# Presentation: 729191

## Lawrence Livermore National Laboratory

**Lawrence Livermore National Laboratory**

**Lawrence Livermore National Laboratory, P. O. Box 808, Livermore, CA 94551**
**This work performed under the auspices of the U.S. Department of Energy by  Lawrence Livermore National Security, LLC under Contract DE-AC52-07NA27344**

**John Richards**
**Emergency Programs Organization**
**Emergency Management Department**
**May 7, 2008**

**Approaching Business Continuity for R&D Facilities**
**A Case Study**

- LLNL-PRES-402963

## Acknowledgements

- Paul Dimond
- Manager, Office of Continuity Planning
- 	University of California, Berkeley
- http://obr.berkeley.edu
*Continuing Berkeley’s Excellence: UC Berkeley’s Readiness to Rebound From Disaster*. January 2008, © UC Regents
- Hugh Watling
- Lawrence Livermore National Laboratory
*LLNL Business Continuity Planning Guide*
- June 18, 2007 (UCRL-AM-231845)

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## Research Facilities 

-  Special People
-  Special Equipment
* *Special Challenges
-  Special Mission = *Science in the National Interest*

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## Terms

- Continuity of Operations (COOP)
- Focus on the Customer's mission essential _Functions_ as defined by our Customer (DOE)
- Business Continuity
- Focus on Our ability to continue performing _our Mission_ despite adverse events

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## Case Study - UC Berkeley

-  Staff - 11,000
-  Academic Staff - 6,500
-  Faculty - 2,000
-  Management - 900
-  Undergrad Students - 24,600
-  Grad Students - 10,300
- Total = 55,300
-  Departments = 300 - 400
-  Land - 1,232 acres
-  Housing - 8,500 beds

- Space (sq ft)
-  Classroom/Instruction - 647,471
-  **Research - 1,388,797 (*****14%)***
-  Office/Support - 2,467,882
-  Housing/Food - 2,118,908
-  Meeting/Study - 1,528,735
-  Other - 1,773,013
- Total = 9,954,806
-  **Sponsored Research (FY07)**
**Total = $ 545,022,000**

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## Case Study - UC Berkeley

- 1978 - Ongoing: Building + Utilities Seismically reinforced.
- 2001 adopted a Business Resumption Plan
- How to secure their mission - teaching, research, and public service - against disruptive events.
- Coordination Group - 25 Senior managers members, meets twice a year.
- Office of Continuity Planning, 2 FTEs.
- Department Level Planning identified as Key.
- Human Resource issues were identified.
- Facilities Reoccupation issues were identified.
- Undergraduate Curriculum prioritized.
- Campus Health Service readiness plan.

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## Case Study - UC BerkeleyKey

-  Department Level Planning
- This is where operational knowledge resides, and Business Continuity planning focuses primarily on operational issues.
*This will identify all the important needs: those that can be handled by the department AND those that need action at a higher level of the organization. But the converse is NOT true: planning at the top institutional level will NOT identify all departmental needs.*

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## Case Study - UC BerkeleyWhy Departmental Planning Is Essential

**Example 1: **Faculty/staff in Social Welfare Dept will know they must communicate, during a regional disaster, with the outside agencies hosting field work for MSW students, and they will include provisions for this in their continuity plan. Campus-level planners might not even know that these relationships exist.
**Example 2: **Backing up vital records is an important continuity strategy. Although “back everything up” has become a mantra, many departments across the campus still maintain some important records on paper. Only department staff know what these are, and how best to secure them.
**Example 3: **Refrigeration can be critical for research, yet refrigerators fail. One way to mitigate the consequences of failure is to keep a list of refrigerators/freezers elsewhere on campus to which endangered materials could be transferred. Only researchers and lab staff have the knowledge to make these arrangements.
**Example 4: **Campus is home to many collections that are irreplaceable (libraries, museums, etc.) Current campus policy could bar access to buildings for lengthy periods after earthquake, preventing skilled personnel from saving collections from further damage. Museum planners give this issue high priority; campus-level planners are less likely to have this issue on their radar screen.

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## Case Study - UC Berkeley2001 Challenges

- Business Continuity Planning was an unfamiliar concept imported from business world.
- 300 to 400 departments in need of planning.
- Big burden on staff/faculty with little time or patience for a long term planning activity of uncertain benefit.
- Few resources available and none at the department level.
- No good models could be found.

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## Case Study - UC BerkeleyMethodology 

**Departmental planning is the foundation. **Departmental planning is the “engine” of campus readiness.
**All departments. **All departments should plan.
**One process for all. **There should be a single planning process, appropriate for all types of departments: instructional, research, public service, administrative, and support units.
**All hazards. **The process must prepare us to rebound from all types of disasters: nature-caused, human-caused, big, small.
**Intuitive process. **The process must be “do-it-yourself”, requiring little training. Any tool must be intuitive and easy-to-use.
**The goal is not plan-creation; the goal is readiness. **The goal of the process is readiness for disaster, not the mere production of a plan. Hence the plan must include “action items for readiness”, and the business continuity process must cycle back periodically to promote and track the completion of these action items.
**Campus-level readiness. **The process should lead to campus-level                 readiness as well as department level readiness.
-  **Low cost. **Administrative costs must be minimal.

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## Case Study - UC BerkeleyProcess

**Form a Department Level Planning Team.**
**Hold an Orientation Meeting for the Team with the Office of Continuity Planning.**
**Create the Departmental Continuity Plan.**
- Identify the department’s critical functions.
- Discuss briefly how to perform those functions under conditions of diminished resources (diminished space, staff, equipment, data networks).
- Suggest action items that can be done in advance of any disaster-event to make the department more ready to cope.
**Present the Plan to the Department Head.**
**Perform the Action Items that are in the Plan.**
**Do an Annual Readiness Exercise.**

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## Case Study - UC BerkeleyAction Items = "To-do list for readiness"

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## Case Study - UC BerkeleyAction Item Examples

- Investigate whether Purchasing Card limits & restrictions can be lifted for recovery period.
* **Supports which critical function: *Purchasing
* **Estimated cost: *less than $100
* **Is cost one-time or annual? *One-time
* **Within whose scope:* my unit together with other units on campus
* **Status: *Completed
- Develop a fund for emergency grants to faculty to cover expenses of conducting research in alternate ways or at alternate locations.
* **Supports which critical function: *Research
* **Estimated cost: *Don't know
* **Is cost one-time or annual? *Annual
* **Within whose scope: *the campus
* **Status: *Not yet begun

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## Case Study - UC BerkeleyPlan Content

- Part 1: General Information (number of personnel, locations, critical functions list, etc.)
- Part 2: Action Items to Increase Our Readiness
- Part 3: Information & Strategies for Operating during Crisis
- 3A. Critical Functions - Assessment & Consequences
- 3B. Information Technology (IT)
- (1) Applications
- (2) Servers
- (3) Workstations
- (4) IT Strategies

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## Case Study - UC BerkeleyPlan Content  (cont.)

- 3C. Faculty Preparedness
- 3D. Key People & Resources
- (1) Communication Resources
- (2) Working from Home
- (3) Key Staff
- (4) Key Staff of Other Campus Units
- (5) Key Off-Campus Partners
- (6) Key Vendors
-  Appendix: List of Key Documents

- (7) Key Others
- (8) Office & IT Equipment
- (9) Other Equipment
- (10) Supplies (Consumables)
- (11) Facilities
- (12) Other Resources

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## Case Study - UC BerkeleyDepartment Exercises

- The mechanism that embeds disaster-readiness into the fabric of the institution.
- Tabletop exercise; 60 to 90 minutes.
- Participants review the status of each action item, discuss what resources are needed to bring action items to completion, and examine whether some items should be dropped or others added.
- Places the department head, plus senior management at the exercise table, lending true authority to the process (as opposed to the plan creation process, which often has heavier staff input).

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## Case Study - UC Berkeley2008 Status

- Web-Based Software Business Continuity Planning Tool - "Do It yourself" approach
- Launched in September 2006
- 164 departments are using (72 complete)
- Typical plan; 20 - 30 pages
- Annual Departmental Exercises
- Action Item Tracking
- Something that can be done in advance of the disaster to make the department more ready to cope
- 574 items created

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## Case Study - UC Berkeley2008 Recommendations for Continuity of Research

- How to consolidate undamaged lab space to accommodate more users post-disaster.
- How to categorize laboratory uses, with an eye toward which types of uses could be relocated off-campus, housed in portable buildings, or given priority for campus space. Develop criteria that could support decision-making for allocation of usable laboratory space.
- Identify possible sites for relocation of labs.
- Develop relationships with corporate partners who might provide temporary space.
- Develop mutual-aid relationships with other research facilities that include possible sharing of space.

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## Case Study - UC Berkeley2008 Recommendations for Continuity of Research

- Provide for duplicate (off-campus) storage of vulnerable lab records, materials and specimens.
- Maintain an inventory of refrigerators and freezers on campus for possible shared use.
- Systematize the documentation of lab contents for the purpose of replacement and reimbursement.
- Continue discussions with major research sponsors to work out issues of post-disaster recovery: flexibility of deadlines, allowable uses of funds, etc.
- Work out issues that will arise if grant-funded staff are temporarily unable to perform their funded activities.
- Determine how to obtain temporary space in the event of major             damage to multiple campus buildings.

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## Case Study - UC Berkeley2008 Recommendations

- Consider putting a major disaster-recovery contractor, who specializes in disaster recovery and can quickly marshal practically any skills and equipment needed, on retainer.
- Need to ensure a robust purchasing infrastructure during a post disaster recovery period.
- Develop a plan to temporarily raise Purchasing Card limits (for many campus users) and lift Card restrictions post-disaster.
- Design an expedited process for obtaining Purchasing Cards post-disaster.
- Develop guidelines for departments to use if they are forced to “spend while blind” (i.e., if the  Financial tracking/reporting systems are temporarily down).
- New UC Corporate commitment for Business Continuity;                                 $2 million = matching $100K at 10 campuses

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## Case Study - UC BerkeleyContinuous Improvement 

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## Case Study - UC BerkeleySummary

- At its core, the UC Berkeley continuity planning process is an **action item generator. **This is the essential feature of the process that positions the campus to achieve its goal of **readiness for disaster. **"Plans may sit on shelves; but action items are designed to be implemented, especially when the process includes a periodic checkup mechanism."
- The emphasis of the UC Berkeley continuity planning methodology is **mitigation: **getting their campus ready for adverse events by doing, ahead of time, those things that will limit the impacts and position the campus to recover more rapidly.

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## Questions?

**Questions?**

***Thank You.***

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