The purpose of this policy is to define planning and related activities to ensure that the University’s core, critical or regulatory required functions will either continue or be recovered to an operational state within a reasonable amount of time in the event of an incident or disaster that would otherwise impact the University’s ability to conduct operations. 

Effective business continuity and disaster recovery plans are required in all areas of the University. Each school, unit and division must develop plans that will allow it to perform its core-required operations in an alternative fashion as well as an appropriate disaster recovery policy for their working environment.

An effective Business Continuity Plan (BCP) contains the steps outlined below. Each school, administrative division or other university entity's BCP is expected to contain these steps, as appropriate, completed in a proficient and well-documented manner.

Note: The Information Security Office is available to consult on the BCP process. Information Technology Services is available to consult on your specific DR needs (please contact the ITS HelpDesk for assistance).

Administrative Standards:

1.     Perform Gap Analysis.

2.     Conduct Risk Assessment.

3.     Perform Business Impact Analysis.

4.     Determine Continuity/Recovery Strategy.

5.     Implement Continuity/Recovery Strategy.

6.     Establish BCP and Disaster Recovery Maintenance and Awareness Program.

Also see ISO-015 Backup of Data.

Gap Analysis

A process where the current state vs. the desired state for a process, system or organization is prepared. The differences between the current state and the desired state are called gaps. These gaps then become the basis for prioritization, planning and basis for action to move to the desired state.

Risk Assessment

In disaster recovery or business continuity planning, a risk assessment will typically include:

1. Identification and classification of primary risks and exposures including external and environmental risks as well as inherent business risks.
2. Probability (likelihood) of occurrence.
3. Impact of occurrence including cost and reputation.
4. Strength of existing controls.
5. Consideration of senior management risk tolerance and level of acceptance of identified risks vs. cost of various mitigation plans.

Business Impact Analysis

In business continuity planning, a business impact analysis includes:

1. Identification of critical business processes at departmental/unit level.
2. Risk Assessment including quantification of impact of an event.
3. Identification of points of failure and process interdependencies.
4. Development of recovery time objective (RTO) and recovery point objective (RPO). See definitions of these terms in this document.
5. Degree of criticality and supporting prioritization of processes for recovery.
6. Review and update annually.

Continuity/Recovery Strategy

In disaster recovery or business continuity planning, a continuity and recovery strategy includes these steps:

1. Assess alternate continuity/recovery strategies.
2. Select continuity/recovery strategy.
3. Develop and document continuity/recovery strategy plans.
4. Disaster Recovery Plans as part of a broader Business Continuity Plan should include:
    a.      Classification of critical systems and records to ensure priority of recovery.
    b.      Mitigation strategies and safeguards to avoid disasters.
    c.      Support of RPO and RTO objectives.
    d.      Necessary electronic files backup and off-site storage strategy (see IS PS015 Backup of Data).
    e.      Security controls equal to those of day-to-day operations.
5. Define organizational responsibilities and critical functions for implementing plans, document, communicate to all involved parties and implement.
6. Off-site storage - which meets University security requirements - for at least one copy of the planning documents.
7. Sufficient and secure off-site facilities for continuation of business, if necessary (see IS PS009 Data Facilities).
8. Annual training and testing of plans to include documented procedures, results and correcting of noted deficiencies.
9. Annual review and revision of the plans.
10. Coordination with central ITS disaster recovery strategy, if applicable.

Disaster Recovery Maintenance and Awareness Program

Process includes:

1. Conduct education and awareness training with personnel.
2. Perform periodic BCP plan walkthrough and testing.
3. Review and update plans and documentation annually or per testing deficiencies.

Policy Authority/Enforcement: The University's Information Security Officer (ISO) is responsible for the development, publication, modification and oversight of these policies and standards. The ISO works in conjunction with University Leadership, Information Technology, Audit Services and others for development, monitoring and enforcement of these policies and standards.

Policy Compliance: Failure to comply with these policies and standards and/or any related information security and/or information technology policy, standard or procedure may result in disciplinary action up to and including termination of employment, services or relationship with the University and/or action in accordance with local ordinances, state or federal laws.