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					UNIVERSITY OF CALGARY BUSINESS CONTINUITY PLANNING Step 2: Critical Functions
This Step 2 document is to review critical functions of the department. Identify Your Critical Functions Name the major functions that your unit NORMALLY performs. The priority of each function, after a catastrophic event, needs to be assessed. Key functions will be listed and each will have the level of “Criticality” included. There are samples of functions below and also the levels of criticality are described below. A note about extraordinary functions: Some units have functions that they do not normally perform, but may be called upon to do so in times of crisis. For example, a residence department may have to operate isolation/quarantine facilities during a pandemic. These "extraordinary functions" typically require specific and detailed plans. Most units will not have such functions, but if your unit does, you can either name it on this screen as a critical function, OR you can simply attach any separate plan on the document summary area. Alternatively, you might make an action item to remind your unit to create a separate plan. GUIDANCE: FUNCTIONS - We are asking here for the functions you normally perform. Here are some examples: - classroom instruction - laboratory research - purchasing - paying employees - medical clinic - course scheduling - facilities maintenance - residence services - trust accounting LEVELS OF CRITICALITY FOLLOWING DISASTER - please note the following definitions for each level of criticality. CRITICAL 1: must be continued at normal or increased service load. Cannot pause. Necessary to life, health, security. (Examples: inpatient care, police services) CRITICAL 2: must be continued if at all possible, perhaps in reduced mode. Pausing completely will have grave consequences. (Examples: provision of care to at-risk outpatients, functioning of data networks, atrisk research) CRITICAL 3: may pause if forced to do so, but must resume in 30 days or sooner. (Examples: classroom instruction, research, payroll, student advising) DEFERRABLE: may pause; resume when conditions permit. (Examples: elective surgery, routine building maintenance, training, marketing)

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Description of Each Function
*Note: Complete the next pages for EACH Critical Function in your department and add additional functions if needed.

Function 1
1. Critical Function Name: 2. Brief description of this function: 3. Name or section or unit that performs this function (if applicable): 4. Responsible person(s) (give names unless this is a generic group): 5. Is the function: Critical 1 6. Periods of High Activity: Place a check beside each month when you would expect there to be especially high activity involved in accomplishing this function. This might be a peak workload period such as the annual fiscal closing for accounting functions; or it might denote activities that happen only at certain times - such as course-registration that happens once per semester. Select as many months as needed. Explain if necessary. If this function has no peak periods, leave blank. January May September 7. Explanation needed? February June October March July November April August December

Documents Required Following a Crisis
Please identify any documents that are very important to this function – whether they are individual documents (such as policy manuals) or sets of records (such as patient files, research files, vendor invoices, etc.). The documents listed here may be paper or electronic. Do not include records that are stored within a database application such as a financial system, an HR system, a medical records system, etc. These will be treated elsewhere. 8. Name of document or record: 9. Brief description, in your words, of document: 10. Medium (paper, electronic, microfilm): paper 11. Principal contact person(s): 12. Name of owner (department, not person): 13. Backup or loss protection measures: 14. Location where kept (specific office, cabinet or computer): ** Attach (electronically) the significant files or information as necessary to include in this package** If a document is confidential or sensitive, please describe it but do not attach it.

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Dependencies
GUIDANCE On this page we answer the questions "who produces what we need" and "who needs what we produce". The dependencies we speak of here are primarily departments, although occasionally it is quite appropriate to name a process (e.g. instruction) or a group of people (e.g. students). Please do not name IT systems as either upstream or downstream dependencies. IT systems are treated separately. Please indicate the departments, within the University of Calgary, whose reduced functioning would seriously impair your own department's ability to perform this function. Conversely, please also indicate those departments that would be seriously impacted if YOUR DEPARTMENT could not perform the above function. In other words, whom do you depend on (upstream dependencies), and who depends on you (downstream dependencies)? Upstream Dependencies: All Departments on campus (check this box if this is a cross campus service for all depts.). Audit Services Campus Recreation
Continuing Education External Relations) Facilities Development Facilities Management Faculty of Communication and Culture Faculty of Education Faculty of Environmental Design Faculty of Fine Arts Faculty of Graduate Studies Faculty of Humanities Faculty of Kinesiology Faculty of Law Faculty of Medicine Faculty of Nursing (Calgary) Faculty of Nursing (Qatar) Faculty of Science Faculty of Social Science Faculty of Social Work Faculty of Veterinary Medicine

Financial Services
Haskayne School of Business

Hotel & Conference Services Human Resources Information Technologies
President Provost and Vice-President (Academic)

Research Services Residence Services Risk Management, Safety & Security
Schulich School of Engineering

Supply Chain Management
University Governance

Vice-President (External Relations) Vice-President (Research)
Vice-Provost (Faculty Relations) Vice-Provost (Graduate Education) Vice-Provost (International) Vice-Provost (Libraries and Cultural Resources)

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Vice-Provost (Planning and Resource Allocation) Vice-Provost (Students)

Wellness Centre Other, Indicate department Other, Indicate department Other, Indicate department Downstream Dependencies: All Departments on campus (check this box if this is a cross campus service for all depts.). Audit Services Campus Recreation
Continuing Education External Relations) Facilities Development Facilities Management Faculty of Communication and Culture Faculty of Education Faculty of Environmental Design Faculty of Fine Arts Faculty of Graduate Studies Faculty of Humanities Faculty of Kinesiology Faculty of Law Faculty of Medicine Faculty of Nursing (Calgary) Faculty of Nursing (Qatar) Faculty of Science Faculty of Social Science Faculty of Social Work Faculty of Veterinary Medicine

Financial Services
Haskayne School of Business

Hotel & Conference Services Human Resources Information Technologies
President Provost and Vice-President (Academic)

Research Services Residence Services Risk Management, Safety & Security
Schulich School of Engineering

Supply Chain Management
University Governance

Vice-President (External Relations) Vice-President (Research)
Vice-Provost (Faculty Relations) Vice-Provost (Graduate Education) Vice-Provost (International) Vice-Provost (Libraries and Cultural Resources) Vice-Provost (Planning and Resource Allocation) Vice-Provost (Students)

Wellness Centre Other, Indicate department Other, Indicate department Other, Indicate department Other, Indicate department

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Consequences of Slow Recovery
GUIDANCE These questions show why this function is critical. Don't agonize over these questions; give your best answers and move on. Suppose the function named above is not restarted quickly enough following a disaster. Which of the listed "harmful consequences" might occur? Please check beside the appropriate consequences and add comments if you wish. Harmful Consequence Disruption of teaching? Disruption of research? Disruption of patient care? Departure of faculty? Departure of staff? Departure of students? Well-being of faculty/staff? Well-being of students? Payment deadlines unmet? Loss of revenue? Legal obligations unmet? Legal harm to the University? Impact on other unit(s)? Impact on important business partner(s)? Other? (please explain) Other? (please explain) Other? (please explain) Other? (please explain) Other? (please explain) Comments

How to Cope
Guidance - Accept this challenge: We will continue (or rapidly restart) our teaching, research and necessary support functions, no matter what the conditions. - Be brief! If details are needed, create a separate document and attach a separate document. - If your suggestions require pre-disaster preparations, that's fine. Later you will be asked to identify such "Action Items." - When planning for the staffing of your unit during and after a crisis-event, remember that many factors influence a person's ability to come to work -- availability of child care, schools, elder care, pet care, transportation, and many other factors when our lives get disrupted. Would it be possible to compensate with temporary help? Where will you get them? Will they need training? - The work form home page will ask who among your faculty and staff can do computing from home. Consider whether your unit also has tasks that can be done at home WITHOUT a computer. The following questions ask you to visualize the conditions that might prevail in the weeks or months following a disaster. You may be missing certain key resources, such as:  Your usual space  Some of your staff  Certain equipment  A key vendor  Power, phone service or network service  Certain data

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Please answer the questions below using only one-to-several bullets or sentences each. Give ideas, not detailed procedures. 1. Space: How would you carry out this critical function if your usual space is not available?

2. Staff: How would you carry out this critical function if, for couple of months, your average absence rate of faculty & staff were 35%? This could easily be the case in a flu pandemic.

3. Unique Skills: Does the successful performance of this critical function require the skills or knowledge of any one particular staff member (or her files)? If so, how will you deal with her absence? Crosstrain a co-worker in advance? Outsource? Some other strategy?

4. Working at Home: Visualize an environment of contagious illness. Suppose the University requested that as many faculty & staff as possible work from home for a month or two (stay away from campus to minimize contagion). Can you perform this critical function with some (or all) staff working from home? What equipment, supplies and arrangements do you have in place? What equipment, supplies, and arrangements would be needed?

5. Network Access: How would you carry out this critical function if the data network is not available?

6. Show Stoppers: Is there any resource that is so important or irreplaceable that you CANNOT perform this function without it?

7. University Closure: Visualize that, during a flu pandemic, the University officially closes, with all operations (except non-stoppable activities) to cease for at least a month. Is it possible for your unit to simply cease doing this critical function? Yes No Comments:

8. Risk: Will any of your above suggestions expose the University to risk? If so, can you suggest how to mitigate/control this risk?

9. Policy Exceptions: What policy exceptions might be needed to carry out your above suggestions? Who would have the authority to grant them?

10. Additional Vulnerabilities: Is there anything ELSE that could prevent you from continuing or restarting this function?

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Action Items
Guidance A stitch in time saves nine. An ounce of prevention is worth a pound of cure. And Action Items are the most important things in a continuity plan. Action Items are things that could be done now (or anytime before disaster strikes) to make your unit more prepared. The typical Action Item begins with a verb and can be stated in one sentence. Some examples: - Develop a plan for secure storage of critical research materials. - Cross-train 2 staff members to do dept. purchasing. - Train clinical staff in procedures to follow if medical record system is down. Action Items are ideas, not commitments to act. Please think outside the box and don't feel constrained by resources. Some of your Action Items may be beyond the scope of your unit to perform. That's OK, we can deliver your ideas to the proper people! What can be done to PREPARE? What can your unit (or another unit, or the campus) do BEFORE ANY DISASTER STRIKES to lessen its impact on this critical function? Or to make it easier for you to continue/restart this function? 1. Suggestion 1: 2. Cost: Less than $100 3. Cost is: one time 4. Carrying out this action item is within the scope of: my unit itself 5. Comments:

6. Suggestion 2: 7. Cost: Less than $100 8. Cost is: one time 9. Carrying out this action item is within the scope of: my unit itself 10. Comments:

11. Suggestion 3: 12. Cost: Less than $100 13. Cost is: one time 14. Carrying out this action item is within the scope of: my unit itself 15. Comments:

16. Suggestion 4: 17. Cost: Less than $100

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18. Cost is: one time 19. Carrying out this action item is within the scope of: my unit itself 20. Comments:

21. Suggestion 5: 22. Cost: Less than $100 23. Cost is: one time 24. Carrying out this action item is within the scope of: my unit itself 25. Comments:

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