time or annual? Annual Within whose scope my unit itselfCommentStatus Needs further discussion

Action Item #11 Request facility committee to develop strategy for alternative channels ofdelivery of courses (in case there is a temporary shortage of clasroomspost-disaster).

Supports this critical function Instruction (undergraduate & graduate) Estimated cost $100 - $1,000 Cost one-time or annual? One-time Within whose scope my unit together with other units on campus



CommentStatus Not yet begun

Action Item #12 Cross-train 2 staff members to process dept. payroll (to serve as backup forHarry Chan).

Supports this critical function Payroll Estimated cost less than $100 Cost one-time or annual? Annual Within whose scope my unit itselfCommentStatus Completed

Action Item #13 Investigate whether BluCard limits & restrictions can be lifted for recoveryperiod.

Supports this critical function Purchasing Estimated cost less than $100 Cost one-time or annual? One-time Within whose scope my unit together with other units on campusCommentStatus Completed

Action Item #14 Obtain 2 additional BluCards.Supports this critical function Purchasing Estimated cost less than $100 Cost one-time or annual? One-time Within whose scope my unit itselfCommentStatus Completed

Action Item #15 Design departmental networks to allow faculty & students to connect remotely(e.g. from home) in case office/lab space is damaged.

Supports this critical function Research Estimated cost Don't know Cost one-time or annual? One-time Within whose scope my unit together with other units on campusCommentStatus Needs further discussion

Action Item #16 Develop a fund for emergency grants to faculty & graduate students to coverexpenses of conducting research in alternate ways or at alternate locations.

Supports this critical function Research Estimated cost Don't know Cost one-time or annual? Both one-time and annual Within whose scope my unit together with other units on campusCommentStatus Not yet begun

Action Item #17 Encourage faculty to request seismic bolting-and-bracing of furniture andequipment. Allocate departmental funds (first-come/first-served up to fundinglimit).

Supports this critical function Research Estimated cost $10,000 - $100,000



Cost one-time or annual? One-time Within whose scope my unit together with other units on campusCommentStatus In progress



Appendix A.

List of Key Documents

These documents have been identified as important for continuing our critical functions.

Documents that have been uploaded into the UC Ready system (as indicated below) can be viewed on-screen, then printed.

Name Departmental BluCard LogDescriptionMedium PaperLocation Higgins 455Owner (department) My own dept. or school owns these records.Contact person(s)Backup measures NoneCommentUploaded into UC Ready system? No

Name Donor recordsDescription Contact information and giving patterns.Medium Electronic (computer)Location Stored on G drive, in Donor Relations folder.Owner (department) Our own.Contact person(s) ChairBackup measures Chair has a current list.CommentUploaded into UC Ready system? No

Name Employee contact listDescription Confidential list of employee contact info.Medium PaperLocation All faculty & staff are issued paper copies and encouraged to keep both at work & at

home.Owner (department) Our dept.Contact person(s) ChairBackup measuresCommentUploaded into UC Ready system? No

Name Grant documents/project recordsDescription This is the official repository of dept. project-related recordsMedium More than one (explain in comment)Location Higgins Hall rooms 308-310-312Owner (department) Dept of Deep Sea StudiesContact person(s) Tom CallawayBackup measures Some of the paper records are in fire-rated cabinets (but many important records are

not).Comment Paper and electronic files. Electronic records are backed up and recoverable. Paper

documents (i.e. vendor invoices) are not.Uploaded into UC Ready system? No

To edit this plan section, use theStep 5 tab (Document Summary)of the UC Ready web tool.



Name Student course rostersDescriptionMedium Electronic (computer)Location 453 Higgins HallOwner (department) My own dept. or school owns these records.Contact person(s) Maria DeLucciBackup measures Daily backup on server.Comment Rosters are distributed to instructors in hard-copy, updated by instructors, then used

by dept. office staff to update the database. These are the only documents thatrecord fulfillment of specific course requirements, leading to the award of credit forthat course.

Uploaded into UC Ready system? No

Name Student foldersDescription One folder per student - contains academic record for that student plus other relevant

documents.Medium PaperLocation 234 Higgins HallOwner (department) My own dept. or school owns these records.Contact person(s) John BauerBackup measures NoneComment Almost all information in these folders is available elsewhere but inconvenience of

reconstructing would be considerable.Uploaded into UC Ready system? No

