Kudler Fine Foods: Disaster Recovery/Business Resumption Plan

Essay by hdcUniversity, Master'sA, April 2007

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Kudler DR/BR Plan � PAGE �1�

Kudler Fine Foods: Disaster Recovery/Business Resumption Plan

Student

University of Phoenix, Online

CMGT/579 - CIS Risk Management

Instructor

February, 2007

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Table of Contents

Error! Bookmark not defined.1.0 Executive Summary �

52.0 Purpose of Plan �

52.1 Scope �

53.0 Risk Assessment �

53.1 Identified Risks �

53.1.1 External �

53.1.3 Environmental �

53.2 Disaster Prevention Measures including fault tolerance �

54.0 Security Assessment �

54.1 Physical Security �

54.2 Personnel Security �

54.3 Information Security �

54.4 Network Security �

55.0 Disaster Declaration Proceedures �

55.1 Loss of Facility �

55.2 Loss of Life �

55.3 Disaster Assessment �

55.4 Recovery Organization �

75.5 Initial Response/Management Team �

75.6 Administrative Team �

85.7 Recovery Teams �

95.8 Team Members (Primaries and Alternates) �

95.9 Telephone Trees �

115.10 Recovery Procedures �

115.11 Team Responsibilities �

Error! Bookmark not defined.5.12 Personnel Responsibilities �

125.13 Team Resources (Equipment/Suppliers) �

125.14 Application/Function Priorities �

125.15 Plan Maintenance, Testing and Training �

135.16 Policy for Plan Maintenance �

135.17 Testing approach, record and results �

135.18 Personnel Training and Replacement �

136.0 Outsourcing Assessment �

136.1 Identified Risk �

136.2 Out Sourcing Methods �

137.0 Environmental Challenges �

137.1 Legacy Technology �

137.2 Market Directions �

138.0 Corporation Information Technology Role �

138.1 Business Goals �

138.2 Marketing/Office Support and Production Support �

138.3 Communications �

148.4 Applications/Function Priorities �

148.5 Personnel Training and Replacement �

Error! Bookmark not defined.4.0 SITE VULNERABILITY ANALYSIS �

Error! Bookmark not defined.9.0 References �

Error! Bookmark not defined.10.0 Figure 1: Threat and Vulnerability Assessment for CIC �

Error! Bookmark not defined.11.0 Figure 2: Risk Assessment Matrix for Application Vulnerabilities �

Error! Bookmark not defined.12.0 Figure 3: Risk Categories �

Error! Bookmark not defined.13.0 Figure 4: Risk Assessment Questionnaire �

Error! Bookmark not defined.14.0 Figure 5: Threat and Vulnerability Mitigation for CIC �

Error! Bookmark not defined.15.0 Figure 6: Risk Assessment Impact/Cost Matrix for CIC �

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Kudler Fine Foods: Disaster Recovery/Business Resumption Plan

Kudler Fine Foods is a local upscale specialty food store located in the San Diego metropolitan area. The company has three locations (La Jolla, Del Mar and Encinitas) … The stores are stocked with the very best domestic and imported foodstuffs and divided into the following departments: Fresh Bakery and Pastries, Fresh Produce, Fresh Meat and Seafood, Condiments and Packaged Foods, and Cheese's and Specialty Dairy Products. (Apollo Group, 2005, para. 1)

Executive Summary

Ever since the tragic events of the World Trade Center bombings on September 11, 2001, the Tsunami that hit India, the Blackout of 2003 that kept the majority of the United States Atlantic cost without power in some places for well over a 24 hours; the term "disaster" has certainly evolved. Disasters today can present themselves in many different forms: terrorist attacks, power outages, security breaches, acts of nature and human error. "With the heightened threat of such disasters, there is an increased risk of business disruptions. The inability of a business to quickly resume everyday operations and protect its resources is often detrimental to a business and its community" (Decker, 2005, p. 44). This is one of the main reasons that Kudler Fine Foods has decided to implement a Disaster Recovery/Business Resumption (DR/BR) plan.

This DR/BR plan will first examine the steps required towards assessing risk and security. A company must identify the risks and potential disasters that may occur before he or she could effectively plan a DR/BR plan. The next step in the process is determining the proper method for declaring a disaster so potential state or federal aid can be allocated depending on the severity of the disaster suffered. A company must also have procedures in place for dealing with damages to their facility and loss of life that resulted from such damages.

Disaster assessment "… is a crucial management task which contributes directly to effective decision-making, planning and control of the organized response" (DMTP, 1994, p. 9). Proper assessments of different types of disasters that can befall a company can not be stressed enough and is therefore the next step in the DR/BR process.

Forming disaster management teams and determining who should comprise its membership is a very important step in developing a DR/BR plan. This team is responsible for compiling and updating disaster recovery procedures and distributing the information to the entire company so that all will know how to respond and who to contact in the event of a disaster.

The next phase is determining which applications are mission critical to the company's success. In Kudler's case their newly developed vendor managed inventory database would be a mission critical application. Making sure this system is fault tolerant is just as essential as having electricity to operate the cash registers.

The last and final phase of the DR/BR plan is determining how often this plan should be updated and tested and how frequently staff will need to be retrained on DR/BR procedures. All new employees should also be well versed in these procedures when first hired. This documentation should be required reading along with all other orientation materials required of new employees.

Risk Assessment

Purpose of Plan (Mitch)

Scope

Goals and Objectives

Introduction

Risk Assessment (Harold)

2.1 Identified Risks

Organizations must first conduct a risk assessment of connecting to the Internet. The steps used to perform a risk assessment are as follows (Peltier, 2004):

Identify risks (use the Risk Assessment Impact/Cost Matrix as outlined in Table 2);

Evaluate threats;

Rank impact of threat;

Assign risk level to each vulnerability area;

Compare current controls with identified requirements and identify gaps;

Develop plan of action to mitigate risks (See Table 3: Threat and Vulnerability Mitigation Checklist);

Document results.

After the risk assessment, an organization must compile all identified threats and risk for each threat as to its probability of occurring and its impact to the organization; and then employ a protection program to mitigate identified risks (Wikipedia, 2006).

Internal (Harold)

External (Harold)

The vulnerability of the agency or business unit to an emergency, hazard or threat is based on the combination of the probability of an event occurring and the impact the event would have on operations. The table below represents an assessment of the risks related to a variety of threats and the resultant vulnerability Kudler's Fine Foods to the hazard or threat.

Disaster Prevention Measures including fault tolerance

Working records and documents needed to respond to or recover from an emergency are readily available should an emergency occur. These records are stored and maintained at Kudler's Emergency Operations Center and any relocation sites established to support the Emergency Management Program.

Each Kudler store shall maintain a cache of records needed to ensure that operational information is available. The teams responding to an emergency or implementing their organizations Plan will use these records.

Each site's Flyaway kits are packages of records, information, communication and computer equipment and other items or material related to an emergency operation. The kit is used by persons deployed to relocation sites/alternate facilities. The kits contain primary sources of information and backup information. All data must be handled with appropriate security measures which will consider:

Personnel (access, control);

Physical (storage, transportation);

Operational (validation).;

Information (integrity, protection).

In the event of an emergency or threat, identifying an alternate facility capable of supporting essential operations, positions and personnel is critical. These facilities shall be capable of supporting operations. In acquiring and equipping the alternate facility, Kudler should look for reciprocal agreements to share alternate facilities. Issues to be considered include:

• Capability of sustained use

• Dual Use

• Transportation of personnel to/from the alternative site

• Lodging requirements

• Telecommuting, work-from-home

• Co-location with other agencies

• Virtual environments

Alternate facilities should provide:

Immediate capability and support services to perform essential functions under various conditions;

Necessary communications that can provide essential internal and external communications with critical customers, and providers;

Enough space and equipment to sustain the relocating Kudler's business operations if total loss of facilities occurs. Since the need to relocate may occur without warning, Kudler should be prepared by pre-positioning minimum essential equipment for continued operations at the alternate or shared facility which can provide:

Ability to sustained operations for a period of up to 30 days;

Consideration of the health and safety of relocated employees;

Physical security and access controls; and

Logistical support and infrastructure systems/IT support including water, electrical power, heating and air conditioning.

Security Assessment

Physical Security (Harold)

A Site Vulnerability Analysis considers problems relating to the location of the facility and discusses the current protection methods used such as camera systems, guards and access control systems. Physical security design and assessment looks at mechanical, electronic and computer issues in addition to the building, agency, function or location-related threats and hazards. Hazards and threats may be from a secondary source. Neighboring offices or facilities may house materials or perform operations that generate hazards or threats for your operation. While Kudler does not have direct control over that type of hazard or threat, site vulnerability may be higher.

The foundation for Kudler security relies on having good system and user security policies, and ensuring the work force follows them. Kudler must provide their security staff with appropriate security training which is essential to good physical security posture. Kudler needs to install video cameras, motion detectors, alarms, and monitoring systems to augment the physical security measures to ensure the insider and outsider doesn't steal of alter access controls allowing external access via the Internet.

Personnel Security (Harold)

Security training to ensure everyone is security conscience and doing the smart thing like challenging non-badged or unknown individuals is essential to a good physical security posture for Kudler Fine Foods.

   There will always be people who will be dishonest and try to take advantage of their privileged access.  The Kudler security staff should take effective counter measures such as ensuring adequate separation of duties and two-person controls are put in effect.   Data encryption, auditing/logging and the use of IPS/IDS's are an important part of deterring the insider attack.  Kudler's security analyst, or consultant, must design appropriate security measures to protect the organization's computer systems and networks from the insider attack.

Information and Network Security Risk Assessment(Gordon)

In determining the current risk to the Kudler Information and Network infrastructure, an assessment was completed on the most common threats to the Information Systems and the organization. After Studying the ASIS International General Security Risk Assessment model in Fig 3.3-1, a determination was made to conduct risk assessments of critically known threats (ASIS International, 2003, p. 8).

Fig 3.3-1 ASIS International General Security Risk Assessment model

The threats were categorized based on the three levels of risks High, Medium and Low see risk factor table below. Due to the cost to implement the mitigation to all risk, only the High and Medium risks were addressed. The actions that caused threat were addressed along with causes or findings and given a risk factor of High or Medium, see section 3.3. Finally each risk was listed and given a recommended mitigation path to correct or control the risk or threat, see section 3.3.1

Risk

Risk Definition

High

The threat-source is highly motivated and sufficiently capable, and controls to prevent the vulnerability from being exercised are ineffective.

Medium

he threat-source is motivated and capable, but controls are in place that may impede successful exercise of the vulnerability.

Low

The threat-source lacks motivation or capability, or controls are in place to prevent, or at least significantly impede, the vulnerability from being exercised.

3.3.1 Risk Findings and Recommended Mitigation

Risk Assessment for Kudler Fine Foods

Threat

Threat Action

Threat Findings

Hacker

Web Defacement

Social Engineering

System Intrusion, Break-ins

Unauthorized System Access

Current identity theft has occurred through unknown methods.

High Risk

Computer Criminal

Identity Theft

Spoofing

System Intrusion

The Audit Logs on the Servers are not monitored for unusual activities on scheduled bases only after a security incident has occurred.

High Risk

E-mail

Opening of unknown Email attachments

Attachments are not commonly being deleted if from an unknown sender or Source

High Risk

Lack of patches, anti-virus software, or virus definition updates

Automated Patch Management and Virus Definitions

No Automated Patch Management and Virus Definitions via a WSUS and Antivirus Server

High Risk

Insider

(Poorly trained, Disgruntled, malicious, negligent, dishonest or terminated employees)

Browsing or Personally Identifiable Information

Malicious Code (e.g., Virus)

System Bugs (Trojans, Time Bombs)

Unauthorized System Access

No Security Awareness Training for current employees

Auditing of old and current accounts not done on a re occurring bases.

High Risk

Sensitive/Confidential Information traveling the network & Internet

Financial Data to and from (Business to Business)

No VPN to other Company sites

High Risk

FTP/Telnet

FTP/Telnet access from other business location

FTP/Telnet Ports open from Internet

Medium Risk

Data Backup and Restoration

Are there periodically backups individual and department data?

No Documented Back\Recovery Up procedures.

High Risk

Application Software

Are our common applications configured for security?

Poor Account policy User name & Password Policy

High Risk

Risk Mitigation for Kudler Fine Foods

Threat

Threat Action

Threat mitigation

Hacker

Web Defacement

Social Engineering

System Intrusion, Break-ins

Unauthorized System Access

Enable User Logon with SSL

Security Awareness Training

Enable Layered defense. Firewall (Packet and Application)

Computer Criminal

Identity Theft

Spoofing

System Intrusion

Review Security Audit Logs On Servers and IDS for unusual activities

Lack of patches, anti-virus software, or virus definition updates

Automated Patch Management and Virus Definitions

Install Automated Patch Management and Virus Definitions via a WSUS and Antivirus Server

Insider

(Poorly trained, Disgruntled, malicious, negligent, dishonest or terminated employees)

Browsing or Personally Identifiable Information

Malicious Code (e.g., Virus)

System Bugs (Trojans, Time Bombs)

Unauthorized System Access

Implement Security Awareness Training For current employees

Remove all old Account Access to all Computing and Network Systems

Sensitive/Confidential Information traveling the network & Internet

Financial Data to and from (Business to Business)

Implement Firewall at all company locations and VPN Sever/Client

E-mail

Opening of unknown Email attachments

Implement User Security Awareness

Data Backup and Restoration

Are there periodically backups individual and department data?

Document Review Back\Recovery Up procedures.

FTP/Telnet

FTP/Telnet access from other business locations

Implement Firewall at all company locations with Secure Shell. Close all unnecessary ports

Application Software

Are our common applications configured for security?

Implement Account policy User name & Password Policy

Disaster Declaration Proceedures

Loss of Facility (Harold)

Regardless of the causing event, any loss of facility, failure of computers, or unavailability of key personnel which causes significant business interruption, is an emergency. After execution of necessary emergency procedures, an assessment must be made to determine the extent of damage, loss, or unavailability. With a plan in place and contingencies established, decisions must also be made based on the scope of the event, whether or not to utilize these back up resources. To determine the scope of the event see paragraph F above in the assessment checklist, and after determining the extent of the event, Kudler Find Foods reaction and deployment will be different:

For a minor event where only a temporary resource loss occurs, lasting minutes to one business day, nothing will be relocated to external sites.

Intermediate; extended resource loss-more than one business day. Temporarily relocate to mobile location.

Major; critical resource loss-several days to weeks. If only one location is effected, then it will temporarily relocate alternate physical location per DR plan.

Loss of Life (Harold)

In any organization, to include Kudler' Fine Foods, people are the most important asset that the organization owns. If it comes to a decision or a safety issue, always protect life over property or data. The BC Team should have multiple methods of coordination and communicating with the necessary parties. This could be call-trees, pagers, email, or others forms of communication.

Disaster Assessment (Harold)

Ms. Kudler should appoint a BCP Designated Official for Kudler's Fine Foods if she is not available who is responsible for:

a. Activation and Relocation (0-12 Hours)

Each Kudler's Fine Foods Element will notify the appropriate department personnel;

Activate the recovery team to coordinate any relocation requirements;

Instruct all other emergency and non-emergency personnel on what they are to do;

Within 12 hours, essential personnel and BCP team members will assemble and be able to conduct essential business operations.

b. Activation and Relocation (12 Hours - termination of emergency)

Continue essential operations;

The appropriate Kudler's Fine Foods site will track all personnel during the emergency.

There are some threats to operations that may afford advance warning that will permit the orderly alert, notification, evacuation, and if necessary, the relocation of employees. Situations that might provide such warning include severe weather or a threat of a terrorist incident.

Incidents may not be preceded by warning, e.g., earthquakes, arson, HAZMAT, or terrorist incidents, or may occur while the majority of on-site staff is not at work. If the emergency happens during non-duty hours, communication systems must be activated that can reach the majority of the employees so they will be able to respond to their BCP responsibilities.

If an emergency happens during duty hours, execution of the BCP, if indicated by the circumstances of the event, would begin by execution of the site's BCP to move employees out of the building. A sudden emergency, such as an explosion or fire, may require the implementation of the BCP, to begin the preplanned movement of selected key personnel and supporting staff to a relocation facility. Relocation may be required to accommodate a variety of emergency scenarios including scenarios in which:

A site is unavailable and operations can shift to a regional location;

A single facility is temporarily unavailable and the primary site can share its facility with the effected site.

Kudler's Business Continuity Team has developed the following assessment checklist (see Table 4.3) to determine implementation process for their BCP.

Kudler Fine Foods ASSESSMENT CHECKLIST

1. Determine who needs to be present in the assessment. If only a single location or administrative area is affected, consider those responsible for this area as well as others from related or dependent departments. If an entire location or the organization is affected, Kudler's business continuity team representatives need to be assembled along with the leaders of other response groups who may be called to action. Resource related technical or special function personnel should be included based on the type of loss or damage. 2. Determine where the assessment meeting will be held. If the interrupting event does not require facility evacuation, then a location inside the same building should be designated. For situations involving entire facilities, a command center, near the affected area should be identified if one has not been established. 3. Determine the scope of the event.

A. Identify and list the affected administrative areas.

B. Determine who are the affected customers.

C. Determine if providers or vendors are affected and identify each.

D. Identify and list all affected business functions. E. Determine what resources are affected. Disruption of a department or facility will involve several supporting resource areas. Did the event cause loss or unavailability of:

FACILITIES: Describe facility loss or damage: Entire Building, Partial Structure Damage, Unavailability.

PERSONNEL: Identify lost or unavailable personnel.

EQUIPMENT: Identify equipment items.

AUTOMATED SYSTEMS: Identify systems: Hardware Configurations, Software Data Output, Input Capability.

COMMUNICATIONS: Identify communications equipment or services: Circuits, Voice equipment/Services, Data Communication Equipment.

PROVIDERS: Describe unavailable services or product items.

SUPPORT SERVICES AND MATERIALS: Identify affected forms/supplies or transportation/distribution services.

F. Determine the extent of the event:

Minor; temporary resource loss-minutes to one business day.

Intermediate; extended resource loss-more than one business day.

Major; critical resource loss-several days to weeks.

Table 4.3 Kudler's Fine Foods' Core Business Units and Business Functions

Recovery Organization (Gordon)

Within the Kudler organization, each department will maintain their own disaster recovery planning team. Each group is will perform specific duties in support of the organization Disaster Recovery Plan (DRP). General Duties and Responsibilities include meeting on specific dates during the calendar year to update and maintain the DRP. Duties also include testing the DRP plan for effectiveness. Finally organizational team members will represent a mixture of supervisory, technical and administrative experts for a cross representation of Kudler's organization. The Following table is a current representation of Kudler's DRP organizational team with team members and the organizational responsibilities to maintain and operate the DRP.

Kudler Recovery Organizations

Recovery Support Team Organizations

Team Members

Responsibility

Corporate Security Representatives

CEO Kathy Kudler, Yvonne Reynolds (Store Ops), Harvery Stephens (Dir Finance & Accounting), Donald Swenson (La Jolla Store Mgr), Denis Roberts (Del Mar Store Mgr), Betty Grable (En Cinitas Store Mgr), Melisa Elbert (IT Specialist), Tom Robards (IT Specialist), Brenda Wagner (HR & Admin Dir), Anne Shousha (Legal Counsel)

Each Kudler team member will meet Bi-annually to discuss new and current security issues and will amend or delete the Disaster Recovery Policies and procedures. Including Legal, IT, Environmental.

Administrative Team Representatives

CEO Kathy Kudler, Yvonne Reynolds (Store Ops), Harvery Stephens (Dir Finance & Accounting), Donald Swenson (La Jolla Store Mgr), Denis Roberts (Del Mar Store Mgr), Betty Grable (En Cinitas Store Mgr), Melisa Elbert (IT Specialist), Tom Robards (IT Specialist), Brenda Wagner (HR & Admin Dir), Anne Shousha (Legal Counsel)

Administrative Team Representatives will establish and maintain the Disaster Recovery Plan to include external organizational support, ID and assessing all risks, maintaining org & team responsibilities, training, business goals, corporate IT roles, environmental challenges. Public Relations, etc.

Human Resources Representatives

Brenda Wagner (HR & Admin Dir), Anne Shousha (Legal Counsel)

Human Recourses Representatives will meet quarterly to amend the DR employee communications procedures and telephone tree.

IT Department Representatives

Harvery Stephens (Dir Finance & Accounting), Melisa Elbert (IT Specialist), Tom Robards (IT Specialist)

IT Department Representatives will meet quarterly to assess current and future business functions and technology. Procedures will include testing backup recovery procedures of current IT backup systems and facilities.

Facilities (Building Maintenance) Representatives

Robert Trent (Maint Engineer), Elbert Stevens (Maint Engineer, Asst)

Kudler Facilities Representatives will develop procedures to maintain and update current and future facilities including backup facilities for Disaster Recovery. Procedure will include maintenance, communications and logistics of equipment.

Initial Response/Management Team (Gordon)

Following a reported disaster event, the Kudler Initial Response or Recovery Management team will be notified and conduct operations based on the roles in the Kudler Initial Response\Recovery Management Team table below. The Administrative Recovery team will then be notified to activate the final Recovery Team. All recovery operations will be directed by this team until all operations have been restored back to nominal business functions.

Kudler Initial Response Recovery Management Team

Recovery Team Member

Overall Role

CEO Kathy Kudler

Direct DR team

Yvonne Reynolds (Store Ops)

Assist DR Director

Brenda Wagner (HR & Admin Dir)

Contact Admin Team & Initiate Comm. Plan

Administrative Recovery Team (Gordon)

Following the activation of the Recovery Administrative Team, the Administrative Team will then activate the Final Recovery Team to begin final restorations of all business functions necessary to resume normal operations. This team is responsible for communications between the DRP management team and Recovery team. Listed below are the team members responsible for administrative operations.

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Kudler Recovery Administrative Team

Recovery Team Member

Overall Role

Brenda Wagner (HR & Admin Dir)

Direct HR Specialist

Cecilia Dunbar (HR Specialist)

Contact Recovery Team and Coordination Communications

Donald Swenson (La Jolla Store Mgr)

Assist Admin Recovery Team Director

Denis Roberts (Del Mar Store Mgr)

Assist Admin Recovery Team Director

Betty Grable (En Cinitas Store Mgr)

Assist Admin Recovery Team Director

Anne Shousha (Legal Counsel)

Direct Legal Operations

Kudler Recovery Teams (Gordon)

The final team responsible for the Kudler operations to restore Administrative, Technical and Facility Business functions is the Kudler Recovery Team. The Table below lists the team members responsible for recovery. All communications and coordination will be conducted through the Administrative Recovery Team.

Kudler Recovery Team

Recovery Team Member

Overall Role

Harvery Stephens

(Dir Finance & Accounting)

Direct Recovery Team Lead

Cecilia Dunbar (HR Specialist)

Assists Direct Recovery Team Lead in Coordination of Recovery Plan and Voice communications

Melisa Elbert (IT Specialist)

IT Security & Help Desk Admin (Restore IT)

Davie Roper (Part Time IT Specialist)

IT Security & Help Desk Admin (Restore IT)

Tom Robards (IT Specialist)

IT System & Database Administrator (Restore IT)

Stephen Sims (Part Time IT Specialist)

IT System & Database Administrator (Restore IT)

Robert Trent (Maint Engineer)

Facility Maintenance, Personnel, and Physical Security, Voice communications Maint.

Elbert Stevens (Maint Engineer, Asst)

Assist Maintenance Engineer is DR Responsibilities

Team Members (Primaries and Alternates) (Gordon)

In the event of a disaster all DRP team member will be responsible to designate an alternate team member. The alternate team member will have full authority and responsibility to conduct their assigned activities in the event the primary team member is unavailable. The primary team members with their respective alternates are listed in the table below.

Kudler DRP Team Members

Responsibility

Primary

Alternate

DRP Director \ System Owner

CEO Kathy Kudler

Yvonne Reynolds

(Store Ops)

DRP Recovery Team Director System Custodian

Harvery Stephens

(Dir Finance & Accounting)

Donald Swenson

(La Jolla Store Mgr)

DRP Admin Director

Brenda Wagner (HR & Admin Dir)

Betty Grable

(En Cinitas Store Mgr)

Communication Specialist

Cecilia Dunbar (HR Specialist)

Teresa Summers

(Admin Specialist)

Security Help Desk Admin

Melisa Elbert (IT Specialist)

Davie Roper

(Part Time IT Specialist)

System Database Administrator

Tom Robards (IT Specialist)

Stephen Sims

(Part Time IT Specialist)

Kudler Maintenance Personnel

Robert Trent (Maint Engineer)

Elbert Stevens

(Maint Engineer, Asst)

Kudler Legal

Anne Shousha (Legal Counsel)

Brenda Wagner

(HR & Admin Dir)

Telephone Trees (Gordon)

In the event of a disaster, most events will be reported to the Information Technology help desk and Maintenance Engineering departments within Kudler Fine Foods. These departments will then in turn communicate with the BCP Administrative Recovery team Communication Coordinator, who then contacts The DRP team lead and the recovery team will be notified to enact the DRP. Listed below is the communications or telephone tree response plan in the event of a disaster. The communication flow is from top bottom for the initial responses. Also listed in the table below in the Telephone Tree Contact Directory are the DRP Titles, Names and Phone Numbers. In the event a DRP member is not available, please see section 1.8 for the alternates to the positions.

Telephone Tree Contact Directory

Responsibility

Name

Telephone

DRP Team Mgr / System Owner

Kathy Kudler

Assist DR Director

Yvonne Reynolds

Director Recovery Team Lead / System Custodian

Harvery Stephens

HR & Admin Dir

Brenda Wagner

HR Specialist

Cecilia Dunbar

Security & Help Desk Administrator

Melisa Elbert

Security & Help Desk Administrator Asst.

Susan Brown

System & Database Administrator

Tom Robards

System & Database Administrator Asst.

Stephen Sims

Kudler Maintenance Engineer

Robert Trent

Kudler Maintenance Engineer Asst.

Elbert Stevens

Recovery Procedures (Harold)

Kudler's migration back to Normal Operations by the DR team is an essential part of the overall BCP. While back up systems or facilities are in use, recovery must be taking place simultaneously. Recovery strategies involve getting what was damaged repaired or what was lost replaced or restored, whether the damage or loss involved Kudler's database, web, email, or infrastructure devices. These activities must occur regardless of whether or not back up arrangements are activated. In preparation for migration back to normal operations, Kudler should consider review of many of the same decision areas which initiated transition to back up and recovery activities. A similar check list could be used to ensure all affected resources and activities are taken into account. Although more time may be available for these migration decisions, they are no less complicated. A plan execution checklist will help visualize the two critical decision periods. Senior management should expect that an assessment to be done every time there is a significant interruption of a critical business function. Responsibility to conduct emergency assessment meetings must be clear and belongs to Harvey Stephens, Recovery Team lead.

Activation of relocation and/or termination and return to normal operations procedures:

Continue minimum essential operations;

Each Kudler Fine Foods site will develop plans and schedules to phase down alternate facility operations and return activities, personnel, records, and equipment to the primary facility when appropriate;

Each Kudler Fine Foods site will inform all personnel, including non-emergency personnel, that the threat of or actual emergency no longer exists, and provide instructions for resumption of normal operations;

Each Kudler Fine Foods site will conduct a "hot wash" of BCP operations and effectiveness of plans and procedures as soon as possible, identify areas for correction, and develop a remedial action plan.

Team Responsibilities (Gordon)

The Kudler disaster recovery team will have 15 predefined team members and will meet at a specified location depending on the kind of severity level, the area and the physical location of the disaster. These severity levels are:

Level 1 disaster is a partial failure which can not be repaired within two hours. The location of the affected team's office for a disaster will be completed by video teleconference, or telephone to direct the operation by beginning the online backup server and notifying management of the extended outage until the systems are recovered and back online.

Level 2 disaster is a scheduled outage shortly before or after a natural disaster. This disaster will be managed typically from the affected team's location. The team could use a site in the level 3 recovery. Three alternate sites will be maintained with server backups.

Level 3 disaster outage occurs for more than three days. This level of disaster can occur where the backup team's locations are destroyed or have no backup ability. This level of disaster means the recovery team members will meet at an alternate site to begin the backup recovery process over the internet.

Kudler Initial Response Recovery Management Team

Following a reported disaster event, the Kudler Initial Response\Recovery Management team will be notified and conduct operations based on the roles in the Kudler Initial Response\Recovery Management Team table below. The Administrative Recovery team will then begin notified to activate the final Recovery Team. All recovery operations will be directed by this team until all operations have been restored back to nominal business functions. . Each disaster team member will have a basic set of maintained resources; a company badge, cellular telephone, sufficient cash and credit cards for any type of disaster and living expenses, and sufficient keys for the backup site facility

4.11.2 Kudler Administrative Recovery Team

Following the activation of the Recovery Administrative Team, the Administrative Team will then activate the Final Recovery Team to begin final restorations of all business functions necessary to resume normal operations. This team is responsible for communications between the DRP management team and Recovery team. The Administrative Recovery Team member will have a basic set of maintained resources; a company badge, cellular telephone, sufficient cash and credit cards for any type of disaster and living expenses, and sufficient keys for the backup site facility

4.11.3 Kudler Recovery Team

The final team responsible for the Kudler operations to restore Administrative, Technical and Facility Business functions is the Kudler Recovery Team. The Table below lists the team members responsible for recovery. All communications and coordination will be conducted through the Administrative Recovery Team. Each Recovery Team will have a basic set of maintained resources; a company badge, cellular telephone, hardware and software tool sets, spare hardware and software, sufficient cash and credit cards for any type of disaster and living expenses, and sufficient keys for the backup site facility

Team Resources (Equipment/Suppliers) (Harold)

Kudler's DR Team must put together the tools, records, equipment and supplies in their plan to be able to recover from a disaster. Vital records, regardless of media, essential to carry out essential/legal and financial functions and activities of an organization and protect the legal and financial rights of the individuals directly affected by its activities. Included are records having such important value that their loss would significantly impair the conduct of essential agency functions to the detriment of the legal or financial rights of the organization or legal and financial rights and entitlements of the individuals directly affected by those functions and activities. Examples of this category of vital records are accounts receivable records, official personnel records, Social Security records, payroll records, retirement records, insurance records, and contract records.

Plans should account for the identification and the protection of the vital records, systems, data management software and equipment, to include classified and sensitive data as applicable, necessary to perform essential functions and activities, and to reconstitute normal agency operations after the emergency. To the extent possible, agencies should pre-position and update on a regular basis duplicate records or backup electronic files.

Major considerations :

• Identification of mission critical records, including legal and financial rights records. Examples of this category of vital records are accounts receivable records, official personnel records, social security records, payroll records, retirement records, insurance records, and contract records.

• Data, systems, equipment and personnel needed to perform essential functions and operations.

• Sources of systems, equipment and personnel needed to ensure continued operations.

• Storage facilities

Table 4.12 Kudler Fine Foods Key BCP Considerations

Application/Function Priorities (Harold)

Kudler Fine Foods core business operations and functions are defined in the strategic and tactical planning process for your organization. Kudler Fine Foods key core business units and business functions are outlined in the table below.

Core Business Units

Business Functions

• Financial

1. Payroll

2. Accounts Receivable

3. Accounts Payable

• Manufacturing

1. Production

2. Raw material storage

3. Manufacturing equipment and buildings

4. Key personnel

5. Key Manufacturing Data Stores

• Operations

1. Shipping/Receiving

2. Equipment and buildings

3. Construction, alterations, repairs

4. Key Data Stores

5. Key operations staff

• Information Infrastructure

1. Key IT staff

2 IT Equipment

3 IT Date stores

Table 4.13 Kudler Fine Foods Core Business Units and Business Functions

Plan Maintenance, Testing and Training (Gordon)

4.14.1 Continually Review and Maintain the DR Plan

The DR will be reviewed as part of the training and exercise program. Changes in organization, function, service to customers, and stakeholders, will be made to the plan as they occur. To assure the organization or agency capabilities are satisfied, the DR will provide for continued performance of essential functions under all circumstances which can be reasonably anticipated.

4.14.2 Training Plan

Training of personnel is essential to improve the capability of agencies to execute their DR plan and familiarize their members with the essential functions that they might have to perform in an emergency. The continued viability of a DR is largely dependent on the training of its personnel and the evaluation of the results of the training programs.

Policy for Plan Maintenance (Gordon)

The DRP will be reviewed as part of the training and exercise program. Changes in organization, function, service to customers, and stakeholders, will be made to the plan as they occur. To assure the organization or agency capabilities are satisfied, the DR will provide for continued performance of essential functions under all circumstances which can be reasonably anticipated.

Testing approach, record and results (Gordon)

The Kudler DRP team within the organization is responsible for managing the DRP program; subsequently, there will be periodic reviews conduct within each recovery team and other appropriate personnel and managers to determine whether the DRP and the plans processes are adequately tested for currency, responsiveness, accuracy, and accessibility to the staff and business functions who would use the DRP. This is particularly important should the Kudler's business or security functions or activities change significantly. Such changes might require a modification of the of Kudler's Disaster Recovery Plan. Kudler should periodically test the organization's Disaster Recovery Plans and Procedures to determine if the Recovery team designated as essential will allow DRP staff to function effectively in case of a disaster. The Kudler Management is and foremost responsible for managing the DRP program and staffing; as a result, the organization will work with all test participants to assess the results of the test and to make appropriate modifications where needed.

Personnel Training and Replacement (Harold)

Training of personnel is essential to improve the capability of agencies to execute their BCP and familiarize their members with the essential functions that they might have to perform in an emergency. The continued viability of a BCP is largely dependent on the training of its personnel and the evaluation of the results of the training programs. Major topics to be considered that will identify the issues and resources to implement an effective BCP education program are shown in Table 5.4.

PROGRAMS

METHODS

AUDIENCE

FREQUENCY

COST

Orientation

Classroom

Study material

Senior Mgmt

Yearly

$5,000

Refresher

Intranet

All Employees Yearly

$2,000

Workshop BCP Team

Monthly

$12,000

Table 4.17 Training Plan

Ensure that you have the correct management and technical staff to assist you in running the exercise. This is critical in monitoring the events and ensuring that participants don't get too far off track. It is important that participants be allowed to improvise and respond to events to improve the process.

Identify problem and ensure corrective action is incorporated into the plan. It is essential that a test and exercise program plan be developed and implemented to ensure the integrity of the BCP. It is the responsibility of the Kudler's Fine Foods to establish an exercise schedule for their entity and determine the reporting requirements of the after action reports. Major issues to consider within the testing and exercise program plan include:

Purpose of Exercising the BCP;

Types of exercises;

Managing the process;

An annual interagency BCP exercise participation schedule;

After action reporting formats;

A management plan for incorporating lessons learned from exercise events into the BCP;

Funding requirements.

The BCP should be reviewed as part of the training and exercise program. Changes in organization, function, service to customers, and stakeholders, will be made to the plan as they occur.

To assure the organization or agency capabilities are satisfied, the BCP will provide for continued performance of essential functions under all circumstances which can be reasonably anticipated.

Outsourcing Assessment (Paul)

Identified Risk (Pablo)

Kudler Fine Foods is an emerging company that has demonstrated growth in its sector of business. As the company continues to grow so will its needs in information technology. Kudler handles IT management in-house. Outsourcing some or all of its IT needs may place parts of the business at risk. Kudler has launched a website to capture sales as well as a new database to track customer purchases. To be able to stay current with emerging technology and be able to process the information outsourcing may be considered as an option. The risks inherent with outsourcing include a loss of control, a loss of data integrity and a loss of revenue.

The loss of control is inherent when outsourcing allows a company to take control of information technology resources and the ability to dictate how it is to be used. Contracts that are put in place may not be adhered to or not closely define the deliniation of duties and reporting structure to sustain control at the parent corporation. Data integrity may be at risk if the outsourcing company is not structured in its ability to store, backup and recover data in a timely manner as well as in a systematic approach. Data integrity will be crucial in tracking customer buying patterns that will allow Kudler to make decisions on how to stock their stores and what to offer online. Loss of revenue can be incurred due to the outsourcing company being ddiametrically opposed to the savings the Kudler want to reap. The cost savings in hiring personnel to administer information technology at Kudler may be lost in the cost incurred with outsourcing.

Out Sourcing Methods (Pablo)

Methods to outsource can vary dependent on need. Outsourcing can vary from complete operation of information technology to only parts of the operation that can include data mining, data collection, credit card handling and others. To establish outsourcing Kudler needs to investigate the reosurces that companies can provide and compare them to the needs of the company against the risks of sending proprietary information to potential business partner. Outsourcing may prove to be a benefit to Kudler if done in a manner that will be allow the continued growth of the company.

One would expect outsourcing to be a widely spread occurrence throughout the Fortune 1,000 if it does indeed improve strategic fit, realizes lower costs, takes advantage of vendor's skills, and overcomes the dearth of technical expertise. Outsourcing should be an equally good solution for anyone. It would work well for all corporations, without regard to size, industry, assets, profitability, or growth, as each finds that one or more of the many claimed benefits satisfy their needs. (Strassman, 1998, para. 11)

Kudler can outsource to an external company within the United States or offshore to one of the current countries, such as India, to provide some or all of its information technology needs. Choosing which way to outsource will be dependent on the needs of the company and how much risk is attached to the loss of control that Kudler is willing to give up.

Environmental Challenges (Paul)

Legacy Technology

Market Directions

Corporation Information Technology Role (Mitch)

Business Goals

Marketing/Office Support and Production Support

Communications

Applications/Function Priorities

Personnel Training and Replacement

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The link above doesn't work.

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_1230369915.vsd

Name Title

Name Title

Name Title

Name Title

Melisa Elbert IT Help Desk

Robert Trent Maintenance Engineer

Brenda Wagner HR Comm Specialist Initates all calls in Telephone Tree and informs DRP members of impending calls

Kathy Kudler DRP Team Director

Brenda Wagner DRP Admin Lead

Melisa Elbert IT Specialist

Davie Roper IT Specialist Asst

Tom Robards IT Specialist

Stephen Sims IT Specialist Asst

Harvery Stephens DRP Recovery Team Lead

Robert Trent Maint Engineer

Elbert Stevens Maint Engineer, Asst

Cecilia Dunbar HR Specialist

Anne Shousha Legal Councel

Donald Swenson La Jolla Store Mgr

Betty Grable En Cinitas Store Mgr

Denis Roberts Del Mar Store Mgr

Kudler Disaster Recovery Plan Team Telephone Tree

Disaster Event