INTRODUCTION TO BUSINESS CONTINUITY/DISASTER PLANNING MATRIX This business continuity tool is derived from a draft of the court continuity of operations planning document available at http://supreme.state.az.us/tac/Archives/FY07/070202/PandemicCOOP-Plan-Draft.pdf and records the outcome of the disaster planning process in your court. This court-related process should be traversed with your business partners as part of a larger county disaster planning framework. The matrix represents Commission on Technology's minimum artifacts to be captured from the planning process. If your county or court has a different but equivalent artifact, it may be submitted in place of this matrix.
THE BUSINESS WORKSHEET The Business worksheet should be completed by business practicioners, not technologists. Court processes or categories of processes required by law or rule have been pre-populated for reference. These were taken from Appendix 6 of the draft Court Continuity of Operations Document. Other common processes were added to help business leaders brainstorm basic functions courts must perform. This worksheet is designed to be the starting point for technologists by providing maximum allowable outage times by process that solutions must be put in place to address. It may also define an order of precedence for restoring business operations based on the listed criticality of each individual process (so do not simply label all processes with the same number). It contains 6 columns that let business leaders record their short- and long-term workarounds for each process in THE TECHNOLOGY WORKSHEET The Technology worksheet enables the alignment of the required business processes with the specific court automation systems that enable them. Using the same Impact and Likelihood numbering scale as used in the criticality rating of 1 to 5, 1 (1 X 1) would be the absolute largest impact and most likely scenario -- the other end of the spectrum, the lowest impact and least likelihood would be 25 (5 X 5). Everything should fall somewhere in between. Keep in mind the restore order identified by business leaders. Don't forget to rank order your system pre-requisites according to the needs identified, too. THE SAMPLE BUSINESS DATA WORKSHEET An example business worksheet, made from the composite input of testers, has been included for reference. THE SAMPLE TECHNOLOGY DATA WORKSHEET An example technology worksheet, using statewide automation systems, has been completed and scored by AOC for your reference. AOC is responsible for statewide systems -- the court or county is responsible for local systems.
12/3/2007
Disaster Planning Overview -- Business
Criticality Rating Maximum allowable time court can Notes or Authority for Function be without critical function Technology / Computer System that Responsible Organization enables function, if known for Technology What if Computer System Unavailable? Work Around Strategy (Short Term) What if no Staff Available? Restoration Strategy (Long Term) What if Access to Facility Unavailable? Work Around Strategy (Short Term) Restoration Strategy (Long Term)
Critical Business Activity or Function
Restoration Strategy (Long Work Around Strategy Term) (Short Term)
Conduct isolation and quarantine petition (due process) hearings
ARS 36-789 Judges may need to be available 24 hours a day .
Case Management System, AJIN
AOC
Conduct domestic violence protection order hearings
ARS 13-3602 I Must be held within 10 days of request ARS 12-1809 H Must be held within 10 days of request
Case Management System, Court AOC, DPS Protective Order Database, AJIN, DPS system Case Management System, Court AOC, DPS Protective Order Database, AJIN, DPS system
Emergency order allowing fax filings -- Judge needs fax/copy machine & fax phone number. Instruct public how to file in emergency situation. Electronic signatures order. Sheriff deliver paper orders to Judge. Paper case number list, Judge could issue. Send paper form to DPS to hand key Send paper form to DPS to hand key
Get one AZTEC PC running and one circuit to Phoenix
Get one AZTEC PC running and one circuit to Phoenix, AOC ensure CPOR reading Get one AZTEC PC running and one circuit to Phoenix, AOC ensure CPOR reading AZTEC and DPS ensure reading CPOR
Conduct injunction against harassment hearings Conduct forcible detainer hearings Conduct small claims cases Collect and receipt fees Conduct juvenile-related hearings Conduct criminal initial appearances Traffic arraignments Probate guardianship hearings Protection of estate assets hearings In-custody management activity Title 36 (Mental Health) Orders & evaluations Adult Probation Services Civil Case Processing
ARS 33-1377 B Must be held 3-6 days from summons ARS 22-515 A Within 60 days of defendant's answer AO 97-62 in accordance with minimum accounting standards Various
Case Management System, AJIN Case Management System, AJIN Local/County Finance System, Case Management System, AJIN Case Management System, JOLTS, AJIN Videoconferencing Case Management System, AJIN PAM, Case Management System, AJIN Case Management System, AJIN
AOC AOC Clerk, County, AOC AOC Local IT AOC AOC
Not more than 30 days
Case Management System, AJIN Case Management System, AJIN APETS, AJIN Case Management System, AJIN
AOC
AOC AOC
Page 2
12/3/2007
Disaster Planning Overview -- Technology
Dependencies Inter-dependencies Primary Server Human Skills Required to Operate Application or System Disaster Recovery, Backup, and Business Continuity process(es) in place.
Information Technology Application Overall Criticality or System
Common factors for the court to operate in the event of a disaster include the following: • • • • • • Electrical power. Capable staff. Communication means. Network infrastructure. Case Management Systems (AZTEC, APETS, JOLTS). Document Management System (OnBase).
Disaster_Systems_template_post_COT.xls
3
12/3/2007
Disaster Planning Overview -- Technology
Is the below disaster type mitigated fully? What is the liklihood of it happening? What would the impact be? Calculate a score. Score (L * Environme Likelihood Impact Single Likelihood Impact Likelihood Impact Score (L * Staff ntal Failure Failure Item or Magnitude I) Magnitude Magnitude I) (illness) System Compromi sed
Score (L * Multiple Likelihood Impact I) Items or Magnitude Systems Compromi sed
Score (L * Entire I) Faclity Lost
Likelihood Impact Magnitude
Score (L * I)
Disaster_Systems_template_post_COT.xls
4
12/3/2007
Disaster Planning Overview -- Technology
Cell: B1 Comment: 1=the most critical, 5=the least critical
Cell: C1 Comment: Some business systems require that other business systems be available. For instance, File/Print servers are dependent upon Active Directory and Active Directory is dependent upon the data network. Note: A system which is depended upon by another system always carries a ranking of equal or greater ranking than the dependant system. In the example above, if File/Print servers carries a ranking of 3 then both File/Print servers and Active Directory must also carry a ranking of 3 or less. Cell: D1 Comment: Interdependencies are required relationships with other applications to ensure the operation of the listed critical business system. Cell: H2 Comment: A single failure prevents use of needed applications or data. Ex: disk failure, switch failure, power supply failure. Cell: L2 Comment: Nothing is wrong with equipment or files, but staff unavailable to administer systems. Ex: pandemic. Cell: P2 Comment: Nothing is wrong with equipment or files, but staff cannot access systems. Ex: fiber cut, wildfire, entire grid down. Cell: T2 Comment: Multiple servers or items fail simultaneously due to same root cause. Ex: water damage, power surge, small fire.
Cell: X2 Comment: Total loss of all systems requiring restoration at an alternate site. Ex: building floods, hazardous waste, bombing.
Disaster_Systems_template_post_COT.xls
5
Sample Data -- Business
Critical Business Activity or Function Criticality Rating Maximum allowable time court can Notes or Authority for Function be without critical function Technology / Computer System that Responsible Organization for Technology enables function, if known Work Around Strategy (Short Term) Restoration Strategy (Long Term)
Conduct isolation and quarantine 1 petition (due process) hearings Adjudicate writs of habeas corpus filed to challenge quarantine orders, exclusion orders, or other measure imposed by public health authorities Conduct domestic violence protection order hearings 3
Ability to file & judge to sign temporary ARS 36-789 Judges may need to be orders -- 1 day available 24 hours a day . Ability to adjudicate temporary orders -30 days
Case Management System, AJIN
AOC
AOC, DPS 10 days ARS 13-3602 I Must be held within 10 Case Management System, Court "Stay-away" orders issued as part of IA days of request Protective Order Database, AJIN, DPS system 10 days ARS 12-1809 H Must be held within 10 days of request AOC, DPS Case Management System, Court Protective Order Database, AJIN, DPS system Case Management System Case Management System AOC AOC
Emergency order to allowing fax & email filings -- Judge needs fax/copy machine & fax phone number. Instructions to public on how to file in emergency situation. Electronic signatures order. Sheriff deliver paper orders to Judge. Paper case number list, Judge could Send paper form to DPS to hand key
Get one AZTEC PC running and one circuit to Phoenix
Get one AZTEC PC running and one circuit to Phoenix, AOC ensure CPOR reading AZTEC and DPS ensure reading CPOR
Conduct injunction against harassment hearings
3
Conduct forcible detainer hearings 4 Conduct small claims cases 5
6 days 60 days
ARS 33-1377 B Must be held 3-6 days from summons ARS 22-515 A Within 60 days of defendant's answer
Collect and receipt fees
4
All monies collected must be posted on AO 97-62 in accordance with same day, manually or electronically minimum accounting standards
Local/County Finance System, AZTEC Clerk, AOC
Get one AZTEC PC running and one circuit to Phoenix, AOC ensure CPOR reading AZTEC and DPS ensure reading CPOR Issue order outside of AZTEC and Get one AZTEC PC running and one record case details later circuit to Phoenix AO to suspend activity/time on cases. Get one AZTEC PC running and one Issue judgement/order outside AZTEC circuit to Phoenix and enter later Get local bookeeping software Issue paper reciepts for monies incoming and receipt to systems later. running, Clerk data restored. Get one Hold monies in Clerk safe until they can AZTEC PC running and one circuit to Phoenix be deposited, suspend MAS. Credit card payment over the internet. Filing fees could be suspended by emergency order. Do not keep juveniles in custody -release to parent/guardian ASAP Transport in custody or send judge to jail. Prepare emergency order to allow IA's via telephone/radio. Issue paper orders and enter case data later Issue paper orders and enter case data later Get one JOLTS PC running and one circuit to Phoenix Do in person
Send paper form to DPS to hand key
Conduct juvenile-related hearings 1 Conduct criminal initial appearances 1
File petition w/in 24 hrs Hearing w/in 48 hrs 24 hours
Various Within 24 hours?
Case Management System, JOLTS Videoconferencing
AOC Local IT
Traffic arraignments Probate guardianship hearings Protection of estate assets hearings In-custody management activity
5 2 4 2 Not more than 30 days
Case Management System PAM and Case Management System
AOC AOC
Get one AZTEC PC running and one circuit to Phoenix Get one AZTEC PC running and one circuit to Phoenix
Case Management System
AOC
Issue paper orders to justice partners and enter case data later
Get one AZTEC PC running and one circuit to Phoenix
Title 36 (Mental Health) Orders & 1 evaluations 1 Probation services - inform probationers of alternate reporting requirements & payment procedures
APETS
AOC
Suspend in-person reporting, use telephone & in writing, etc. VPN for several Probation officers to access APETS remotely
Get one APETS PC running and one circuit to Phoenix
Sample Data -- Technology
Information Technology Application Overall Criticality or System Dependencies Inter-dependencies Primary Server Human Skills Required to Operate Application or System Disaster Recovery, Backup, and Business Continuity process(es) in place. Is the below disaster type mitigated fully? What is the liklihood of it happening? What would the impact be? Calculate a score. Likelihood Impact Score (L * Environm Likelihood Impact Single Likelihood Impact Score (L * Staff Magnitude Magnitude I) ental Failure Item or Magnitude I) Failure (illness) System Compromi sed 4 3 12 5 3 15 4 2 Likelihood Impact Score (L * Multiple Magnitude I) Items or Systems Compromi sed 8 5 2 Score (L * Entire I) Faclity Lost Likelihood Impact Magnitude Score (L * I)
Arizona Judicial Information Network
1
Vendor circuits
Local building wiring, switch, hub, router
N/A - Core routers at Network administration AOC and local routers at Carrier management/ Contract management courts Data Center Support Team Specialized hardware support Network administration
Redundant communications paths to certain superior courts Redundant carriers RAID Protection for data Replicated DBs at DES Redundant Components Farming Nodes Daily Backups Off-Site Tape Storage RAID Protection Daily Backups Off-Site Tape Storage
10
5
1
5
AZTEC Case/Financial Management System/Probate and Arbitration Module
1
Utility Power Wired Network Storage System Computing H/W Computing S/W
AJIN, Data Warehouse, • T3 Connectivity to Crystal Reports AOC • Court 1 and Court4 Servers functional • AZTEC SC9999, MC9999, and JP9999 DBs functional AJIN, Crystal Reports, • AOC400 CESERVER Data Warehouse, dependency feeds from Pima and Maricopa, TASC invoices (Maricopa), Youth Index feed (Maricopa, Pima), Diversion/Petition/JIPS/ Referral/Probation/Deten tion data feeds (Maricopa, Pima) JOLTS Juvenile CMS, Notification Services (NOTES1 SQL Server), Crystal Reports, AJIN
3
4
12
2
4
8
4
2
8
5
2
10
5
1
5
JOLTS Juvenile CMS
1
Connection to Database Support from AOC IT staff Wired Network Storage System Support from both AOC and County Telecommunicatio ns Departments
• JOLTS administrators AS/400 support Data Center Support Team Network Administration
2
5
10
5
5
25
4
2
8
2
2
4
5
1
5
JOLTSaz (visitation)
2
Connectivity to AOC server systems (AJIN); Availability of JOLTS legacy system, crystal enterprise system
• AppServe1 / Supreme37 • SQLDB01, NOTES1 • CESERVER (crystal enterprise) • AOC400
JOLTSaz County coordinator, Support, Dev/Business support, Operations
Daily database backup
4
2
8
5
1
5
4
3
12
4
3
12
5
1
5
APETS Adult Tracking
1
UA Data feeds, Connection to Bookings Data feeds Database Support from AOC IT staff Support from both AOC and County Telecommunicatio ns Departments
court22
APETS administrators Data Center Support Team Network Administration, APETS Training and Keyboard skills and a working knowledge of Informixs, Powerbuilder 8.0, and HOW 3.0 Network administration Carrier management/ Contract management
RAID Protection Replication Server Daily Backups Off-Site Tape Storage
4
3
12
4
1
4
4
2
8
4
3
12
5
1
5
Videoconference
2
Remote-end equipment Polycom VX7000 at AJIN Support from both must also be functioning AOC and standalone units at various courts AOC and County Telecommunicatio
Redundant communications paths to certain superior courts Redundant carriers
3
3
9
5
3
15
5
4
20
5
2
10
5
1
5
2
Common factors for the court to operate in the event of a disaster include the following: • • • • • • Electrical power. Capable staff. Communication means. Network infrastructure. Case Management Systems (AZTEC, APETS, JOLTS). Document Management System (OnBase).