Business
Continuity
Plan
2005
Attachment 7
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NECA Services Business Continuity Plan
1. Overview
This document describes how each department plans to operate during a disaster period. It identifies
the critical business functions that will need to be performed, the staff required to perform these
functions, and the operating procedures that will be followed. It includes a communication plan for
each department and restores validation procedures.
This document will contain a plan for the following departments: Schools and Libraries, Billing &
Collection and State Funds. Each department will have its own plan because of the different needs of
each department. Billing & Collections and State funds are located entirely in the same building while
the Schools & Libraries Department is located in two different buildings. The different locations for
the Schools and Libraries Department warrants a different plan then the one used by Billing &
Collections and State Funds. The two locations are 80 South Jefferson Rd and 100 South Jefferson Rd,
Whippany, NJ. There are different action plans for each address.
Each Department plan is similar in nature and is broken up into the following five parts: Plan
Overview & Maintenance, Major Functions, Communication Plan, Restore Validation procedures and
Operating Procedures. In the event of business interruption during non working hours the notice will
be sent out by way of an Alertcast system. See the attachment at the end of this section on how the
Alertcast system works.
2. Objectives of the Plan

Promote awareness of our BCP initiative across all levels of the company to ensure continuation
of service to our customers.

Educate company management on our Business Continuity principles of awareness, prevention,
preparedness and recovery.

Inform company management on the procedures to follow in the event of a disruption.

Minimize delay in re-establishing business operations in the event of a disruption.

Provide management and critical staff a recovery blueprint in the event of a disruption.
3. Scope of the Plan
In addition to identifying strategies to promote awareness and prevention, this plan is intended to
present the techniques and strategies for addressing a high level of preparedness as well as recovery
efforts. Detailed plans for the recovery effort related to data/ network are part of the IT plan. Some
areas of recovery (voice/data) are outlined in this document but are not intended to replace the detailed
plans residing within the appropriate departments. Each department has developed plans that identify
their critical resources and functions. Together these plans comprise the actual recovery strategy in the
event of a disruption.
4. BCP Assumptions

The company has a backup data center.
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NECA Services Business Continuity Plan

Processes and technologies exist that keep the backup data center current.

Critical employees for each department have been identified and, initially, will be required to
telecommute.

Those employees who are not equipped to telecommute can be teamed with partners who have
access and equipment. Some alternative accommodations can be made in DR Site if needed.

All department plans are documented on the secure web site and with each department Business
Continuity Coordinator
5. Program Pillars
The program pillars for the department as well as the company’s Business Continuity Planning are:
awareness, prevention, preparedness and response planning. Each of these is fundamental to the success of
our Business Continuity Planning.
Awareness

Company management has developed an Awareness Program that uses education, training and
testing to reach employees and management staff. Communication is a key component of our
awareness program and we will utilize various tools to inform general and critical staff of the roles
and responsibilities of each team in the event of a business disruption.

An emergency response brochure for staff and management has been distributed to all company
staff. New employees will receive a brochure during their orientation process as well as an incident
matrix. They will also receive a copy of the evacuation process. All of these documents are also
located on our web site.

Our intranet site includes all of the above mentioned documents. In addition there is a secured area
on the site that includes the Corporate Plan (this document) as well as each of the department
plans. These documents are only available to Business Continuity Coordinators Executive Staff
and the Business Continuity IT team.

At a minimum, quarterly meetings will be held with the Business Continuity Coordinators to
discuss any changes to their plans and to ensure names and numbers are updated to reflect the
most current information.

An annual Business Continuity Awareness day will be held in October and updated brochures will
be distributed to all company staff.

Upon announcement of a new program or business process, the BCP team will contact the
appropriate company employees to educate them on the need to provide a continuity plan in the
event of a disruption and offer assistance and templates.

A monthly reminder will be sent to all staff deemed critical to instruct them to check their login
capabilities. This reminder will be sent by the Business Continuity team.
Prevention
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NECA Services Business Continuity Plan
Physical security improvements, new security policies and the implementation of several security based
computer tools have enabled us to provide a secure environment with a focus on prevention. Our ability to
protect our desktops and network is fundamental to protecting our customers and our intellectual property.
As part of our Prevention Plan we will continue to protect our facilities at 80 and 100 by:








Issuing Card Key access that controls access to secure areas such as Computer Room.
Deactivating contractor and temporary badges within 24 hours of not being returned.
Reviewing weekend and after hour access on a weekly basis.
Automating the sign in process using PassagePoint to pre-register visitors.
Providing Security Guard Service between the hours of 4 PM and 12 AM.
Providing surveillance equipment.
Automating building security and fire notification through Supreme Security.
Performing Annual Risk Analysis for updating plan.
There will be continual updates and improvements to the security of our data and network by utilizing new
technologies, procedures and policies some of which include:



An Incident Management Team to react to security breaches and virus incidents.
Multiple layers of security to protect data and network.
Working with outside security organizations (Infraguard/ASIS) that report on trends in the
security arena.
Preparedness
Preparedness in the event of a disruption will enable us to accelerate our recovery efforts and ensure our
ability to continue to deliver services to our customers. To ensure we are prepared for a business disruption,
the BCP team will focus on:
 Conducting annual table top exercises to identify areas for improvement.
 Participating with outside organizations that provide information and guidance on BCP including
MCCC and ASIS, an organization for security professionals
 Working with departments to establish individual plans that highlight areas of responsibility,
critical processes and resources.
 Conducting periodic and annual testing exercises (Department testing is conducted quarterly and is
set up in the NECA IT Training Room so that immediate assistance can be given to those
experiencing log in or data access problems. All problems encountered are logged into a database so
that we can follow up on the problem before the next testing scenario.)
Recovery
Detailed data recovery steps are the responsibility of the IT organization and a comprehensive plan is
included on our secure web site. Each department also has a plan that highlights their critical functions and
personnel. The plans will be activated in the event we have a business disruption.
Business disruptions can be categorized in one of three ways:
 Level 1 – building intact but access limited.
 Level 2 – building inaccessible due to fire or other conditions.
 Level 3 – the event has a regional impact, affecting our ability to recover locally
In the event of a Level 1 event, NECA IT will most likely continue to operate the HQ data center and employees
will access data via telecommuting.
Level 2 and Level 3 will most likely result in our switching over to the backup center facility in DR Site and
dispatching some NECA IT personnel to aid in the transition of the operation.
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NECA Services Business Continuity Plan
The following will aid us in our recovery efforts:
 Back up generator designed to support computer room and PBX at 80.
 Agreements with vendors to reroute lines.
 Agreements with multiple ISP vendors.
 Redundant configurations for servers
6. Communications during the Interruption - Activating the Plan:
In a disaster situation, Department Management will be contacted as specified in the NECA Business
Continuity Plan. The President will implement the Alert Cast System (See Attachment on how to use the
Alert Cast System) in order to inform employees of the disaster situation. If the President is unavailable his
designee will assume the role of the President. At this point contact will also be made to the Temporary
Agencies in order for them to notify their temp employees of the situation. Verbal contact will be made by
the President to the department management team who then will contact their direct reports, and they in
turn will contact their direct reports. This will continue until all department staff has been contacted. Staff
will be kept informed of developments by their managers and notified what responsibilities they will be
assigned during the disaster. If one or more critical staff members are unavailable, department management
will assign those responsibilities to another staff member. If the department requires the assistance of staff
members from another department, department management will contact that person’s department
management.
After initial contact, critical department staff will begin performing their assigned duties. Non-critical
department staff will await instructions on specific assignments.
If the department employs temporary staff or consultants, department management will continue to update
the firm providing the temporary staff or consultants.
Department management will ensure that critical vendors (see Attachment E in all sections) and customers
will be contacted. Department management will contact other internal NECA/NSI groups with whom there
is a critical interface that must be maintained during the disaster period (see Attachment C in all sections).
Voicemail and the Internet will be the primary modes of communication. Voicemail communication will be
dependent on the availability of the NSI voicemail system. Internet communications will be the primary
source of communication once the recovery effort in DR Site is complete. Restoration of e-mail is a top
priority.
If there is a catastrophic event during business hours, evacuation procedures (as documented on the
website) are to be followed. Within 12 hours of the building evacuation, all employees are to call the
Human Resources Emergency Number (800-871-3242) to report on their condition. HR will monitor and
report on employee status. If the event results in an extended outage, the number can be used for other HR
needs such as benefit information. However, the immediate use of the number is to report on the status of
employees in the event of a major building outage.
If the event happens after hours, your first notification will most likely be through the Alertcast Emergency
Notification Services. This third party service will enable the Communications Coordinator or Department
President to reach out for their staff using a broadcast message feature. Instructions are included under
section 3.5 Staff Communications and in an attachment at the end of this document. Below is a description
of the roles of the various coordinators in case we experience an interruption of Business.
Communications Coordinator’s Role
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NECA Services Business Continuity Plan
In the event a major disaster is declared, NSI’s Executive Management will identify a Communications
Coordinator (Director Corporate Communications) who will review and approve all general
communications to employees, vendors, customers and other stakeholders This individual or his designee,
will be responsible for the timely and accurate distribution of information and procedures related to
reporting to alternate work sites or other pertinent information as well as any interfacing with media. This
individual or designee will maintain a list of the entire Senior Management Staff (Director and above) and
their home and alternate numbers. The individual will also maintain the Disaster Communication plan away
from the headquarters location. It is important that an updated list of staff numbers is kept updated with the
Alertcast server provider. An updated list will be provided on a monthly basis. A Communications Center
will be established immediately. Building Services will immediately contract for space or a local hotel
location to set up the Communication Center.
Business Continuity Coordinators
The BCP Coordinators are responsible for maintaining and updating their departmental plan. All Senior
Management Staff and the Department Coordinator should keep these plans at home. Each coordinator will
have a list of phone numbers of other company coordinators so they can assist in interdepartmental
communications. These numbers are also on the secure website.
Senior Management Communications
In the event of a major building disaster, during business hours, the NECA VP of Operations will contact
the President of NSI who will then contact Executive Management team of NSI. In the event the VP of
Operations, President and other Executive Management are out of town or not available, the Executive
Director of Information Technologies will assume responsibility to declare a disaster and contact the
President, Executive Management and Executive team.
The President and Executive Management will determine the appropriate time for an emergency conference
call that would include Executive Director levels and above to activate the Disaster Recovery plan.
At a pre-determined time, the Executive Management team will set up a reservationless conference call
using our provider BT. The numbers are:
Staff Communications
A service has been established with Alertcast Emergency Notification Services that will enable the
Communications Coordinator and/or individual management teams to reach out for their staff using a
broadcast message feature.
Website Communications
After the website is re-established, staffers will be directed to utilize the site to obtain updated information.
External Communications
In the event of an extended business disruption, the Communications Coordinator will prepare statements
to be communicated to our external customers, members and trade press. The following outlines who has
responsibility for contacting these entities.
NCS Communications
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NECA Services Business Continuity Plan
If required, it is the responsibility of NSI to notify NCS.
Trade Press
It is the responsibility of NECA Corporate Communications to update the trade press if required.
Alternate Site Requirements
Activating the Business Continuity Plan will require the activation of the telecommuting plan. Each
department has identified the critical resources needed to support the recovery of their business unit. There
will be an immediate need for a central point to organize the recovery efforts. The Director of Customer
Support Services will acquire a meeting place that will be set up as a Command Center. The Center will be
staffed with support resources and will provide space for additional staff as required. Event dependent, the
Command Center will be staffed for 10 hours per day. In the event more coverage is needed, multiple shifts
will be defined.
7. Telecommuting Plan
Headquarters
All department heads must have a telecommuting plan included in their Departmental Business Continuity
procedures. Each Executive Director has identified critical resources in their departmental recovery plan.
The criteria for being designated a critical resource should be based not only on the business expertise they
provide but each individual should also have a home PC and access in order for them to telecommute. Each
of these individuals will be provided with Metaframe access, passwords, documentation and training. They
are required to dial in to Metaframe on a monthly basis in order to update their access (this is done
automatically when they log in). These individuals will be the first wave of telecommuters to access the
system to begin business recovery. Once a disaster is declared, Help Desk personnel and additional IT
personnel will relocate to a local hotel to provide support to those telecommuters requiring assistance.
Building Services will also arrange to acquire additional hotel/meeting space so that the departments can
convene a meeting for all telecommuters so that instructions on business recovery activities can be given.
You can refer to the NECA 2005 BCP plan on voice and data recovery.
8. 80 South Jefferson Action Plan
Stage One: (If disaster occurs during business hours)
1. Evacuate the building per evacuation procedures.
2. Handle fire/medical emergencies by calling 911
3. Shut down the power (emergency mode)
a. If orderly computer room shutdown is feasible, a member of the Building Services staff
will wait to cut off power from electrical room.
b. If orderly shutdown is not feasible, a member of the Building Services staff will cut off
power immediately by throwing major breaker in electrical room.
Stage Two:
1. President, Executive Director of NSI or designee declares Disaster Recovery mode by contacting
the Chief Information Officer of NSI who will in turn contact NECA’s Director Customer Support
Services – this will most likely occur during business hours. During non-business hours, Security
will contact the Building Services group, who will in turn contact the Executive Director of IT,
who will contact the Executive Director of SLD/RHC or designee. Fire and Police are
automatically contacted through automated alarm system.
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NECA Services Business Continuity Plan
2.
The NECA Director of Customer Support Services will assemble Building Services team at a
predetermined location.
3.
NECA/NSI Building Services Manager will contact Verizon and redirect 800 lines to Regional
backup. Verizon will be contacted to redirect main list number to DR Site and DID numbers to a
recording. We also have the flexibility to direct the 800 lines to any other identified number
depending on requirements (Detail in Building Services Plan). Lines are typically rerouted within
15 minutes.
4.
NECA/NSI receptionist and additional Building Services staff members will be dispatched to
Command Center to answer 800 and main list if they can not be handled by the DR Site office.
DID’s will route to a recording or continue to be answered by voicemail if building and power are
still intact.
5.
NECA Communications Coordinator will provide the Building Services Manager with a prepared
statement for callers.
6.
Establish communications network (Details in Building Services Plan).
Stage Three:
1. Finance (with Building Services and Insurance provider) assesses status of primary site.
2.
Building Services’ priority is to find alternate space for critical business.
3.
4.
Enact long term Telecommuting Plan if necessary.
Document building / equipment damage.
a. Conduct detailed assessment of the site’s condition, support services, equipment &
available supplies.
b. Assemble Building Services staff and contact appropriate vendors
c. Identify all equipment that has been damaged.
d. Identify all physical damage to the site environment.
e. Identify all usable equipment, files and supplies.
f. Create list of property that must be replaced.
g. Determine minimum and maximum estimated times to recover data center.
h. Building Services to provide information to Finance and wait for approval.
Stage Four:
1. Establish a work schedule for rebuilding or replacing primary facility or determine location for
new space.
a. Analyze the damage assessment of the data center.
b. Identify required vendors to assist in the restoration process.
c. Review reconstruction plan with senior management.
2. Contact contractors regarding need to rebuild/replace the primary facility.
a. Obtain bids and estimates
b. Analyze costs
c. Wait on approval for reconstruction prices
3. Estimate time to rebuild
a. Board approves bid
b. Finance negotiates penalties for schedule delays and possible incentives for earlyc
completion
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NECA Services Business Continuity Plan
c. Adjust completion date estimates to allow for unexpected delays
d. Select recommended vendors
e. Distribute a rebuilding schedule
4. Rebuild primary facility
a. Choose contractors
b. Monitor reconstruction effort
c. Complete the structural area
d. Restore utility and security services
e. Restore environmental systems
5. Order equipment
a. Order equipment based on approved inventory lists and salvage reports
b. Order required cabling
c. Confirm all delivery dates with vendors (negotiate penalties for delays)
d. Install operating environment
e. Schedule return to primary facilities
Building 100 Action Plan
Building 100 is dependent upon 80 for communications and data support. In the event that building 80
suffers a major disaster, the staff at 100 must be included in the recovery plan. However, there may be
circumstances where building 100 experiences a major catastrophic event that does not involve 80. In the
event it is only the fiber link between 80 and 100 that is lost, we have the ability to provide a wireless
connection for data. We are working on voice.
Attachment 7
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NECA Services Business Continuity Plan
Attachment (A ) – How to use Alertcast
One-Call Notification through Alertcast Emergency Broadcast System
In an emergency, the Communications Coordinator will have an approved communication to be delivered
to staff. The Communications Coordinator or Executive Director will make a single toll-free call to
Alertcast from any touch-tone phone and record a message up to 90 seconds long. Once you hang up,
your message is sent to all the numbers on your list – phone, cell or pager. This ensures quick, efficient
and accurate notification.
Lists have been set up for each department that include primary and secondary numbers (where
appropriate) to call for each contact.
Notification Options
Standard Notification – when a call is answered, a message you recorded is not delivered until the people
on your list respond by keying in their 10 digit telephone number (described by the AlertCast call as your
emergency notification number) using a touch tone phone. After keying their telephone number, they may
then indicate whether they are responding, not responding or acknowledging that they received the
message.
NOTE: With this method, messages are not received unless the employee answers the phone and keys in
their 10-digit “emergency notification number”. Absent their doing this, no message is left on answering
machine or voicemail.
Express Notification – is ideal for the uninitiated responder and has been set up as our default. When a
call is answered, the message is repeated up to three times to make sure that an answering machine or
voicemail gets the full message. An answered phone is considered a delivered message.
NOTE: This is the preferred method unless you must require confirmation or receipt.
Reporting
Alertcast can fax you status reports that show who on your list has responded, how they responded and
when. These reports can be faxed to you periodically during an emergency – as often as every five
minutes- or after it’s over. The mailroom fax (973-884-8469) has been set up as the default but can be
changed prior to sending your message by following the menu prompts.
To Send an Alertcast Message
Dial from a touch-tone phone
You will be prompted to enter the company’s account code followed by # and the security code
followed by #
You will be given the following menu options:
1 to start an event and record your message
2 to change the default printer
3 to have a copy of your list sent to the default fax
4 to create an empty list
5 to edit an existing list
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NECA Services Business Continuity Plan
6 to delete a list
9 to end the session
After pressing 1 you will be prompted for the following information:
Enter your list number (this is published in the Appendix of the DR Plan)
Enter the number for retry intervals in minutes (up to 60) – this is the interval between retries
Enter the number of retries – this will control how many tries are made to a given number. If this is a test
message you may want to enter 1 to cap the number of tries that will be made
Enter (1) for Standard Delivery or (2) for Express Delivery. Selecting 2 requires no action on the part of
the person receiving the call
Enter (3) to request a Confirmation report
You will be prompted to enter a Fax number for the report or to request it be sent to the default fax (in the
mailroom) by pressing #
You will then be prompted to record your message
After recording, press 1 to activate event or 2 – 3 to review and rerecord AlY receive the message along
with everyone else.)
Attachment 7
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NECA Services Business Continuity Plan
Department/Group:
Location:
DR/BCP Coordinator:
Date:
Schools and Libraries Division (SLD)
Schools and Libraries Division (SLD)
HQ – 100 South Jefferson Rd., Whippany, NJ
Tom Gill
May 15, 2005
Table of Contents
1. Plan Overview & Maintenance
2. Major Functions
3. Communication Plan
4. Restore Validation Procedures
5. Operating Procedures
Attachment A – Staff Contact List
Attachment B – Processing Schedule/Critical Dates
Attachment C – Critical Interfaces
Attachment D – Critical Data Back-Up List
Attachment E – Vendor List
Attachment F – Organizational Equipment Requirement
Attachment G – Primary Site Equipment List
Attachment H – Workstations Required
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NECA Services Business Continuity Plan
1. Plan Overview & Maintenance
This document describes how the department plans to operate during a disaster period. It identifies
the critical business functions that will need to be performed, the staff required to perform these
functions, and the operating procedures that will be followed. It includes a communication plan for
the department, and restores validation procedures.
The NECA disaster recovery site is located in Disaster recovery Site. During a disaster critical
staff will telecommute, accessing the Disaster recovery Site using metaframe software. Any
exceptions to this are noted in the operating procedures section of this document. Critical staff will
use their metaframe software on a monthly basis to ensure it is working correctly.
This plan and attached documents are maintained on a continuous basis to reflect updated systems,
operational and personnel changes. The plan will be reviewed by department management
periodically to confirm any changes to the business environment. The Plan will be reissued on an
annual basis.
The staff contact list (Attachment A), identifying critical staff and containing phone numbers and
home email addresses for all department staff, is maintained by the Administration & Support
Associate Manager and distributed to SLD Management, Human Resources and NECA IT
Disaster Recovery Team. The document is updated and redistributed whenever someone leaves
the department, or there is an addition to the department. On an approximately monthly basis, the
document is reviewed for other changes.
NECA will conduct periodic tests of disaster recovery and business continuity procedures. During
such a test the department will execute this business continuity plan and staff members will
perform the duties assigned to them under the plan.
2. Major Functions
The following table lists the major functions performed by this department. The first column lists
the function. The second column classifies each function in the event of a disaster as follows:
Class 1 (most critical, essential to business survival, to be restored as soon as possible), Class 2
(critical, to be restored after Class 1 functions have been restored), or Class 3 (non-critical, will
not be restored during the disaster period). The third column lists any computer resources
(systems/applications/software) that the function requires.
Function
Executive
Class
1
Computer Resources
STARS, SIEBEL, GROUPWISE
MetaFrame, DESKTOP FAX
Internal and External Websites
Invoicing
1
STARS, SIEBEL, ISTARS, GROUPWISE
MetaFrame, DESKTOP FAX
Internal and External Websites
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NECA Services Business Continuity Plan
Function
Technical Analysis
Class
Computer Resources
1
STARS, SIEBEL, LASERFISCHE,
ASTARS, ISTARS, GROUPWISE
MetaFrame, DESKTOP FAX
Internal and External Websites
Project Planning
1
STARS, SIEBEL, LASERFISCHE,
ASTARS, ISTARS , GROUPWISE
MetaFrame, DESKTOP FAX
Internal and External Websites
Client Operations
2
STARS, SIEBEL, ASTARS, ISTARS,
GROUPWISE MetaFrame, DESKTOP
FAX
Internal and External Websites
Program Compliance
1
STARS, SIEBEL, ASTARS, ISTARS,
GROUPWISE MetaFrame, DESKTOP
FAX
Internal and External Websites
PIA
1
STARS, SIEBEL, GROUPWISE
MetaFrame, DESKTOP FAX
Internal and External Websites
RHC
1
STARS, SIEBEL, GROUPWISE
MetaFrame, DESKTOP FAX
Internal and External Websites
Services
2
STARS, SIEBEL, GROUPWISE
MetaFrame, DESKTOP FAX
Internal and External Websites
Special Investigations
2
STARS, SIEBEL, ASTARS, ISTARS,
GROUPWISE MetaFrame, DESKTOP
FAX
Internal and External Websites
Attachment 7
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NECA Services Business Continuity Plan
3. Communication Plan
In a disaster situation, Department Management will be contacted as specified in the NECA
Corporate Disaster Recovery plan. The Executive Director will authorize HR to implement the
Alert Cast System in order to inform employees of the disaster situation. At this point contact will
also be made to the Temporary Agencies in order for them to notify their temp employees of the
situation. Verbal contact will be made by the Executive Director to the department management
team who then will contact their direct reports, and they in turn will contact their direct reports.
This will continue until all department staff has been contacted. Staff will be kept informed of
developments by their managers and notified what responsibilities they will be assigned during the
disaster. If one or more critical staff members are unavailable, department management will assign
those responsibilities to another staff member. If the department requires the assistance of staff
members from another department, department management will contact that person’s department
management.
After initial contact, critical department staff will begin performing their assigned duties. Noncritical department staff will await instructions on specific assignments.
If the department employs temporary staff or consultants, department management will continue
to update the firm providing the temporary staff or consultants.
Department management will ensure that critical vendors (see Attachment E) and customers will
be contacted. Department management will contact other internal NECA groups with whom there
is a critical interface that must be maintained during the disaster period (see Attachment C).
4. Restore Validation Procedures
The Director of SLD Systems will direct the restore procedures. Upon notification that
Information Systems has completed the process of restoring data, systems, and software,
department staff will verify that any critical data is correct, and that the required systems and
software are available and functioning correctly. If validation of data requires the retrieval of
information from offsite storage (identified in Attachment D), department management will
contact the Purchasing group to request that the appropriate information be retrieved.
Verification and validation procedures are as follows:
The Director of Program Planning and Systems will be responsible for verifying the validity of the
Schools and Library/Rural Heath Care Data.
The Technical Analysis group will confirm the following:
Alternative ISP Connectivity
Firewall Implementation
MetaFrame Functionality
SLD Public Website
SLD Internal Website
STARS Availability
ISTARS Availability
ASTARS Availability
Appeals Database
SLCPIA Tracking
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NECA Services Business Continuity Plan
Eligible Services Matrix
RHC SIDS
RHC PATS
RHC Contact Log
Upon notice that the system has been restored by Information Systems and the above areas
confirmed by PIA’s Technical Analysis group the following steps will be taken:
The Senior Technical Analyst will run the PIA Report for the daily counts. This will be reviewed
by the PIA Director for any discrepancies. The PIA Director will notify the individual PIA Team
Managers that daily processing can resume.
The Technical Analyst will verify Image volume with NCS. System updates will be made if
necessary.
The Invoicing manager, QA Manager, RHC manager will run reports to confirm valid production
data prior to resuming daily processing. Since the management team has Remote Access
Capability, these reports can be run from a temporary worksite if one has been established, or from
their homes.
5.
Operating Procedures
Operating procedures describe how the department will perform critical business functions and
meet processing schedules/critical dates (see Attachment B) during the disaster period.
Attachment (H) outlines month by month the number of workstations that will be needed at an
alternative work site for both a moderate and long term outage. The number of employees that
have the ability to telecommute can reduce these numbers.
Operating procedures can be found on H:\PICOMMON drive for the following departments:
Program Integrity Assurance (PIA)
Client Operations/Services
Invoicing
Project Planning, Measurements & Reporting
Program Compliance
Rural Health Care
Attachment 7
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Attachment A – Staff Contact List
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Attachment B – Processing Schedule/Critical Dates
The following is the processing schedule and critical dates associated with the critical functions
that must be performed by the department during a disaster period. The first column lists the
critical process or task and the second column lists the date the process or task must occur.
Critical Process/Task
See SLD Contract with USAC
Date
Attachment 7
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NECA Services Business Continuity Plan
Attachment C – Critical Interfaces
The following is a list of critical interfaces for the department during a disaster period. The first
column lists the critical process or task and the second column lists the organization interfaced
with.
Critical Process/Task
Daily Production Support
Organization Interfaced
With
NECA IS
Siebel Support
NCS
Letter Support
NCS
Processing Support
NSC
Website Support
NSC
Telecom Download
PWC
Invoicing
PWC
Attachment 7
Page 19 of 53
NECA Services Business Continuity Plan
Attachment D - Critical Data Back-Up List
The following is a list of critical information stored off premises which must be retrieved in the
event of a disaster. The list must include a description of the critical data back-up, where the data
is stored and some type of reference to easily identify the data.
Description of Back-Up Data
SIEBEL
All other data backed up by NECA
IS.
Stored At
Location Reference
(If Applicable)
NCS
Kansas/Iowa
Attachment 7
Page 20 of 53
NECA Services Business Continuity Plan
Attachment E – Vendor List
The following is a list of vendors unique to your organization who must be notified in the event of
a disaster.
Vendor Name
NCS
USAC
Product
Phone Number
Various
Les Bice
785-838-2201
George McDonald
202-263-1629
Attachment 7
Page 21 of 53
NECA Services Business Continuity Plan
Attachment 7
Page 22 of 53
NECA Services Business Continuity Plan
Attachment F - Organizational Equipment Requirements
Please indicate any equipment requirements for the department that are in addition to the home
PCs and equipment used for telecommuting during the disaster period .
Quantity
Equipment/Furniture Description
See Spreadsheet titled “Attachment F”
Attachment 7
Page 23 of 53
NECA Services Business Continuity Plan
Attachment G - Primary Site Equipment List
Facilities maintain a list of standard office equipment and furniture in use by the department.
Please use this form to list any specialized equipment beyond the list of standard office equipment
and furniture that is necessary to restore the primary site to the condition it was in prior to the
disaster.
Quantity
3
6
Equipment/Furniture Description
High speed Scanners
Fax Machines
Attachment 7
Page 24 of 53
NECA Services Business Continuity Plan
Attachment (H) - Business Continuity Planning Workstations Required
Moderate Outage
PIA
Services
RHC
Invoicing
Program Compliance
Client Operations
Project Planning
Technical Analysis
Executive
TOTAL
Jan
Feb
Mar
Apr
May
Jun
Jul
Aug
Sept
Oct
Nov
Dec
25
3
4
5
5
9
2
6
2
61
25
3
4
5
5
9
2
6
2
61
25
3
4
10
5
9
2
6
2
66
25
3
4
10
5
9
2
6
2
66
25
3
4
10
5
9
2
6
2
66
25
3
4
5
5
9
2
6
2
61
5
3
4
5
5
9
1
6
2
40
5
3
4
5
5
9
1
6
2
40
5
3
4
5
5
9
1
6
2
40
5
3
4
5
5
9
1
6
2
40
5
3
4
5
5
9
1
6
2
40
25
3
4
5
5
9
2
6
2
61
Jan
Long Term Outage
PIA
Services
RHC
Invoicing
Program Compliance
Client Operations
Project Planning
Technical Analysis
Executive
TOTAL
100
3
8
5
10
9
4
6
2
147
Feb
Mar
Apr
May
Jun
Jul
Aug
Sept
Oct
Nov
Dec
100
3
8
5
6
9
4
6
2
143
100
3
8
10
6
9
4
6
2
148
100
3
8
10
6
9
4
6
2
148
100
3
8
5
6
9
4
6
2
143
100
3
8
5
6
9
4
6
2
143
25
3
8
5
10
9
4
6
2
72
25
3
8
5
10
9
2
6
2
70
25
3
8
5
10
9
2
6
2
70
25
3
8
5
10
9
2
6
2
70
25
3
8
5
10
9
2
6
2
70
50
3
8
5
10
9
4
6
2
97
Attachment 7
Page 25 of 53
NECA Services Business Continuity Plan
Location:
DR/BCP Coordinator:
Date:
USPS – State Program Operations
HQ - 80 South Jefferson Rd., Whippany, NJ
Donna Casey
August 31, 2004
Table of Contents
1. Plan Overview & Maintenance
2. Major Functions
3. Communication Plan
4. Restore Validation Procedures
5. Operating Procedures
Attachment A – Staff Contact List
Attachment B – Processing Schedule/Critical Dates
Attachment C – Critical Interfaces
Attachment D – Critical Data Back-Up List
Attachment E – Vendor List
Attachment F – Organizational Equipment Requirement
Attachment G – Primary Site Equipment List
Attachment 7
Page 26 of 53
NECA Services Business Continuity Plan
1. Plan Overview & Maintenance
This document describes how the department plans to operate during a disaster period. It identifies
the critical business functions that need to be performed, the staff required to perform these
functions, and the operating procedures to be followed. It also includes a communication plan for
the department and restores validation procedures.
The NECA disaster recovery site is located in Alpharetta, GA. During a disaster, critical staff will
telecommute, accessing the Alpharetta site using metaframe software. Any exceptions to this
procedure are noted in the operating procedures section of this document. Critical staff will use
their metaframe software on a monthly basis to ensure it is working correctly.
It is essential that this plan be maintained. The documentation must be reviewed periodically by
department management updated to reflect any changes to the business environment.
The Staff Contact List (Attachment A), which identifies critical staff and contains phone numbers
and home email addresses for the department, must be distributed to each staff member. This
document must be updated whenever there is a change in personnel or contact information. On a
monthly basis, the document must be reviewed by department management to ensure that it is
current in all respects.
NECA will conduct periodic tests of disaster recovery and business continuity procedures. During
such tests, the department will execute this business continuity plan and staff members will
perform their Business Continuity assigned duties.
2. Major Functions
The following table lists the major functions performed by this department. The first column lists
the function. The second column classifies each function in the event of a disaster as follows:
Class 1 (most critical, essential to business survival, to be restored as soon as possible), Class 2
(critical, to be restored after Class 1 functions have been restored), or Class 3 (non-critical, will
not be restored during the disaster period). The third column lists any computer resources
(systems/applications/software) that the function requires.
Function
Administrator / Fiscal Agent
of “12” statewide Universal Funds.
The following funds are
administered by the State USF
Department:
Arizona USF
Connecticut TRS
Hawaii TRS
Kansas USF
Nevada USF
Oklahoma USF
Pennsylvania USF
Puerto Rico USF
Texas USF
Vermont USF
Class
1
Computer Resources
All systems/applications /software used by
the State Program Operations department
reside on either the Access databases located
on fileserver NECAFS7 or for Texas on
fileserver NECAWEB1, NECAWEB2 with
the data residing in PRODSQL1 SQL Server
and PRODSQL2 SQL Server and Excel and
Word files on the H:\StateUSF directory
located on fileserver NECAFS1.
Attachment 7
Page 27 of 53
NECA Services Business Continuity Plan
Washington DC USTF
Administrator / Fiscal Agent of “1”
Energy Fund:
1
All systems/applications /software used by
the State Program Operation department
reside on Access databases located on
fileserver NECAFS7 and Excel and Word
files on the H:\StateUSF directory located on
fileserver NECAFS1.
1
All systems/applications/software used by
the State Program Operations department
reside on database located on fileserver
NSISQL1 for TXLIDA DATA & FTP Site,
the Dataflux software resides on Dataflux
servers TXLIDA1 & TXLIDA2, and the
Web Application resides on
NECAPROD1W2K (primary) &
NECAPROD2W2K (backup)
Vermont Energy Efficiency
Utility Fund
Administrator of “1” Low Income
Discount Program
Texas LIDA
3. Communication Plan
In a disaster situation, State USF management will be contacted as specified in the NECA
Corporate Disaster Recovery plan. Department management will then contact their direct reports,
and they in turn will contact their direct reports. This will continue until all department staff has
been contacted. Management will inform staff of any significant developments and notify staff of
their responsibilities during the disaster. If one or more critical staff members are unavailable,
management will assign those responsibilities to another staff member. If the department requires
the assistance of staff members from another department, management will contact the appropriate
personnel on the chain of command.
After initial contact, critical department staff will perform their assigned duties. Non-critical
department staff will await instructions on specific assignments.
If the department employs temporary staff or consultants, management will contact the firm
providing the temporary staff or consultants with the necessary information.
Department management will ensure that critical vendors (see Attachment E) and customers will
be contacted. Management will also contact internal NECA groups with whom there is a critical
interface that must be maintained during the disaster period (Attachment C).
4. Restore Validation Procedures
Upon notification that Information Systems has completed the process of restoring data, systems,
and software, department staff will verify that any critical data is correct, and that the required
systems and software are available and functioning correctly. If validation of data requires the
retrieval of information from offsite storage (identified in Attachment D), department management
will contact the Purchasing group to request that the appropriate information be retrieved.
Verification and validation procedures are as follows: Responsibility – Lori Tasca
State USF & Energy Access Programs Systems Check List
Attachment 7
Page 28 of 53
NECA Services Business Continuity Plan
System Validation:
1.
2.
3.
4.
Contact the Associate Managers to obtain a date of last worksheet input, upload date and
approximate number of customers for each fund.
Review Worksheets Table “Last Maintained Date” field after restore, to ensure that all
necessary information is restored, complete and accurate.
Review Company Table for the number of records and “Creation Date” for each
company.
Communicate with IS Department if any fund does not have complete and accurate
information.
System Functionality:
1.
2.
3.
4.
Review the database to ensure all necessary fields are present, including the
“Company/Contact” tab, “Filing” tab and “Notes” tab.
Review the necessary fields to ensure that information can be entered in the Company,
Contact and Worksheet fields.
Review financial reports to ensure that they are formatted correctly for each state.
Review the Peoplesoft Report Database to ensure that a Hand-off Report can be
generated.
Communication:
1.
2.
Work with IS Department to ensure all systems are properly functioning before release
State USF for use.
Communicate with Associate Managers before release of State USF System to provide a
status on the restore date and data validation.
State USF Data Collection System Check List
Texas USF On-Line
System Validation:
1.
2.
3.
4.
Contact the Associate Managers to obtain a date of last manual worksheet input, upload
date and approximate number of customers for the Texas USF.
Review Worksheets Table “Last Maintained Date” field after restore, to ensure that all
necessary information is restored, complete and accurate.
Review Company Table for the number of records and “Creation Date” for each
company.
Communicate with IS Department if any fund does not have complete and accurate
information.
System Functionality:
1.
2.
3.
4.
Review the database to ensure all necessary fields are present, including the
“Company/Contact” tab, “Active Status” tab and “Notes” tab.
Review the necessary fields to ensure that information can be entered in the Company,
Contact and Worksheet fields.
Review financial reports to ensure that they are formatted correctly for each state.
Review the Create Report Menu to ensure that a Hand-off Report can be generated.
Attachment 7
Page 29 of 53
NECA Services Business Continuity Plan
Communication:
1.
2.
Work with IS Department to ensure all systems are properly functioning before release to
Call Center and Back Office personnel.
Communicate with Call Center and Back Office personnel before release of system to
provide a status on the restored data and validation issues.
State Program Operations System Check List
Texas LIDA On-Line
System Validation
1.
2.
Review Daily Tables “Last Maintained Date” field to ensure that data from the prior
business day has been restored.
Review Monthly Tables (Customer History Tables, Enrollment Master, etc.) and confirm
that tables are available for prior processing month.
System Functionality:
1.
2.
3.
4.
5.
6.
7.
Confirm that Call Center Personnel are able to fulfill LIDA application requests.
Confirm that Call Center & back office Personnel are able to retrieve applicant history.
Confirm that FTP site is capable of receiving and sending REP/TSP, Business Ink and
TDHS files.
Confirm that back office personnel are able to generate fulfillment center feeds.
Confirm that load processes are available to load REP/TSP and TDHS files.
Confirm that Data Flux software is in place to run monthly matching process.
Review reports to ensure that historical data is captured.
Communication:
1.
2.
Work with IS Department to ensure all systems are properly functioning before release to
Call Center and Back Office personnel.
Communicate with Call Center and Back Office personnel before release of system to
provide a status on the restored data and validation issues.
5. Operating Procedures
Operating procedures describe how the department will perform critical business functions and
meet processing schedules/critical dates (see Attachment B) during the disaster period. The
operating procedures for the department are as follows:
State Program Disaster Recovery Operating Procedures
Departmental Contact:
1.
2.
3.
The Director State Program Operations will contact each State Program Operations
Manager (direct reports) to notify them of the disaster and any instructions.
Each Manager State Programs Operations will contact their reports to notify them of the
disaster and any instructions.
Each Manager State Programs Operations will report back to the Director to confirm that
staff has been notified and to provide a list of all staff that could not be contacted.
Initial Disaster Recovery Coordination:
Attachment 7
Page 30 of 53
NECA Services Business Continuity Plan
1.
2.
3.
4.
5.
6.
The Director State Program Operations will contact the State Program Operations
Disaster Recovery Coordinator with updated information from Executive management
such as:
a.
Duration of Disaster (i.e. 1day, 1 week, 6 weeks or longer)
b.
Plans for Recovery as a Corporation
c.
Initiation of State Program Operations Plan or any part of Plan
The State Program Operations Disaster Recovery Coordinator will contact the critical
personnel to begin initiation of the State Program Operations Disaster Recovery Plan.
a.
Associate Manager assigned to System Recovery
b.
(3) Associate Managers assigned to notification of state commissions and
program participants and applicants
Other State Program Operations personnel will be assigned to critical staff members to
assist with Disaster Recovery State Program Operations process of notification.
Critical Staff members will remain in contact with the State Program Operations Disaster
Recovery Coordinator for status reports.
The State Program Operations Disaster Recovery Coordinator will regularly update the
Director State Program Operations on the recovery status.
The State Program Operations Disaster Recovery Coordinator will contact the Facilities
group to request a dedicated phone line and fax number.
State Program Operations Disaster Recovery Steps:
1.
2.
3.
4.
Notification of Disaster to all state commissions (Within 3 days of disaster)
a. Phone calls will be placed to all state commissions (numbers maintained in
Attachment E) regarding the following:
i. Status of Disaster
ii. Expected duration of Disaster
iii. Operation recovery time
iv. Plans to notify program participants
b. Written notification to all state commissions will include:
i. Phone call confirmation/summary
ii. Any additional information not provided
Notification of Disaster to all State Program Operations program participants and
applications (Within 5 days of disaster)
a. Written notification to all State Program Operations participants and applicants
will include some or all of the following:
i. Status of disaster
ii. Expected duration of disaster
iii. Operation recovery time
iv. Request for re-submission of information sent to State Program Operations
within last 30 days
v. State Program Operations fax number
vi. State Program Operations phone number
System restore and verification of system (Pending IS notification of availability).
a. Associate Manager will follow steps outlined in the Restore Validation
Procedures
b. Notification of (3) critical staff members and State Program Operations Disaster
Recovery Coordinator that the system is ready for use and further verification
State Program Operations Processing Cycle
a. State Program Operations Disaster Recovery Coordinator will review with
Director State Program Operations whether a facility will be available or
whether staff will need to work in teams from their homes (mail becomes a
problem)
Attachment 7
Page 31 of 53
NECA Services Business Continuity Plan
b.
5.
6.
(3) Associate Manager (critical staff members) will prioritize State Program
Operations Report Matrix to evaluate status of each state program
i. Review time frames compared to disaster date
ii. Action plan to meet required due dates
iii. Assign tasks to staff members to accomplish
State Program Operations Disaster Coordinator will contact Finance Disaster Recovery
Coordinator regarding:
a. Lockbox worksheet delivery
b. Availability of finance systems to receive A/R uploads
c. Availability of finance systems to receive A/P uploads, process checks and send
wire/electronic payments
d. Status of Treasury department regarding balances and disbursement ability
Implement Processing Action Plan
a. State Program Operations Disaster Recovery Coordinator will coordinate with
Facilities group for mail and fax delivery
b. (3) Associate Managers (critical staff members) will supervise processing
workflow of other staff members
c. (3) Associate Managers (critical staff members) will verify processed paperwork
for accuracy
d. State Program Operations Disaster Recovery Coordinator will obtain approval
from Director or above for all disbursements
e. (3) Associate Managers (critical staff members) will coordinate A/R and A/P
uploads with Finance and data transfers to FTP sites for Texas LIDA
f. (3) Associate Managers (critical staff members) will coordinate with Finance
personnel for statement review and approval prior to mailing
g. Associate Manager (critical staff member) will process all commission fund
performance packages to that be reviewed by the Director State Program
Operations prior to sending to commissions
h. Director State Program Operations will coordinate with Director of General
Accounting to verify that all unaudited financial statements are delivered on
schedule
i. State Program Operations Disaster Recovery Coordinator will coordinate with
staff members to ensure that all other reports due to the commissions are
delivered on schedule
In the event of a disaster, the State Program Operations Department should be able to meet
contractual requirements with the use of home computers accessing the metaframe and the picking
up of mail, lockbox and fax information at a location that NECA Services designates during a short
period of time. However, if the disaster lasts longer than one week, the State Program Operations
group would need to secure a location to work together.
Attachment 7
Page 32 of 53
NECA Services Business Continuity Plan
Attachment –A Staff contact List
Attachment 7
Page 33 of 53
NECA Services Business Continuity Plan
Attachment B – Processing Schedule/Critical Dates
The following is the processing schedule and critical dates associated with the critical functions
that must be performed by the department during a disaster period. The first column lists the
critical process or task and the second column lists the date the process or task must occur.
Critical Process/Task
Date
Processing of Toll Return Data
3rd and 4th weeks of
each month
Processing of AT&T Data Sheets
3rd and 4th weeks of
each month
Development of prior month’s holdbacks for Service Providers
1st week of each
month
Processing of prior month’s Service Provider Statements
1st week of each
month
Review/Approval of prior month’s Service Provider Statements and
payments
1st week of each
month
Processing of prior month’s Exchange Carrier and Service Provider
Statements (including receipt and upload of UDP data via FTP)
2nd week of each
month (between the
7th and the 9th)
Mail prior month’s Exchange Carrier and Service Provider Statements
2nd week of each
month (between the
9th and the 10th)
Copy Toll Return data and mail to Service Providers
2nd week of each
month (between the
11th and the 13th)
Attachment 7
Page 34 of 53
NECA Services Business Continuity Plan
Attachment C – Critical Interfaces
The following is a list of critical interfaces for the department during a disaster period. The first
column lists the critical process or task and the second column lists the organization interfaced
with.
Critical Process/Task
Organization Interfaced With
Invoice Generation
Finance & Admin
Statement Mailing
Finance & Admin (Mailroom)
WECARE processing
IT
Payment Notifications & Aged Receivables Reports
Finance & Admin
Attachment 7
Page 35 of 53
NECA Services Business Continuity Plan
Attachment D - Critical Data Back-Up List
The following is a list of critical information stored off premises, which must be retrieved in the
event of a disaster. The list must include a description of the critical data back up, where the data
is stored and some type of reference to easily identify the data.
Description of Back-Up Data
Stored At
Location Reference
(If Applicable)
N/A
Attachment 7
Page 36 of 53
NECA Services Business Continuity Plan
Attachment E – Vendor List
The following is a list of vendors/customers unique to your organization that must be notified in
the event of a disaster.
Vendor Name
Product
UDP
B&C Service Bureau for Messages
Processing
Billing Concepts (including
ACI Services)
B&C Service Provider
ILD
B&C Service Provider
CBS
B&C Service Provider
Integretel/eBillit/Payment
One
B&C Service Provider
Excel
B&C Service Provider
Sprint
B&C Service Provider
MCI
B&C Service Provider
AT&T
B&C Service Provider
I4Mation
B&C Service Provider
Phone Number
Phone 210-576-2132
Fax 210-826-7459
Phone 210-949-7005
Fax 210-949-7154
Phone 954-717-6808
Fax 954-777-2795
Phone 972-728-6639
Fax 972-241-1537
Phone 408-362-4166
Fax 408-362-2795
Phone 214-424-1175
Fax 214-424-1177
Phone 913-315-8443
Fax 913-315-0620
Phone 303-390-6027
Fax 303-390-6015
Phone 732-457-5875
Fax 732-369-7070
Phone 215-629-0928
Fax 215-627-3145
Broadcast Fax Distributor
Phone303-268-0000
Faxxent
(kkisner@faxxent.com)
Fax 303-794-0399
Exchange Carriers
B&C Customers
See Attachment H
(Excel Spreadsheet
under separate cover)
Attachment 7
Page 37 of 53
NECA Services Business Continuity Plan
Attachment F - Organizational Equipment Requirements
Please indicate any equipment requirements for the department that are in addition to the home
PCs and equipment used for telecommuting during the disaster period.
Quantity
Equipment/Furniture Description
2
Fax machines for Manager – Operations and Manager – B&C Settlements
1
High Speed Printer – for Settlement Statement printing
Attachment 7
Page 38 of 53
NECA Services Business Continuity Plan
Attachment G - Primary Site Equipment List
Facilities maintains a list of standard office equipment and furniture in use by the department.
Please use this form to list any specialized equipment beyond the list of standard office equipment
and furniture that is necessary to restore the primary site to the condition it was in prior to the
disaster.
Note: List is in addition to desks, chairs, PCs, Modems, Calculators, Laser
Printers, Phones, Fax Machines, and File Cabinets, which are assumed to be
“standard office equipment”
Quantity
Equipment/Furniture Description
1
High Speed Printer (for Settlement Statements)
Attachment 7
Page 39 of 53
NECA Services Business Continuity Plan
Department/Group:
Location:
DR/BCP Coordinator:
Date:
Billing and Collection
HQ - 80 South Jefferson Rd., Whippany, NJ
Tom Carroll
April 21, 2005
Table of Contents
1. Plan Overview & Maintenance
2. Major Functions
3. Communication Plan
4. Restore Validation Procedures
5. Operating Procedures
Attachment A – Staff Contact List
Attachment B – Processing Schedule/Critical Dates
Attachment C – Critical Interfaces
Attachment D – Critical Data Back-Up List
Attachment E – Vendor List
Attachment F – Organizational Equipment Requirement
Attachment G – Primary Site Equipment List
Attachment H – Exchange Carrier Contact List
NOTE: PASSWORD TO BCP PLANS (ON NSI INTRANET) IS Di$@ster
Attachment 7
Page 40 of 53
NECA Services Business Continuity Plan
1. Plan Overview & Maintenance (B&C Division)
This document describes how the department plans to operate during a disaster period. It identifies
the critical business functions that will need to be performed, the staff required to perform these
functions, and the operating procedures that will be followed. It includes a communication plan for
the department, and restore validation procedures.
The NECA disaster recovery site is located in Disaster recovery Site. During a disaster B&C
critical staff will be located in an alternative site, accessing the Disaster recovery Site using
metaframe software. The WECARE front-end may be accessed via the Internet, but all other
reports and tools are accessed via metaframe. Any exceptions to this are noted in the operating
procedures section of this document.
It is essential that this plan and attached documents be maintained. It must be reviewed by
department management periodically and updated to reflect any changes to the business
environment.
The staff contact list (Attachment A), identifying critical staff and containing phone numbers and
home email addresses for all department staff, must be distributed to each member of the
department. This document must be updated and redistributed whenever someone leaves the
department, or there is an addition to the department. On an approximately monthly basis, the
document must be reviewed for other changes.
NECA and NECA Services will conduct periodic tests of disaster recovery and business continuity
procedures. During such a test the department will execute this business continuity plan and staff
members will perform the duties assigned to them under the plan.
All critical personnel are required to validate their Metaframe access once a month, coinciding
with when they change their regular Novell password. Accessing Metaframe with the new
password will validate access for the period that the new password is effective. Procedures for
validating Metaframe access are contained in a separate document that has been distributed to
B&C staff.
2. Major Functions (B&C Division)
The following table lists the major functions performed by this department. The first column lists
the function. The second column classifies each function in the event of a disaster as follows:
Class 1 (most critical, essential to business survival, to be restored as soon as possible), Class 2
(critical, to be restored after Class 1 functions have been restored), or Class 3 (non-critical, will
not be restored during the disaster period). The third column lists any computer resources
(systems/applications/software) that the function requires.
Function
Development of monthly Billing
and Collection Settlement
Statements. This includes:


Toll Return and Tax data
entries.
AT&T Data sheet entries.
Class
1
Computer Resources
This function requires
individual PCs and access to
the WECARE system and
Report Writer tools
InfoMaker and Impromptu.
Attachment 7
Page 41 of 53
NECA Services Business Continuity Plan





Function
Input file processing from
UDP (Billing and Collection
Service Bureau).
TDS file upload
Proofing of all manually
input data (toll returns, taxes,
miscellaneous adjustments)
Processing of monthly
Settlement Statements
(Exchange Carriers &
Service Providers)
Starting Balance
Interface
Proofing Reports
NET2
Holdback report
Finalize
Invoicing
Fulfillment
Customer/Vendor
Invoice Interfaces
E-mail Invoices (some
customers)
Century & Toll Return
Reports
Sorting, Collating, and
Mailing Settlement
Statements.
Class
Computer Resources
Standard windows applications
such as Word and Excel are
also required.
3. Communication Plan (B&C Division)
In a disaster situation, department management will be contacted as specified in the NECA and
NECA Services Corporate Disaster Recovery plans. At this point department management will
contact their direct reports, and they in turn will contact their direct reports. This will continue
until all department staff have been contacted. Staff will be kept informed of developments by
their managers and notified what responsibilities they will be assigned during the disaster. If one
or more critical staff members are unavailable, department management will assign those
responsibilities to another staff member. If the department requires the assistance of staff members
from another department, department management will contact that person’s department
management.
After initial contact, critical department staff will begin performing their assigned duties. Noncritical department staff will await instructions on specific assignments.
If the department employs temporary staff or consultants, department management will contact the
firm providing the temporary staff or consultants.
Department management will ensure that critical vendors (see Attachment E) and customers will
be contacted (Attachments E and H). Department management will contact other internal NECA
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NECA Services Business Continuity Plan
and NECA Services groups with whom there is a critical interface that must be maintained during
the disaster period (see Attachment C).
Billing and Collection Communications Plan:
The Director, Billing and Collection, will notify the Manager – Operations, the Manager –
Finance & Accounting, and the Manager - Customer Relationship Management.
Note: In the event that the Director, Billing and Collection is not available, the Manager
– Operations will assume his/her duties. In the event that both the Director and the
Manager – Operations are not available, the Manager – Finance & Accounting will
assume the Director’s duties and the Manager – B&C Settlements will assume the
Manager – Operations duties.
The Director will also prepare a broadcast fax notification to all Exchange Carriers in B&C
plans. The fax will be distributed by Faxxent (phone = 303-268-0000, Fax = 303-794-0399, email = kkisner@faxxent.com. The fax distribution list is shown on Attachment H.
The Manager – Operations will notify:





B&C Administrative Assistant
Manager - B&C Settlements
Senior Data Management Analyst
UDP (B&C Service Bureau)
Billing and Collection Service Providers
Corporate Communications:
Voice Communications
In the event a major disaster is declared, the NECA Communications Coordinator
(currently the Director of Corporate Communications) will have an approved
communication to be delivered to NECA and NECA Services staff by Alertcast.
Alertcast will begin broadcasting the message immediately. Based on predetermined
groupings, each team could receive a different message. Alertcast will deliver the
message in one of two ways, depending on the Coordinator’s option:
Standard – the NECA or NECA Services person receiving the call would need to put in a
pin number to verify who they are (pin number is recipient’s 10 digit home phone
number).
Express – will deliver the message to whoever or whatever (answering machine, voice
mail, etc.) answers the call.
Web Communications
After NECA and NECA Services websites are established, staffers will be directed to
utilize the site to obtain updated information.
B&C Staff Phone/Contact Numbers:
See Attachment A
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Vendor/Service Provider List:
See Attachment E
Broadcast Fax Universal List:
See Attachment H
4. Restore Validation Procedures (B&C Division)
Upon notification that Information Systems has completed the process of restoring data, systems,
and software, department staff will verify that any critical data is correct, and that the required
systems and software are available and functioning correctly. If validation of data requires the
retrieval of information from offsite storage (identified in Attachment D), department management
will contact the Purchasing group to request that the appropriate information be retrieved.
Verification and validation procedures are as follows (Note – assumes a facilities-based scenario
rather than a telecommuting scenario):
System Validation (WECARE) – B&C Operations personnel (Manager-Operations, ManagerB&C Settlements, and Senior Data Analyst) will log onto WECARE system and navigate through
the various screens/modules (toll returns, report generation, tax data entries, etc.) to insure
WECARE has been restored successfully. Operational reports will also be run. NECA IT will be
notified of any problems/issues.
The Manager – Customer Relationship Management, will log
onto Access to verify the software has been restored.
Data Validation – depending on the day of the month the disaster occurs, data validation can be
minimal or extensive. If a disaster occurs shortly after the Settlement Statements have been run
(say between the 11th and 15th of the month), a minimal amount of manually-entered data (toll
returns, taxes, miscellaneous adjustments, will have been entered into WECARE for the current
month. In any case, data will be reviewed to insure that it is current up until the day preceding the
disaster. If necessary, sources for that data (Exchange Carriers and Service Providers) will be
contacted and asked to re-submit the data for either validation or re-entry in the current month
(time permitting – if not possible, data will be held for entry in the following month).
Note: NECA IT Applications will assist in preparing detailed test plans for both System and Data
Validation. The scripts will present job runs that can be performed to validate the restorals.
High Speed Printer – In the event of a disaster requiring activation of Disaster recovery Site and
procurement of alternate facilities for the B&C Group, NECA IT will procure a high-speed printer.
The printer will be located in Disaster recovery Site. While WECARE reports (pre-Netting, post
Netting 2, etc.) can be printed locally at the alternate facility, the monthly invoices will be printed
in Disaster recovery Site and shipped to the alternate facility for proofing and distribution to
Exchange Carriers and Service Providers.
(In the event that the disaster is limited to 80 South Jefferson and 100 South Jefferson is available
as the alternate site, it will be possible to locate the printer there and utilize the network
connections with Disaster recovery Site that are already in place. In the event that the alternate
facilities are in a different location, another option for a long term disaster is to establish a network
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NECA Services Business Continuity Plan
connection between Disaster recovery Site and the alternate facility. This option may be costly
and will be reviewed with Senior Management during the disaster).
If a disaster occurs relatively late in the month or early in the following month (before the latest
Settlement Statements have been processed) and the paper source documents for the data has been
destroyed, manually entered data will be initially validated using prior months’ data levels as a
“reasonableness” barometer. Sources for that data (Exchange Carriers and Service Providers) will
be contacted and asked to re-submit the data for manual validation in both the current month and
subsequent months (as time permits – adjustments may be submitted in subsequent processing
cycles).
All personnel at facility will go into Word and Excel and verify that both software’s have been
restored and that all documents previously stored on their directories on the LAN have been
restored.
The Manager-Customer Relationship Management will review the Access Customer Database to
determine if all Sub-CIC data has been restored.
Note: The Director – Billing and Collection will also validate that all critical WECARE
system migrations were included in the WECARE system that has been restored.
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NECA Services Business Continuity Plan
5.
Operating Procedures
Operating procedures describe how the department will perform critical business functions and
meet processing schedules/critical dates (see Attachment B) during the disaster period. The
operating procedures for the department are as follows:
Note: the following Operating Procedures assume a facilities-based business continuity scenario
with limited space (See additional note at end of Section). Critical B&C personnel to be located at
the site are as follows:
Director –Billing & Collection
Manager – Operations
Manager – B&C Settlements
Manager – Customer Relationship Management
Manager – Finance & Accounting
Senior Data Analyst
The Manager – B&C Settlements will assume all responsibilities for the processing of toll returns,
AT&T Data sheets, and miscellaneous adjustments. This is in addition to normal duties as
primary interface with Exchange Carriers for settlement statement activities.
The Senior Data Analyst will assist in the validation and ongoing processing of toll returns and
AT&T Data sheets.
The Manager – Operations will assume all responsibilities for the validation and entry of all tax
transfers. This is in addition to normal responsibilities as primary interface with UDP.
The Manager – Customer Relationship Management will be available to assist Operations and
Settlements as required. The Manager will also be responsible for all broadcast fax and mass
mailing notifications sent to Service Providers and/or Exchange Carriers during the disaster
period. These are in addition to normal responsibilities for customer relations.
The Manager – Finance and Accounting will perform all normal responsibilities for financial
activities, budgetary tracking, and processing of data under the MCI & Sprint contracts with TDS.
The Director – Billing & Collection will assist in any/all activities/responsibilities listed above as
required. He/she will also serve as the interface with the President/CEO of NECA Services, as
well as senior management at NECA and NECA Services. These are in addition to normal
supervisory responsibilities and activities.
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Additional Operational Items:
The monthly TDS file that is currently e-mailed to B&C will be forwarded to Disaster recovery
Site for uploading into WECARE.
The UDP files that are currently FTP’d to WECARE at 80 South Jefferson, will be pulled into the
Disaster recovery Site site.
Additional Note: In the event that NECA and NECA Services Executive Management does not
deem the “disaster” as sufficient in either severity or duration to warrant the procurement of
alternative space, the Director – Billing & Collection will evaluate the immediate Billing and
Collection priorities and assign responsibilities to B&C staff as required for the duration of the
disaster.
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Attachment –A Staff contact List
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Attachment B – Processing Schedule/Critical Dates
The following is the processing schedule and critical dates associated with the critical functions
that must be performed by the department during a disaster period. The first column lists the
critical process or task and the second column lists the date the process or task must occur.
Critical Process/Task
Processing of Toll Return Data
Processing of AT&T Data Sheets
Development of prior month’s holdbacks for Service Providers
Date
3rd and 4th weeks of
each month
3rd and 4th weeks of
each month
1st week of each month
1st week of each month
Processing of prior month’s Service Provider Statements
1st week of each month
Review/Approval of prior month’s Service Provider Statements and
payments
Processing of prior month’s Exchange Carrier and Service Provider
Statements (including receipt and upload of UDP data via FTP)
Mail prior month’s Exchange Carrier and Service Provider Statements
Copy Toll Return data and mail to Service Providers
Customer Relationship Management
2nd week of each month
(between the 7th and the
9th)
nd
2 week of each month
(between the 9th and the
10th)
nd
2 week of each month
(between the 11th and
the 13th)
Ongoing
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Attachment C – Critical Interfaces
The following is a list of critical interfaces for the department during a disaster period. The first
column lists the critical process or task and the second column lists the organization interfaced
with.
Critical Process/Task
Invoice Generation
Organization Interfaced
With
Finance & Admin
Finance & Admin (Mailroom)
Statement Mailing
IT
WECARE processing
Finance & Admin
Payment Notifications & Aged Receivables Reports
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NECA Services Business Continuity Plan
Attachment D - Critical Data Back-Up List
The following is a list of critical information stored off premises, which must be retrieved in the
event of a disaster. The list must include a description of the critical data back up, where the data
is stored and some type of reference to easily identify the data.
Description of Back-Up Data
N/A
Stored At
Location Reference
(If Applicable)
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Attachment E – Vendor List
The following is a list of vendors/customers unique to your organization that must be notified in
the event of a disaster.
Vendor Name
UDP
Billing Concepts (including
ACI Services)
ILD
CBS
Integretel/eBillit/Payment
One
Product
B&C Service Bureau for Messages
Processing
Phone Number
Phone 210-576-2132
Fax 210-826-7459
B&C Service Provider
Phone 210-949-7005
Fax 210-949-7154
B&C Service Provider
B&C Service Provider
B&C Service Provider
Phone 954-717-6808
Fax 954-777-2795
Phone 972-728-6639
Fax 972-241-1537
Phone 408-362-4166
Fax 408-362-2795
I4Mation
B&C Service Provider
Phone 214-424-1175
Fax 214-424-1177
Phone 913-315-8443
Fax 913-315-0620
Phone 303-390-6027
Fax 303-390-6015
Phone 732-457-5875
Fax 732-369-7070
Phone 215-629-0928
Fax 215-627-3145
Faxxent
Broadcast Fax Distributor
(kkisner@faxxent.com)
Phone303-268-0000
Fax 303-794-0399
B&C Customers
See Attachment H
(Excel Spreadsheet
under separate cover)
Excel
Sprint
MCI
AT&T
Exchange Carriers
B&C Service Provider
B&C Service Provider
B&C Service Provider
B&C Service Provider
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Attachment F - Organizational Equipment Requirements
Please indicate any equipment requirements for the department that are in addition to the home
PCs and equipment used for telecommuting during the disaster period.
Quantity
2
1
Equipment/Furniture Description
Fax machines for Manager – Operations and Manager – B&C Settlements
High Speed Printer – for Settlement Statement printing
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NECA Services Business Continuity Plan
Attachment G - Primary Site Equipment List
Facilities maintains a list of standard office equipment and furniture in use by the department.
Please use this form to list any specialized equipment beyond the list of standard office equipment
and furniture that is necessary to restore the primary site to the condition it was in prior to the
disaster.
Note: List is in addition to desks, chairs, PCs, Modems, Calculators, Laser Printers, Phones,
Fax Machines, and File Cabinets, which are assumed to be “standard office equipment”
Quantity
1
Equipment/Furniture Description
High Speed Printer (for Settlement Statements)