BUSINESS IMPACT/CONTINUITY PLANNING QUESTIONNAIRE



JAMES MADISON UNIVERSITY

CONTINGENCY PLANNING QUESTIONNAIRE

PLEASE READ THE QUESTIONNAIRE IN ITS ENTIRETY PRIOR TO COMPLETION

|Dept. Representative |John Doe | | |Date: |July 7, 1999 |

|Department Name |Finance | | |Phone: |651-555-5555 |

| | |E-Mail: | |

Purpose: McGladrey & Pullen, LLP has been engaged to assist James Madison University in developing a contingency planbusiness continuity plan to ensure business continuity and to restore the central computing facility and telecommunications system .in the event of a technical, natural or human disaster event. In order to facilitate this process, we need to identify critical automated systems that are used within each department in order to prioritize their order of restoration following a disaster. The purpose of this questionnaire is to assist in the identification of critical business processes and high priority business functions performed within the department related to mission critical systems. In addition, the document is designed to assist in the thought process necessary to develop temporary operating procedures and restoration procedures to be used following a disaster until the central computing facility and telecommunications can be restored.

Definitions:

• Disaster - Any unplanned event causing enough disruption to deny access to computer and telecommunications resources currently used to perform daily tasks. This could include a Year 2000 related event.for a period of up to seven days.

• Critical Business Processes – Business processes performed by the department that significantly affect service levels to students, eaffect public safety, significantly affect service levels to students, impact budgetproduce significant income (or loss avoidance), and/or are the result of governmental regulations. These are the busines processes that can not be delayed or eliminated following a disaster. While departments vary in their critical business processes, it is common that approximately 20% of your daily functions are truly critical during a disaster or emergency situation.

• Temporary Operating Procedures - Short-term procedures or alternate processing or work methods to be implemented in the event that telecommunications, the facilities, equipment, and computer system(s) areis destroyed or unavailable.

• Restoration Procedures – Procedures to synchronize the alternate processing methods with the automated systems, once the automated systems have been restored.

Instructions: Your participation in this process is vital. Following receipt of your questionnaire, an interview with our consultants, McGladrey & Pullen, LLP, will be scheduled with you to discuss your contingency planning concernsrequirements in greater detail. Please complete and return the questionnaire to Information Technology Planning, MSC 5801______, by August 20, 1999___________. Attach additional sheets as necessary. Please make a copy of your completed questionnaire and bring your copy to your scheduled interview. Thank you for your cooperation.

ContingencyBusiness Continuity Planning Questionnaire

1. Please list the following information:

1. Critical Business Processes - Critical business processes performed by your business unit.

2. Automated Systems - Automated system(s) and other equipment that you currently use to perform each critical business process (e.g., main computer, network, PC, voice/data communications, etc.).

3. Software Application Name - Name of the application used to perform each critical business process.

4. Frequency - Frequency or cycle of the critical business process (i.e., daily, weekly, monthly, etc.).

5. Maximum Outage - Maximum acceptable outage time (in days24 hour increments, 24, 48, 72, 96, 120, etc.) that you could function without the automated system(s) if a disaster or disruption occurred and rendered your system(s) inoperable, before temporary operating procedures are implemented.

• Special Circumstances - Under what circumstances would you implement temporary operating procedures IMMEDIATELY (e.g. – unknown outage length, during registration, during graduation week, etc.)?

• Dependencies – Please indicate if this process is dependent upon central services, such as Voice Telecom, Campus Network Connection , Central Server (e.g. Novell , UNIX or NT servers), Internet Connection, Other (e.g. modem, outside fax).

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| |Software | |Maximum | |Dependencies |

| |Application | |Outage |Special | |

|Critical Business Process |Name |Frequency |(Days) |CircumstancesMaximum | |

| | | | |Outage | |

| | | | |(Days) | |

| | | | | |Voice |Campus Network |Central Server |Internet Connection|Other |

| | | | | | |Connection | | | |

|Payroll Processing |ADP |Bi-week |3 |3Within 3 days of running | | | | | |

| | | | |payroll | | | | | |

|Accounts Payable Processing |LGFS |Bi-week |7 |7at year-end | | | | | |

|Purchasing | |Bi-week |3 |3at year-end | | | | | |

|General Ledger Processing | |Weekly |14 |14at year-end | | | | | |

Business ContinuityContingency Planning Questionnaire and Year 2000 Contingency Planning

2. Please assess the impact of not performing each critical business process beyond the maximum acceptable outage determined previously.

6. Category - Specify one or more of the following categories for each critical business process: Customer Service, Operations, Financial, Legal/Regulatory, Other.

7. Impact - Specify a High (H), Medium(M) or Low(L) customer service impact rating for each critical business process.

8. Basis - Provide the basis (rationale) for the impact rating.

| |Category / Impact | | | | |

| | Customer | | | | |

|Critical Business Process |Service |Oper. |Finl. |Regu- |Basis |

| | | | |latory | |

|Payroll Processing |L |H |H |H |Legal requirement, morale impact |

|Accounts Payable |M |M |M |L |Vendors could go without payment for a period of time, but vendor relations would |

| | | | | |suffer |

|Purchasing |L |H |M |L |Emergency purchases would need to be processed quickly for disaster recovery: |

| | | | | |however, these could potentially be done manually for a period of time |

|General Ledger |L |M |M |L |Financial control must be maintained, but it is not time sensitive in a disaster |

| | | | | |situation |

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Business ContinuityContingency Planning Questionnaire and Year 2000 Contingency Planning

3. For each critical business process, please list the following information:

9. Temporary Operating Procedure - Temporary operating procedure or alternate processing method (e.g., manual processing) that could be used in the short-term to perform the critical business process in the event of a systems outage.

10. Volume Level – The minimum level of output or services required to sustain operations for the critical business process (e.g., 150 checks per week).

11. Duration - Length of time in hours or days (if greater than 24 hours) that the temporary operating procedure could be used to effectively sustain operations.

12. Additional Staffing Resources - Additional personnel resources required to perform the temporary operating procedure.

| | | Volume | Duration |

|Critical Process |Temporary Operating Procedure |Level |(Hours Days) |

|Payroll Processing |Access the most recent payroll register and process checks based on last |650 per week |7 days |

| |payroll in order to allow people to get paid. Cut manual checks as necessary| | |

| |for new employees. Collect actual payroll data for entry after system has | | |

| |been restored. | | |

|Accounts Payable |Cut manual checks for emergency payments. Maintain a tub file of incoming |120 per day |10 daysIndefinite |

| |invoices for entry and reconciliation upon restoration of the system. | | |

|Purchasing |Provide manual purchase orders to departments for emergency purchases. |220 per day |10 daysIndefinite |

| |Emergency purchases under $500 will be allowed by department managers during | | |

| |the disaster without approval. Any purchases above this amount will require | | |

| |purchasing approval. Hold normal purchasing until disaster event has | | |

| |mitigated | | |

|General Ledger |Hold journal entries and monthly report processing until systems have beenr |highNA |20 daysIndefinite |

| |restored and other critical financial systems are operational. | | |

Business Continuity Planning Questionnaire

4. Have any systems been developed within this department that are considered to be critical and are not supported by the central Information Systems department? Examples may include PC databases, complex spreadsheets with macros, etc. Please complete the following table:

|Application |Hardware System |Operating System |Database |Programming Language |Supported By: |

| | | | | |Name/Title |

| Payroll Reconciliation |PC |Windows |Excel |Excel |Bill Smith |

|Vacation Tracking |PC |Windows |Access |Access |Bill Smith |

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ContingencyBusiness Continuity Planning Questionnaire

45. If a disruption occurred, what restoration procedures would be necessary to synchronize alternate/ manual processing with automated systems for critical business processes performed in your department, once the event has been mitigated? Consider how much data needs to be re-entered, by whom, etc.

|Critical Business Process: Payroll Processing |

|Restoration Procedures: |

|Current timesheets would need to be reconciled with the check run that was based on last payroll. |

|The next check run would include the current pay and any adjustments from the disaster check run. |

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|Critical Business Process: Accounts Payable |

|Restoration Procedures: |

|Emergency manual checks will need to be logged and entered into the system. |

|Invoices that were held will need to be entered into the system and processes as usual. |

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|Critical Business Process: Purchasing |

|Restoration Procedures: |

|Emergency purchases will be entered after the fact into the purchasing system for vendor record keeping purposes. |

|Upon completion of this step, normal purchase requisitions that had been held will be processed. |

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|Critical Business Process: General Ledger |

|Restoration Procedures: |

|Upon restoration of all other financial systems, journal entries will be created and reviewed by the finance manager. |

|Monthly financial reports will be processed following journal entry processing. |

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|Critical Business Process: |

|Restoration Procedures: |

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|Critical Business Process: |

|Restoration Procedures: |

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ContingencyBusiness Continuity Planning Questionnaire

56. List the necessary staff to perform the alternate/manual critical business processes:

| |Necessary |

|Title |Staff |

|Critical Business Process: Payroll Processing |Full staff needed + 4 Temps |

| |(during disaster & for two weeks following system |

| |restoration) |

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|Critical Business Process: Accounts Payable |2 Accounts Payable clerks |

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|Critical Business Process: Purchasing |Purchasing Manager |

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|Critical Business Process: General Ledger |One financial accountant, once other systems have been |

| |restored. |

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|Critical Business Process: | |

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|Critical Business Process: | |

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67. How many full time employees are in your department? 13

7. Have you made any special preparations for or have specific concerns aboutfor dealing with Y2K problems which may effect your critical business processes? Please explain.

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ContingencyBusiness Continuity Planning Questionnaire

8. List the specialized equipment necessary to perform the alternate/manual critical business processes:

| |Type | Description |Quantity |

| |Critical Business Process: |All Critical Functions | |

| |PC (server connected) |Compaq Pentium II or equivalent |3 |

| |PC (standalone) | | |

| |Laser printer |Duplex Capable |1 |

| |Typewriter | |1 |

| |Calculator (w/tape) | |1 |

| |Fax machine | |1 |

| |Copier | |1 |

| |Postage meter | | |

| |Radio, pager, mobile phone, etc. | | |

| |Critical Business Process: | | |

| |PC (server connected) | | |

| |PC (standalone) | | |

| |Laser printer | | |

| |Typewriter | | |

| |Calculator (w/tape) | | |

| |Fax machine | | |

| |Copier | | |

| |Postage meter | | |

| |Radio, pager, mobile phone, etc. | | |

| |Critical Business Process: | | |

| |PC (server connected) | | |

| |PC (standalone) | | |

| |Laser printer | | |

| |Typewriter | | |

| |Calculator (w/tape) | | |

| |Fax machine | | |

| |Copier | | |

| |Postage meter | | |

| |Radio, pager, mobile phone, etc. | | |

ContingencyBusiness Continuity Planning Questionnaire

9. List the specialized forms and supplies necessary to perform the alternate/manual critical business processes.

| |Type |Description | Quantity |

| |Specialized Forms: | | |

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| |1 Box Blank Payroll Checks |Available from ADP |5000 |

| |1 Box of Accounts Payable Checks |Stored in XYZ building |5000 |

| |Blank purchase order forms |Stored in XYZ building |1000 |

| |Journal paper |Available at office supply stores |20 pads |

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| |Specialized Supplies: | | |

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| |GL Tickets | |1000 |

| |Check signer and signature Cartridge |ADP |1 |

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ContingencyBusiness Continuity Planning Questionnaire and Year 2000 Contingency Planning

10. List the records or reports necessary to perform the alternate/manual processing for the critical business processes:

13. Description - describe the record or report.

14. Storage Location - where are they stored.

15. Availability – determine if the record or report is normally available in hard copy.

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| |Description |Storage Location |Availability |

| |Critical Business Process: |Payroll Data | |

| |Employee Records |File Room |Paper & |

| |Payroll Journal |On-site |Electronic |

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| |Critical Business Process: |Accounts Payable | |

| |Vendor Lists |On-site and file room |Paper |

| | | |And fiche |

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| |Critical Business Process: |Purchasing | |

| |Vendor list |See point above |See above |

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| |Critical Business Process: |General Ledger | |

| |Monthly financial rpts. |On-site |Paper & |

| | |On-site |Electronic |

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| |Critical Business Process: | | |

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| |Critical Business Process: | | |

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Contingency Business Continuity Planning Questionnaire

11. What output (e.g., reports, forms, special calculations, etc.) from your departmental alternate/manual operating procedures is critical to other departments?

| | Output Description |Dependent Department |

| |Payroll |All employees H/R |

| |Payroll Journal |Accounting |

| |Purchase Orders |All employees A/P |

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12. What input (e.g., reports, forms, special calculations) from other departments is critical for performing your department's alternate/manual operating procedures? Please note if your department must be physically close to another department in the event of relocation.

| |Department Name |Input Description |Relocation Dependency |

| | | |Yes/No |

| |All Departments |Time Cards |No |

| |Human Resources |Payroll Adjustments |Yes |

| |All Departments |Purchase Orders and Invoice Approvals |No |

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ContingencyBusiness Continuity Planning Questionnaire

133. Please list in order of priority internal and external contacts who need to be notified in the event of a system outage Who needs to be contacted and notified in the event of a Year 2000 or system outage (e.g., internal, external,management, regulatory, vendors, staff, etc.)?

|Contact(s) |Pager # | Telephone Number |Email Address |Reason for Needing to Contact/Notify |

|ADP | |999-9999 | |Alternate payroll processing |

|Union Bank | |321-1234 | |Manual check stock |

|State of VA | |555-1234 | |Notification of delay in state required financial reports |

|ABC Temps | |777-8888 | |Temporary staff |

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ContingencyBusiness Continuity Planning Questionnaire

144. Identify any other concerns or issues you have about preventing or recovering from a disaster. Please include any public relations issues (i.e. media contacts, students, parents, community, state officials, etc.)

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| |We do not have backup copies stored off-site of employee beneficiary data. |

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| |Everyone in this department shares a single user ID and password. |

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| |Visitors are allowed to roam the building without an escort. |

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| |We have never practiced recovery or alternate emergency evacuation procedures nor are evacuation routes posted. |

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