Business Continuity –
Management Recovery
Plan 2010 - 2015
Overview
The plan has been developed to ensure an orderly and effective response to any incident that
significantly disrupts business operations. It is to be used to facilitate continuity of the NSW Rural
Assistance Authority’s (the Authority) business and includes recovery of infrastructure in the event
of a disaster or pandemic over a period of up to 30 days.
Background
The NSW Rural Assistance Authority Business Continuity Plan was originally prepared in
consultation with IAB Services and was released in June 2005. This plan has been reviewed and
revised to meet the Authority’s changing needs.
Objectives
The objectives of this plan are:
y
y
y
To ensure that maximum possible service levels are maintained
To ensure that the Authority recovers from interruptions as quickly as possible
To minimise the likelihood and impact (risk) of interruptions
Principles
The principles behind this plan are:
y
y
y
Disaster Recovery is just part of Business Continuity
Risks are assessed for both probability and business impact
Business continuity plans must be reasonable, practical and achievable
In other words, we are not planning for every possibility. Diminishing returns affect the benefits of
planning for extreme cases.
Structure
There are two levels of written Recovery Plans:
I.
Management Recovery Plan (this Plan), which:
a.
b.
c.
declares the disaster;
invokes the business unit recovery plans; and
monitors recovery at the highest level.
II. Business Unit Recovery Plans, which:
a.
recovers the essential business operations belonging to business units.
NSW Rural Assistance Authority
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Definitions
Disaster - any event which prevents the Authority from carrying on its usual operations at the
normal place of work for more than the predefined Maximum Acceptable Outage (MAO) periods.
A disaster may include one, or a combination of any of the following:
a.
b.
c.
d.
e.
f.
g.
h.
i.
Natural disasters (e.g. earthquake, storm, tsunami, flood).
Accidental hazards (e.g. fire, gas leak, vehicle collision).
Hostile acts (e.g. war, terrorism, sabotage, vandalism).
Wilful/malicious damage (e.g. security breach, theft, media leak).
System/equipment failure (e.g. IT or communications infrastructure, electronic security
systems, electrical equipment).
Loss or destruction of vital records or information.
Loss or lack of critical resources (e.g. power, water, office facilities).
Loss of critical support functions (e.g. payroll, finance, administration).
Loss of key personnel.
Disaster Recovery - Activities and procedures designed to return the organisation to an acceptable
condition following a disaster.
Business Continuity - The uninterrupted availability of all key resources supporting essential
business functions.
Business Continuity Management - Provides for the availability of processes and resources in
order to ensure the continued achievement of critical objectives.
Business Continuity Planning - A process developed to ensure continuation of essential business
operations at an acceptable level during and following a disaster.
Maximum Acceptable Outage (MAO) - The maximum period of time that critical business
processes can operate before the loss of critical resources affects their operations.
Pandemic - epidemic of disease that occur on a worldwide scale. They are traditionally caused by
infectious diseases such as influenza which have had devastating effects on people.
An influenza pandemic occurs when a new influenza virus emerges which is markedly different
from recently circulating seasonal influenza viruses and is able to:
a.
b.
c.
infect people and cause disease (rather than, or in addition to, other mammals or birds);
spread readily from person to person; and
spread widely because most people will have little or no immunity.
The likely consequences of a pandemic include:
a.
b.
c.
d.
e.
f.
Many people may become unwell and some will die;
People who are sick with pandemic influenza, or who have been in close contact with sick
people, may be asked to stay at home;
There may be workplace modification and/or closure: many people (up to 50%) will be unable
to go to work – because they have been asked to stay at home, they are sick or they are caring
for others;
There may be disruption to utilities, transport and other services;
There may be closure of schools, businesses and entertainment venues; and
Health care will be delivered differently and health care resources may be stretched.
NSW Rural Assistance Authority
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System Failure - When the delivered service no longer complies with the specifications, the latter
being an agreed description of the system's expected function and/or service. This definition
applies to both hardware and software system failures. Faults or bugs in a hardware or a software
component cause errors.
System Error is defined as that part of the system which is liable to lead to subsequent failure, and
an error affecting the service is an indication that a failure occurs or has occurred. If the system
comprises of multiple components, errors can lead to a component failure. As various components
in the system interact, failure of one component might introduce one or more faults in another.
Acronyms
The following acronyms are used throughout this document:
BCP
Business Continuity Plan
MRT Management Recovery Team
BURT Business Unit Recovery Team
Authority
NSW Rural Assistance Authority
I&I NSW
NSW Department of Industry and Investment
MAO Maximum Acceptable Outage
Roles and Responsibilities
The following diagram depicts the inter-relationship between the various BCP entities:
The MRT is an executive level team responsible for the overall coordination of the Authority’s
business continuity in the event of a disaster. In an emergency, it manages the Authority’s response
to any significant interruption. It is the primary point of liaison with the State Crisis Centre (State
Crisis Management Team), other Agency Crisis Management Teams and Emergency Services,
should they be active. It reports directly to the Chief Executive.
The MRT is responsible for:
a) declaring a disaster;
b) initiating the BCP;
c) coordinating individual BURTs; and
d) restoring normal operation.
NSW Rural Assistance Authority
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MRT Members
MRT Coordinator
MRT Member
MRT Member
MRT Member
Position
Manager Policy
General Manager
Manager Administration
Manager Records
The BURTs are responsible for the timely and controlled restoration of key business processes
within pre-identified MAOs. In an emergency, these teams employ predefined and rehearsed
recovery procedures as defined within individual Business Unit Recovery Plans.
BURTs are responsible for:
a) complete and timely recovery of the essential operations; and
b) safety and welfare of public and staff during the disaster and its aftermath.
BURT Members
Business Unit
Administration Coordinator
Team Member
Team Member
Coordinator
Loans
Administration Team Member
Team Member
Team Member
Coordinator
Grants
Administration Team Member
Position
Manager Administration
Manager Policy
Manager Records
Manager Loans Administration
Assessment Manager – Loans
Loan Securities Clerk
Client Loans Accounting Officer
Manager Grants Administration
Assessment Manager/s, Grants
Management Recovery Plan
In the event of a disaster that stops the Authority from operating in its normal business premises the
MRT will relocate to a Disaster Recovery Centre, where they will oversee resumption of the
Authority’s operations and if necessary setting up of new/temporary premises.
The recovery centre can be located at any I&I NSW office such as the Orange Agricultural Institute
or at any other location suitable to the Authority providing IT services can be arranged within a
reasonable period of time.
All other disasters that do not affect the Authority’s occupation of its business premises will not
result in relocation of the MRT to the Disaster Recovery Centre or the setting up of new/temporary
premises.
There may be a period of time following the disaster when the Authority is unable to maintain its
normal operations. The Manager Administration, as part of the MRT and in consultation with
individual Business Unit managers will advise staff of if, when and where they are required to
report to work.
Permanent staff members may also be required to take special disaster leave during this period,
while temporary and contract staff may be stood down pending the resumption of normal
operations.
NSW Rural Assistance Authority
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Recovery Procedures
Task
What
Who
1
Receive notice of disaster/pandemic or potential MRT Coordinator
disaster/pandemic.
This notice may come from any source at any time.
Obtain as clear a picture as the informant can give.
Determine whether to invoke the BCP.
MRT Coordinator
2
Contact MRT Members, advise them of the MRT Members
situation and arrange to meet. Determine whether:
(a) disaster or pandemic exists; (b) the BCP should
be invoked.
When
Immediately
Immediately
(a) Determine whether a disaster or pandemic
exists.
If the event is one of the following and the impact
will last longer than 72 hours 1 , immediately declare
that a disaster exists:
• destruction of, or severe damage to, premises
making use impossible, for example fire, flood,
collapse, contamination;
• external event preventing access to premises,
for example police cordon, emergency
evacuation, weather conditions;
• loss of essential services, eg. power, phone,
computing;
• an event which prevents one or more predefined key business processes from continuing
within the identified MAOs.
3
1
(b) Determine whether the BCP should be
invoked
• Make the decision: either declare a disaster and
invoke the BCP, or stand down. Remember
that the declaration can be cancelled.
• If the BCP is to be activated, proceed to the
next step.
Invoke the BCP
• Notify the Chief Executive and advise: the
nature, impact and time of incident; whether
there are casualties; where you can be reached;
what support you need; whether the Recovery
Centre is required and located; agreed
frequency of further updates.
• Contact BURT Coordinators and brief them
on the situation. Advise whether they are to
invoke their individual Business Unit Recovery
Plans.
• Contact I&I NSW and brief them on the
MRT Coordinator
Immediately
This is because the soonest period where the MAO reaches a value of 4 is 3-5 days.
NSW Rural Assistance Authority
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Task
4
What
situation. Advise whether they are to invoke
their Recovery Plans in relation to the services
they provide to the Authority.
Activate the Recovery Centre (if necessary)
• Alert the nominated Recovery Centre (if
premises are being provided by I&I NSW) that
the Authority’s BCP has been invoked and to
activate the Recovery Centre.
Who
When
MRT Members
Immediately
or
•
5
6
Arrange for temporary office space and
equipment at a location suitable to the
Authority together with IT access though I&I
NSW.
• Relocate the MRT to the Recovery Centre.
• Make arrangements for the transportation of all
recovery material to the Recovery Centre for
the relocating staff.
• On arrival at the Recovery Centre, check that
each MRT member: has arrived safely; has
moved into its allocated space; has its recovery
material; has access to telephones, is able to
access its systems on the PCs provided; has
started its recovery.
• Coordinate the acquisition of ICT for various
BURTs. This may include either purchase of
equipment or sourcing of equipment from I&I
NSW.
• Liaise with individual BURT Coordinators to
ensure that all staff have been accounted for.
• Notify insurer within 48 hours of any injured
persons.
MRT Members
Monitor interim operation
• Liaise with the I&I NSW Premises Manager
over the restoration or replacement of the
premises.
• Liaise with relevant salvage teams.
MRT Coordinator
Return to normal operations
• If Recovery Centre has been activated plan MRT Members
arrangements for return back to premises once
the I&I NSW Premises Manager advises that
the premises are ready for reoccupation.
• Coordinate staff to: save all data for transfer to
original premises; delete the Authority’s data
from the Recovery Centre's PCs and file
servers; remove the Authority’s and personal
property from the Recovery Centre.
• Arrange for: MRT logs to be collected; and
expenses and insurance loss details to be passed
to the MRT Coordinator.
• With the Team Leaders and Management and
using the Team logs for input, hold a review of:
NSW Rural Assistance Authority
From time
of relocating
to Recovery
Centre.
On advice
from
Premises
Manager.
Page 6 of 31
Task
What
the disaster; the recovery; the performance of
the BCP.
Who
When
In addition to the above the following should also be undertaken
a)
Develop Manual Processes
In the event of a disaster, manual processes may need to be developed to allow continuation of
the Authority’s operations. These may include the following however development of other
processes should not be discounted.
y Manual tracking of File Movements
y Payment of Grants and Loans from lists
b) Return to Normal Operations
y Plan arrangements for return back to primary site once the MRT has advised the BURTS
that the primary premises are ready for reoccupation.
y Coordinate staff to: save all data for transfer to original premises; remove Authority and
personal property from the Temporary Premises.
y Arrange for BURT logs to be collected; and expenses and insurance loss details to be
passed to the MRT.
y Collaborate with the BURTS to review processes surrounding: the disaster; the recovery;
the performance of the BCP.
c)
During Each Incident
At all stages keep any affected business unit or person closely advised of progress – even
negative progress. This is especially important for missing documents.
Do not hesitate to advise the Manager, Administration of the incident and of progress.
If any incident could possibly involve the press or public, immediately contact the
Manager, Policy so that the General Manager and if necessary the Chief Executive may
be briefed if required.
d) After Each Incident
After every incident, a standard set of tasks must be done. These have not been repeated under
each risk, but they must still be done:
y Return all operations and services to their original form
y Contact all affected business units and suppliers, to advise them that the incident is over
and things are back to normal
y Thank everyone involved, preferably by personal phone call or email
y Review the way we managed the incident, and consider if we need to change anything – if
so, change it in this document too.
Pandemics
Unless staff are on approved leave they are to remain working and attend their normal workplace.
Where recommended measures for providing a safe workplace are in place, employees are to
undertake their normal duties.
NSW Rural Assistance Authority
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Any employee who then chooses not to work should (after the appropriate process has been
followed) be placed on leave without pay.
The Authority may apply any or all of the following flexible working arrangements:
a)
Attend Normal Place of Work – All staff are to attend the workplace as usual, except where
working from home (or elsewhere) as part of the Authority’s business continuity and workforce
management plan aimed at ensuring ongoing service delivery.
b) Staff Working Remotely from Home - If necessary and practical, staff, following receipt of
approval from the Chief Executive may work remotely from home should:
y There be a recommendation from NSW Health to increase social distancing and remote
working allows this to be implemented.
y Schools and caring facilities have been closed requiring staff to stay at home to provide
care.
y Public transport is closed and some staff cannot reasonably get in to work, or the risk of
staff being infected through the use of public transport cannot be reasonably managed.
y The workplace itself has been isolated / quarantined by NSW Health.
y The staff member is caring for a sick family member.
c)
Alternate Duties – Where possible staff may be utilised in other areas of the Authority so that
all areas of the Authority remain open at all stages during the pandemic. Staff may be:
y Required to undertake different work functions (most likely for essential work) as directed
within their competencies but outside the scope of their normal duties.
y Redeployed to other government agencies to assist priority service delivery.
Staff who perform duties for another agency will remain employed by the Authority but will be
under the control and direction of the host agency. The Authority will continue to pay
employees at their normal rate of pay.
d) Transport or Other Major Disruptions – Where employees are unable to get to work due to
transport or other major disruptions, employees may be directed to do their usual job remotely
at another government agency or from home.
e)
Workplace Closure – During a pandemic NSW Health may close premises either as a
preventative measure or because those premises have been isolated or quarantined. In
particular:
y Closing premises to the public by NSW Health does not necessarily exclude employees
from continuing to work in such premises (unless the directive is for the premises
themselves to be isolated or quarantined).
y Where the workplace has been closed to the public as part of preventative measures
appropriate workplace safety measures as recommended by NSW Health should still be
implemented and employees in that workplace should still attend work unless the premises
themselves have been closed.
y Where staff are directed to stay at home, the employee will:
i. remain on pay for the period, and
ii. remain at home until directed to return to work;
iii. failure to return to work in the absence of illness, caring for family or authorised
absences may result in disciplinary action.
y In the event of workplace closure the Authority may activate the Recovery Centre.
Employees may also be required to do their job remotely at another government agency or
at home.
NSW Rural Assistance Authority
Page 8 of 31
y
Employees may be deployed to another government agency to undertake other duties as
directed within their competencies.
The Authority will manage the absence and return to work of staff during a pandemic. Some issues
to consider are:
a)
advice to the employee on how long to stay away from work (the NSW Health website will
have advice on this once the characteristics of a pandemic are known);
b) checking on the staff member during their absence from work; and
c) ensure staff are healthy before allowing them to return to work (NSW Health advice will assist
the Authority is this regard).
Pandemic Special Leave up to a maximum of 20 days may apply when employees are sick or caring
for other family members and may be used in conjunction with other leave available to staff.
Employees are not required to provide a medical certificate when absent due to sickness or to
provide care for others but will need to provide a copy of their record of attendance, or for the
person for whom they are providing care, from a NSW Health Fever Clinic, or such other
document(s) which satisfy the Authority’s requirements.
Maximum Acceptable Outages
The most critical business process undertaken by the Authority is the provision of IT and
communications. This function is currently outsourced to I&I NSW.
The next most critical business processes undertaken by the Authority are:
a) Provision of payroll;
b) Accommodation management; and
c) Records management.
Each of these are also outsourced to I&I NSW.
All other identified business processes never reach an impact ranking of “major”. The following
table lists each business process undertaken by the Authority along with the maximum impact ever
reached and when that maximum is reached.
Max impact
reached
2
When max
is reached
>30
Reporting and information dissemination.
3
>30
Internal education of staff on policy.
2
16-30
Public relations including outside events and website.
1
N/A
Reporting to Board and management
3
>30
Loan securities documentation
3
>30
Process applications (deferment, inter-generational
transfers, and security variations)
3
>30
Debt recovery
1
N/A
Process applications for assistance.
3
16-30
Assistance appeals
2
>30
Business process
Prepare Annual Report.
NSW Rural Assistance Authority
Page 9 of 31
Max impact
reached
1
When max
is reached
N/A
Preparation and dissemination of mediation kits
2
16-30
Processing of Section 11 applications
2
16-30
Maintenance of mediation panel.
1
N/A
Education and awareness of farming sector and
lending institutions and mediators.
1
N/A
Provide awareness and education to farming sector
and training sector.
1
N/A
Policy implementation, oversight and management
including appeal process.
3
16-30
Business process
Awareness and education relating to schemes.
Provide corporate services to Authority including:
•
HR
3
>30
•
Finance & budgeting
3
>30
•
Payroll
4
>30
•
IT and Communications
5
3-5
•
Transport
1
N/A
•
Asset management
1
N/A
•
Accommodation
4
>30
•
Reception services
1
N/A
•
Maintain SLA
1
N/A
•
Internal audit
1
N/A
Provide records management
4
>30
Draw-down and maintain history of all loans and
grants, and receive repayments.
3
>30
Supporting Information
Contacts
a)
Staff Welfare Adviser
N/A
b) Premises Manager (I&I NSW staff)
Building Manager - Kite Street Premises
Institute Manager – Orange Agricultural Institute
c)
Other Internal Site Contacts
Mailroom
Switchboard
NSW Rural Assistance Authority
Page 10 of 31
d) External Contacts – I&I NSW
Media Advisor
e)
External Contacts – Non Departmental
Emergency Services
Who
Fire Brigade
Police
Ambulance
Hospital
State Emergency Services
000
000
000
02 6393 3000
132 500
Utilities
Who
Electricity (Country Energy)
Gas (Country Energy)
Water (Orange City Council)
Phone
132 080
132 080
02 6393 8500
Phone
Fax
02 6393 3593
Fax
02 6393 8512
Couriers
N/A
Related Legislation
ƒ
ƒ
ƒ
State Emergency and Rescue Management Act, 1989
Public Heath Act 1991
Public Sector Employment and Management Act 2002
Related Delegations
Nil.
Related Documents
ƒ
ƒ
ƒ
ƒ
ƒ
ƒ
ƒ
Business Continuity Plan – Administration Unit
Business Continuity Plan – Grants Administration
Business Continuity Plan – Loans Administration
NSW Human Influenza Pandemic Plan – August 2010
C2010-32 – NSW Human Influenza Pandemic Plan – NSW Department of Premier & Cabinet
Memorandum of Understanding (MoU) – Arrangements for Public Sector Employees in the
event of an Influenza Pandemic
NSW State Disaster Plan (Displan)
Revision History
VERSION
1.0
2.0
DATE
JUNE 2005
10/03/2010
BY WHOM
IAB SERVICES
POLICY OFFICER
DATE OF NEXT REVIEW
31/03/2014
Authorised by
Manager Administration, Manager Policy
NSW Rural Assistance Authority
Page 11 of 31
Attachment ‘A’
Risks
Risk
Building Loss – NSW RAA Work area
Probability
Low
Impact
High
Likely Scenario
Fire; Bomb threat
Functions
Affected
All
Action
Contact I&I NSW Building Manager to assess damage and availability
and timing of alternate locations
Move MRT and Authority operations to the Disaster Recovery Centre
Advise all business units, and suppliers if affected
Stand down other Authority staff members until relocation to new
premises is completed or until able to return to Authority work area
If documents have been destroyed, see Paper Documents Lost
If documents have been damaged, see Fire and Water Damage
Responsibilities
MRT Coordinator
Mitigation
Constraints
The Authority’s and I&I NSW Emergency Procedures override these
instructions if there are any conflicts
Resources
See Point 12
NSW Rural Assistance Authority
Page 12 of 31
Risk
Building Loss – I&I NSW Head Office Building
Probability
Low
Impact
High
Likely Scenario
Fire
Functions
Affected
All
Action
Contact I&I NSW Building Manager to assess damage and availability
and timing of alternate locations
Move MRT and Authority operations to the Disaster Recovery Centre
Contact all Authority staff and suppliers to arrange alternate locations and
contact details
Stand down other Authority staff members until relocation to new
premises is completed or until able to return to Authority work area
If documents have been destroyed, see Paper Documents Lost
If documents have been damaged, see Fire and Water Damage
Responsibilities
MRT Coordinator to contact I&I NSW Building Manager
Manager Administration to coordinate contacting all Authority staff and
suppliers
Authority staff to contact Manager Administration
If MRT Coordinator is unavailable, members of MRT to deputise
Mitigation
Constraints
The Authority’s and I&I NSW Emergency Procedures override these
instructions if there are any conflicts
Resources
See Point 12
NSW Rural Assistance Authority
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Risk
Building Loss – I&I NSW Head Office Building Basement
Probability
Low
Impact
Medium
Likely Scenario
Fire; Bomb threat
Functions
Affected
Garage access for scheduled courier services/deliveries; offsite storage
services
Action
Contact courier and storage company and Reception immediately to
arrange deliveries via main reception
If documents have been destroyed, see Paper Documents Lost
If documents have been damaged, see Fire and Water Damage
Responsibilities
Manager Records to coordinate and escalate if required
Mitigation
Constraints
The Authority’s and I&I NSW Emergency Procedures override these
instructions if there are any conflicts
Resources
Email, phone
NSW Rural Assistance Authority
Page 14 of 31
Risk
Building Loss – Site other than NSW RAA work area
Probability
Low
Impact
Medium
Likely Scenario
Fire, Bomb threat
Functions
Affected
Scheduled courier services/deliveries
Action
Contact affected business unit and couriers immediately to arrange
alternate pickup and delivery points; hold all parcels/files etc at RAA
work area
Responsibilities
Manager to coordinate and escalate if required
Mitigation
Constraints
The Authority’s and I&I NSW Emergency Procedures override these
instructions if there are any conflicts
Resources
Email, phone
NSW Rural Assistance Authority
Page 15 of 31
Risk
Mail Item Missing
Probability
Impact
Likely Scenario
Functions
Affected
Action
Medium
Responsibilities
Mitigation
Constraints
Resources
Manager Records to coordinate and escalate if required
Varies – can be high
Incoming or outgoing mail item reported missing
Incoming and outgoing mail, couriers; potentially any business operation
Contact affected business unit and/or sender to get full description of
missing item, delivery method, addressee, times and dates
Check Records area, I&I NSW Mail Room, Reception area, look in all
satchels, empty mailbags and trolleys
Incoming
Check Authority and I&I NSW Reception areas
Check Records area
Check with Courier companies if necessary
Outgoing
Check Records area
Check with Courier companies if necessary
If still not found
Broadcast email to advise staff of missing item and to request they
check their desks
Repeat some of these actions over two or three days if necessary – most
missing mail items turn up the next day at the correct destination
Email, phone
NSW Rural Assistance Authority
Page 16 of 31
Risk
Couriers – Services Unavailable
Probability
Low
Impact
Medium – if longer than half a day
Likely Scenario
Courier driver’s strike
Functions
Affected
Delivery of items to/from the Authority
Action
Advise all business units of problem
Business units can use fax, email, express post, personal hand to hand
delivery
Some courier drivers may do local work
Responsibilities
Manager Records to coordinate and escalate if necessary
Mitigation
Contract specifies alternate, trained drivers available to cover sickness etc
Constraints
Widespread industrial disputes may include other courier companies and
express post deliveries
Resources
Email, phone
NSW Rural Assistance Authority
Page 17 of 31
Risk
Documents lost – Electronic (in large numbers)
Probability
Low
Impact
High
Likely Scenario
Network problem (Eg. TRIM failure)
Functions
Affected
All electronic and paper-based document related activities
Action
Immediately (Manager Records):
y Contact the Help Desk to log problem and establish nature and
duration of problem. If necessary request recreation from backup
y Contact TRIM coordinator to ensure problem is treated with urgency
y Advise Manager Administration
y Advise all affected business units
If problem cannot be fixed within one day by recreation from backup,
discuss with all stakeholders how to manage current operations and any
ad hoc document recreations so that a later full restoration does not create
more problems – involve all stakeholders, particularly the I&I NSW IT
area and all affected business units.
If problem cannot be fixed by recreation from backup, investigate ways
and need to recreate from paper files, or from individual staff members
files – involve all stakeholders
Responsibilities
Manager Records to coordinate and escalate if necessary
Mitigation
Backups by I&I NSW IT area; some documents saved to CD (EG – SAP
reports) with copies held by business units; original paper documents
retained on physical files
Constraints
Backups by I&I NSW IT area – it may take some time to organise a
recovery
I&I NSW IT area; CDs; physical files
Resources
NSW Rural Assistance Authority
Page 18 of 31
Risk
Documents Lost – Electronic (specific documents)
Probability
Low
Impact
Varies
Likely Scenario
Document accidentally deleted; recorded/saved incorrectly
Functions
Affected
All electronic and paper-based document related activities
Action
Immediately (Manager Records):
y Contact the Help Desk to log problem and if necessary request
recreation from backup
y Contact TRIM support area to ensure problem is treated with urgency
y Advise all affected business units
If problem cannot be fixed by recreation from backup, investigate ways
and need to recreate from paper files, or from individual staff members
files – involve all stakeholders
Responsibilities
Manager Records to coordinate and escalate if necessary
Mitigation
Backups by I&I NSW IT area; some documents saved to CD (EG – SAP
reports) with copies held by business units; original paper documents
retained on physical files
Constraints
Backups by I&I NSW IT area – it may take some time to organise a
recovery
Resources
I&I NSW IT area; CDs; physical files
NSW Rural Assistance Authority
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Risk
Documents Lost – Hardcopy (in large numbers)
Probability
Low
Impact
High
Likely Scenario
Authority work area in I&I NSW Head Office building lost; loss of other
Authority work area; offsite document storage site lost; fire or storm
damage
Functions
Affected
File and document retrievals; all document/file based activities
Action
Immediately:
y Advise Manager Administration
y Advise all affected business units and discuss both short and long term
implications
Investigate ways and need to recreate from other paper or electronic files,
or from individual staff members files – involve all stakeholders
Responsibilities
Manager Records to coordinate and escalate if necessary
Mitigation
Scanning of some documents to CD, TRIM etc, copy documents held by
business areas
Constraints
Resources
NSW Rural Assistance Authority
Page 20 of 31
Risk
Documents Lost – Hardcopy (specific document, file or box)
Probability
Medium
Impact
Varies, potentially high
Likely Scenario
It’s always urgent – a subpoena, FOI or Privacy request
Functions
Affected
Document retrieval; any document-based activity
Action
Check SAP File Tracking/Records Archived Files records for possible
locations
Ask last known person with document
Ask business unit – most lost documents are elsewhere in the requestor’s
business unit
Records staff to check at likely sites
Broadcast email to all staff
Contact individual staff members who may have knowledge of the
documents concerned
If document is irrevocably lost, discuss impact with stakeholders, issue
statement of search and loss signed by Records Manager.
Responsibilities
Manager Records to coordinate and escalate if necessary
Mitigation
Scanning of some documents to CD, TRIM etc, copy documents held by
business areas
Constraints
Resources
NSW Rural Assistance Authority
Page 21 of 31
Risk
Email or Network down
Probability
Medium
Impact
High
Likely Scenario
A malfunction in the computer system or on the LAN
Functions
Affected
Business units requesting files and boxes (excludes interruptions to the
File Tracking system, for which see Software – SAP System Down
Action
Contact Business Units by phone and ask that all communications be by
phone, on paper or in person
Records Area to records all file requests manually
When the system is available again, arrange data entry of all movements
recorded manually
Responsibilities
Manager Records to coordinate and escalate if required
Mitigation
Constraints
Resources
Phone, Fax, File Request forms
NSW Rural Assistance Authority
Page 22 of 31
Risk
Fire or Water Damage to Documents
Probability
Low
Impact
Medium
Likely Scenario
False alarm setting off sprinklers; or fire damage plus water damage from
sprinklers and hoses; or stormwater damage. Water damage is usually the
most serious outcome of a fire
Functions
Affected
Business Units using files; Records Area issuing and returning files
Action
The document compactus has been designed to reduce fire and water
damage to documents stored therein. The compactus is to be closed and
locked during non business hours. Should the building alarm sound
during business hours Records Area staff are, if safe to do so, immediately
close and lock the compactus prior to evacuating the building.
URGENT: Assess damage – if more than is manageable in house, contact
BMS Catastrophe or Munters to get quotes on removal, drying and
cleaning. Critical files have been colour coded to aid in identification –
these files would be the only files where recovery would be attempted.
Drying should begin within 24 hours to minimise damage.
Advise all Business Units of extent of problem and likely delays
If documents are lost, see Documents Lost – Hardcopy (in large numbers)
Responsibilities
Manager Records to coordinate and escalate if required
Mitigation
Constraints
Cost for use of commercial recovery specialists (Eg BMS Catastrophe)
Resources
Email, phones
NSW Rural Assistance Authority
Page 23 of 31
Risk
Franking Machine Fault
Probability
Low
Impact
High
Likely Scenario
Franking machine develops a fault and fails to operate
Functions
Affected
Outgoing mail
Action
Contact supplier immediately to arrange service/replacement
Contact Australia Post to arrange for them to do the franking
Contact couriers to arrange any urgent deliveries
Advise all Business units if earlier cut-off deadline is required
Count and bundle outgoing mail ready to go to Australia Post unfranked
Purchase stamps
Responsibilities
Manager Records to coordinate and escalate if necessary
Mitigation
Australia Post account; service arrangement with franking machine
supplier
Constraints
Nature and volume of outgoing mail does not warrant cost of fast
response service contract with machine vendor
Resources
Phone; Australia Post account
NSW Rural Assistance Authority
Page 24 of 31
Risk
Hardware Problems
Probability
Low
Impact
Low
Likely Scenario
Malfunctioning PCs, printer, scanner etc
For more widespread hardware or IT problems, see Software - XXXX
System Down, Email or Network Down
Functions
Affected
Any
Action
For PC’s printers, contact the Help Desk; switch to another PC or printer
in the meantime.
For other equipment contact the supplier or manufacturer
Responsibilities
Senior Authority staff member to coordinate and escalate if required
Mitigation
iPrint function on PC’s allows printer drivers to be installed and switching
of printers; service agreements for mission-critical equipment
Constraints
Resources
Phone
NSW Rural Assistance Authority
Page 25 of 31
Risk
Offsite Archive Services Unavailable
Probability
Low
Impact
Medium
Likely Scenario
Industrial dispute
Functions
Affected
Archive box pickups and deliveries
Action
Advise all Business Units
In some cases identifiable documents can be selected and faxed by the
storage company
Responsibilities
Manager Records to coordinate and escalate if required
Mitigation
Constraints
Industrial action may prevent faxing or site access; faxing expensive and
only possible for clearly identifiable documents
Resources
Email, phone, fax
NSW Rural Assistance Authority
Page 26 of 31
Risk
Phone System Unavailable
Probability
Low
Impact
Medium
Likely Scenario
Phone system or phone line problems
Functions
Affected
Client enquiries
Enquiries from Rural Counsellors
Business Units requesting files, advice
Action
Contact all Business Units by email or mobile phone and ask that all
communications be by email or mobile phone
Responsibilities
Manager Administration to coordinate and escalate if required
Mitigation
Mobile phone
Constraints
Problems may also affect mobile phone and email use
Resources
Email; mobile phone
NSW Rural Assistance Authority
Page 27 of 31
Risk
Power Unavailable
Probability
Low
Impact
High
Likely Scenario
Lights or power points only or all 240v power failure
Functions
Affected
All
Action
Total power outage means no lifts, lights, phones or computers
Use rechargeable flashlights supplied to the Building Warden for essential
movement
Find out extent of the problem – contact I&I NSW Building Manager who
will contact power suppliers and repairers if there are no broadcast
messages
Responsibilities
Manager Administration to coordinate and escalate if required
Mitigation
I&I NSW Emergency Procedures
Constraints
The Authority’s and I&I NSW Emergency Procedures override these
instructions if there are any conflicts
Phone, mobile phones, rechargeable flashlights
Resources
NSW Rural Assistance Authority
Page 28 of 31
Risk
Software – SAP System Down
Probability
Low
Impact
Medium
Likely Scenario
SAP itself playing up, the network having problems, or the database
corrupted and being restored or rebuilt.
This Risk only covers the SAP system itself: for network and email
problems see Email or Network Down; for hardware problems see
Hardware Problems
Functions
Affected
All – assessment and payment of loans and grants
file tracking
accounts payable
general ledger
reporting
On realising that system has problem
Investigate – IT Help Desk, SAP Support – determine if problem is
widespread
Advise all Business Units – this will be done by either I&I NSW ITC or
the SAP Support area
Log all file movements on paper or an Excel spreadsheet
If system is expected to be down for an extended period of time Accounts
Payable, Loan and Grant disbursements to be paid manually – either
through payment from lists at the bank or issuing of cheques
Once problem is resolved, arrange data entry of all payments and file
movements processed manually. End of month processing/reporting, if
affected, to also be completed prior to all staff being allowed access to the
system and normal processing being resumed
Action
Responsibilities
Mitigation
Manager Administration, Client Loans Accounting Officer, Manager
Records, I&I NSW ITC area. I&I NSW SAP Support
For overall system availability and database integrity we rely on normal
IT backups and offsite storage arrangements
Development of manual processes
Constraints
Email, phone
It can be difficult to decide whether the problem lies with the SAP system,
the network or hardware
Resources
Broadcast email (preferred); phone system; paper forms; excel
NSW Rural Assistance Authority
Page 29 of 31
Risk
Software – TRIM System Down
Probability
Low
Impact
Medium
Likely Scenario
TRIM itself playing up, the network having problems, or the database
corrupted and being restored or rebuilt.
This Risk only covers the TRIM system itself: for network and email
problems see Email or Network Down; for hardware problems see
Hardware Problems
Functions
Affected
Administration
Responses to Ministerial and Departmental correspondence
Some reporting
On realising that system has problem
Investigate – determine if problem is widespread – discuss with I&I NSW
TRIM Support
Advise all Business Units affected
Log all file movements on paper or an Excel spreadsheet
Saving of documents to local drives (Eg. ‘H’) until system is restored
Once problem is resolved, arrange data entry of all file movements
processed manually. Documents saved to local drives to be saved to
TRIM
Action
Responsibilities
Manager Records, Manager Policy, I&I NSW ITC (TRIM) area
Mitigation
For overall system availability and database integrity we rely on normal
IT backups and offsite storage arrangements
Scanning of documents
Use of local drives (Eg. ‘H’)
Use of copy documents/templates saved to local drives
Development of manual processes
Constraints
Email, phone
It can be difficult to decide whether the problem lies with the TRIM
system, the network or hardware
Resources
Broadcast email (preferred); phone system; scanners; paper forms; excel
NSW Rural Assistance Authority
Page 30 of 31
Risk
Vehicle Unavailable
Probability
Medium
Impact
Low
Likely Scenario
Vehicle booked with I&I NSW vehicle fleet, unavailable at last minute
due to breakdown, required by senior management, disaster response
Local deliveries/pick-ups
Attendance at meetings and other events
Functions
Affected
Action
Walk (short distances only)
Use of taxis
Use of private vehicles – staff to be reimbursed cost
Air travel – attendance at meetings and training in capital cities
Use of hire vehicles (to be authorised by senior management for
attendance at important meetings only)
Responsibilities
Manager Administration, I&I NSW Fleet Management
Mitigation
Constraints
Cost
Security
Resources
Phone, staff, Cabcharge account
NSW Rural Assistance Authority
Page 31 of 31