All Departments are encouraged to have reasonable operational continuity plans to ensure continuation of programs and services in the event of a major disruption of operations. Departments that are critical to carrying out the University's mission are required to have operational continuity plans, and to exercise and update their plans regularly. Central coordination of the continuity planning process for critical units should be available to assist departments in determining what space, equipment, and services will be available within the University and to make the planning process more efficient.
A plan for operational continuity shall contain clear strategies and procedures needed to continue operations and execute a recovery in the event of an interruption that compromises the ability of the Operating Unit to carry out its critical functions. The determination that an interruption has occurred may be made by the individual Unit Manager or by the University Administration. Operating Units may establish "levels" of interruption and of interruption response.
If any Operating Unit depends on suppliers, other Operating Units or Service Bureaus to provide its critical functions, those suppliers or units must also have a continuity plan.
Annually, on or before June 30, each Critical Operating Unit must submit to the Vice President for University Services certification that the unit has reviewed, exercised and updated its plan.
The University has an obligation to protect and provide for our students, faculty staff and visitors in the event of a major interruption of our mission and operation. Further, the University recognizes that these obligations extend to a responsibility for each Operating Unit within the University to be able to meet its individual obligations. These include the ability to provide the services expected of them and to carry out functions critical to the mission of the University should an event occur which interrupts the normal course of operations. Failure to have an adequate continuity plan could lead to unnecessary injury or loss of life, financial disaster, interruptions of academic classes, failure of research projects, and delays in completing other mission critical activities.
- Mission Critical Functions
- Processes or applications that are essential to the ability of the University to provide its services or perform its activities safely and effectively. The Unit Manager is responsible for determining if the applications or processes owned by an Operating Unit fall into one of the following categories.
- Safety and Security
- Activities needed to support a safe and secure environment for students, faculty, staff, patients, the visiting public and surrounding community. Police, Fire and Ambulance services as well as adequate lighting and usable facilities that are in good condition and safe to occupy are necessary for the continuation of all University activities. Access to and egress from campus and classrooms as well as maintenance of equipment, materials and facilities for the conduct of day to day operations. Safe handling and proper disposal of toxic substances, biologically hazardous materials, and radioactive materials.
- Learning, Education and Research
- Activities that carry out or directly support the academic mission of the University. For example, student support services (admissions, registration, etc.), lecture & study, research, post graduate programs, graduation.
- Business Support Services
- Activities that allow the University to maintain necessary business operations, safeguard assets, and ensure the financial viability of the University. Examples include, payroll, revenue collection, accounts payable, investing, and financial reporting.
- If so, they are considered to be "critical" and must be covered by an Operational Continuity Plan.
- Critical Operating Units
- Operating units defined as critical include the following:
|
Critical Operating Unit |
Vice Presidential Unit |
| 1. |
Facilities Management |
University Services |
| 2. |
Dept. of Environmental Health & Safety |
University Services |
| 3. |
University Police Department |
University Services |
| 4. |
Department of Emergency Mgmt |
University Services |
| 5. |
Building Codes |
University Services |
| 6. |
Housing & Residential Life |
University Services |
| 7. |
Networking & Telecommunications |
Sr VP for Systems Administration/OIT |
| 8. |
Research Animal Resources |
SVP Academic Health Center |
| 9. |
Central Computing Operations |
Sr VP for Systems Administration /OIT |
| 10. |
Human Resources - Employee Benefits |
Human Resources |
| 11. |
Human Resources - Employee Relations & Comp. |
Human Resources |
| 12. |
Human Resources HRMS |
Human Resources |
| 13. |
Bursar |
Sr VP for Systems Administration |
| 14. |
Registrar |
Sr VP for Systems Administration /OIT |
| 15. |
Research Subjects Protection |
Research |
| 16. |
Budget & Finance |
Sr VP for Systems Administration |
| 17. |
General Counsel |
Office of General Counsel |
| 18. |
Any department or unit required to develop and maintain an operational continuity plan as specified in state or federal law. |
University Services |
- Operational Continuity Plan
- A plan that clarifies strategies and documents the procedures needed to continue operations and execute a recovery of critical applications or processes in the event of an interruption. It also includes procedures used to exercise recovery capabilities.
- Back-up Agreement
- Written agreement between two parties that identifies and specifies the responsibilities of the parties as they relate to continuity and recovery in the event of an operational interruption. If the agreement is with non-University entities, it must be in contractual form and it must be approved by the General Counsel. A copy of all Back-up agreements must be included in the Operating Unit's Operational Continuity plan.
- Operating Unit
- Any University department or division under the operational control of a Dean, Director, Department Head or Chairperson.
- Unit Manager
- The Dean, Director, Department Head or Chairperson in operational control of an Operating Unit.
- Service Bureau
- Any agency, department or Operating Unit that provides services to multiple Operating Units (e.g., fire, police, telecommunications, data storage). Service Bureaus may or may not be University based.
- Interruption / Disaster
- Any occurrence that compromises the ability of the Operating Unit to carry out its critical functions. The determination that an interruption / disaster has occurred may be made by the individual Unit Manager or by the University Administration. Operating Units may establish "levels" of interruption / disaster and of interruption / disaster response.
- Offsite Storage
- At minimum, another building that offers immediate availability and that conforms to industry standards for media type.
- Vice President for University Services
- Alert the President and/or appropriate senior staff when Critical Operating Unit Continuity Plans have not been developed. Report on the status of overall University Continuity planning.
- Department of Public Safety
- Maintain accuracy of policy. Publish and distribute resources to assist the Operational Continuity Plan Workbook. Annually report on the planning that have been developed and exercised.
- Operational Continuity Coordinator (OCC)
- Serves as a focal point for operational continuity planning within the Operating Unit. The OCC and the functional responsibilities of the OCC will be determined by the Unit Manager or a person designated by the Unit Manager.
- President
- When alerted by the Vice President for University Services, assure that Critical Unit Operational Continuity Plans are developed.
- Recovery Teams
- Implement the Operational Continuity Plans.
- Unit Manager
- The Unit Manager is responsible for determining if the applications or processes owned by an Operating Unit fall into one of the mission critical categories. Designate the functional responsibilities of the Operational Continuity Coordinator. Review plan annually and exercise objectives and results. Update and maintain the plan. Evaluate the impact of changes within the unit and their impact on the unit's ability to recover from a serious operational interruption. Responsible for creating the plan, exercising the plan and training employees to be proficient at their roles within the plan.
There is no FAQ for this policy.
- MN Executive Order 96-16 Sec I B. 1 & 3, and Sec. III A
- Foreign Corrupt Practices Act of 1977
- Federal Financial Institutions Examiners Council Joint Circular 1989 (BC 177 and 266)
- Consumer Credit Protection Act (15US1601 et. seq.) Title IX
- OCC Circular 255
- Thrift Bulletin 30 (Office of the Comptroller)
- Federal Computer Security Act
Contact the Department of Emergency Management to get a copy of the Operational Continuity Workbook and Policy Planner.
- Amended:
- July 2008 - Updated contacts section.
- Amended:
- April 2005 - "Any department or unit required to develop and maintain an operational continuity plan as specified in state or federal law" added to critical units list in definitions section. This was added to comply with HIPPA.
- Amended:
- July 2004 - Policy Statement clarified that departments defined as critical operating units are required to have formal plans established, and that all departments are encouraged to have some "reasonable operational continuity plans." Policy Statement also clarified that central coordination of the continuity planning process for critical units should be available to assist departments. Responsible Officer and Responsible Office are now Vice President for University Services and the Office of the Vice President for University Services. Critical Operating Units are now defined in the definitions section. Operational Continuity Workbook and Planner now available by contacting the Department of Emergency Management.
- Amended:
- January 1998 - Added manual on how to prepare an Operational Continuity Plan. The deadline for compliance with this policy has been extended to January 1, 1999.
- Effective:
- April 1997
-
To obtain a copy of a historical policy,
e-mail the U Policy Librarian at policy@umn.edu or call 612-624-4372.
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