HSS/KC Business Continuity & Disaster Response Annual Program Review The Humane Society for Seattle/King County Board of Directors Fall 2007

HSS/KC Business Continuity & Disaster Response


Annual Program Review

The Humane Society for Seattle/King County

Board of Directors

Fall 2007


Board of Director Program Review

HISTORY Overall kickoff (2003)

– Method– Approach– Scope (Scenarios)– Schedule

Management support (2004)– Importance– Commitment– Policy– Strategic goal and alignment

? Status (2005)– Scenario 1 Implementation Start– Scenario 2 Build Start

o None (2006)• Management support (2007)

– Business case/vision– Measures and assessment– Program status

REVIEW OUTLINE (2007)• Strategic goal and objectives

– Capabilities (Scenarios)– Governance/management system

• Risk management context– Sustaining

• Measures and assessment– Dashboard

• Business case– Vision– Opportunities– Scenarios

• Current status– Management support and foundational items– Issues, critical success factors, and risk areas– Next steps

• What we need from the Board– Understanding, acceptance, & support

• Comprehensive program review• Current mission and strategies update

– Ongoing relationship• Board owner• Crisis Management Team• Annual program reviews

• Approach


Strategic Goal and Objectives


Strategic Goal and Objectives“To create the capabilities to survive and functionin an environment where disasters are inevitable”

• Capabilities (Scenarios)– To plan for, respond to, and recover from a crisis

• Business Continuity (Scenario 1)• Community Disaster Response (Scenario 2)• Devastating Disaster Risk Mitigation (Scenario 3)

• Governance– Management system– Risk management– Time-sensitivity

• Sustaining system– Maintain and improve the program’s gains

• Plans (validations)• Capabilities (exercises and training)• Knowledge (impact analysis)

– Manage with measures and assessments– Transition Program Management to SHS– Make it systemic

These are the Board-level program deliverables


Business Continuity and Disaster Response Policy“A viable Business Continuity Plan be established and maintained”

• Premise– Protection of assets and business operations is critical to business survival– Business continuity capabilities enhance overall effectiveness and can have a

positive effect on prosperity• Objectives

– Safeguard human life– Assure animal welfare– Protect the organization’s assets– Manage risk– Provide for the continued availability of the organization’s products and

services.• Characteristics

– Preventative and reactive measures for response, resumption, recovery, and restoration

– Consistent with the organization’s strategic and tactical plans– Conforms to acceptable insurance, regulatory and ethical practices– Fully supports the philosophy of providing and maintaining quality and

mission-effective products and services

The Policy Statement and Strategic Goal & Objectives were approved during the 2004 Program Review


Strategic Goal & Objectives:

Capabilities (Scenarios)


Scenarios: Scope and Objectives

Scenario 1: SHS Business Continuity

A major disaster has hit the entire Eastgate SHS facilities rendering them

unoccupyable. Most of the internal equipment has been destroyed or

damaged. There are serious injuries to both humans and pets.

Objective: Business survival and plan baseline

Scenario 3: Devastating Disaster

A major regional disaster has impacted much of Seattle/King

County and the coalition is unable to rally an effective response.

A major disaster has occurred outside Seattle/King County region (Puget Sound, WA State, beyond).

Objectives: Outside integrated and mutual support plans

Scenario 2: Community Response


County. The Humane Society’s assets remain relatively unaffected.

However, HS staff, visitors, and volunteers have been impacted by the

disaster as have transportation, communications, and utilities.

Also includes response to limited neighborhood disasters.

Objectives: Coalition and demands on HS capabilities and assets


Scenarios build on each other’s foundation“Scenarios and deliverables are built on a solid and monitored foundation”

Value Creation

• RiskReduction

• LeveragedOpportunities

• MissionEffectiveness

• CompetitiveAdvantage

15 Years

• Mission

• First responder

• Overwhelmed

Healthy CoreCapabilities

Service Expansion

Risk Mitigation

Business continuity(Scenario 1)

Community response(Scenario 2)

Devastating disaster(Scenario 3)

“Survive and function in an environment where disasters are inevitable”


Learn:• Exercise• Maintain

Time

Management Objectives and Target Capabilities

Business Recovery

• Safeguard human life• Assure animal welfare• Protect assets• Stabilize environment• Assess damage

Crisis Response

Eve

nt

Response(EOC)

ResumptionRecovery

Restoration(ROC)

• Resume time-sensitive operations

• Recover other operations

• Restore/repair facilities and content

Prevent:• Mitigate risk• Protect asset

Plan:• Respond• Recover• Relationships

Improve:• Strategies• Prevention• Plans• Capabilities

Res

tore

d

Strategies

• Safeguard human life • Protect assets • Manage risk • Continue products/services

Business System Governance

• Assure animal welfare

Leverage Opportunities


Year 1

Foundation

Scenario Process Schedule

BIA

Year 5

Maintain/exercise

Year 4Year 3Year 2

General General

Plan Construction & Validation

Exercise & Maintenance Procedures

Implementation & Learning

Strategies

Scenario

Governance/Management

Sustaining

SustainingTransition


Purpose

Objectives

ScopePolicies

Management Support

MaintenanceTraining

Assumptions

Exercise

Implementation

Plans Teams Tasks

Quality Assurance

BIA Strategies Responsibilities

Scenario Building Blocks/Deliverables2 cycles per scenario

then move to sustaining

Strohl Systems

Context

Plan

Quality

Importance

Learning

• Board• CEO• Plan Mgmt Team• Crisis Mgmt Team• Plan Owners• Team Leaders• Team Leader Backups• Team Members• All others


Assumptions Objectives

Policies Scope Purpose


Plans Teams Tasks

Quality Assurance

Training Maintenance

Exercise

Experience

Management Support

Context

Plan

Quality

Importance

Learning

Assumptions Objectives

Policies Scope Purpose


Plans Teams Tasks

Quality Assurance

Training Maintenance

Exercise

Experience

Management Support

Context

Plan

Quality

Importance

Learning

Planning Model

•Configure•Organize•Analyze

Repository


PlanCall list/contact listsSuppliersAssetsFacilitiesTeams and tasksRecovery location overviewResources, vital records, equipmentAlternate site

DictionaryLocationsAssets/equipmentEmployees, customers, vendorsDocuments, vital recordsProcessesApplications, hardware, software

Repository

•Configure•Organize•Analyze

Living Disaster Response Planning System

• Author not executor• Capture knowledge

over time• Pre-plan to save

cycle time



Business Continuity(Scenario 1)





















Animal Receiving

Services Inventory

Pet Project• Grooming• Vet services• Pet food

Public Low-CostSpay/Neuter Clinic

Pet Food Bank

Public Boarding Kennel

Lifelong relationship

between people and their pets

Owner requestedEuthanasia and Cremations

Humane education workshops

Dog training

• In-house• Vet list• Spay Day for seniors

Lost and Found Services

• Owner release/abandon• Animal Control

contracted stray housing

Group tour offacilities or speakers

Humane education, classroom presentations,

or materials

Retail items

Volunteer programs

DRAFT

NOTIONAL

Loss counseling

Library

Youth outreach/Humane teen club

In-home adoption

Pets for Seniors

InternalFinanceFacilitiesFundraisingVolunteersPR/Mktg

Animal Adoption

Foster care

People and Pets Workshops

Vet externship

Food drives

Placement partners

Adoption partners

Visiting PetFriends


Internal Services – Group 2• Personnel• Volunteers• Communication systems• Information systems• Facilities• Business management

• Finance• Contracts• Permits & licenses

• General management• Business continuity management

• Governance• Crisis Management• Incident Response• Resumption, Restoration, Recovery• Initiatives

External Services• Animal information services

• Animal Information & Referral• Lost/found program

• Reception• Animal re-home

• Receiving• Pre-adoption• Shelter animal care• Adoption

• Temporary care• Spa/bathing• Public veterinary services• Public cremation services• Community Outreach

• Pet Project• Pet Food Bank• Pet Loss Support• Visiting Pet Friends• Memorials

• Education and Training• Animal licensing/tagging• Pet supply sales

Affinitized Services (Scenario 1)7/26/07 (Proposed)

Internal Services – Group 1• Public relations/marketing• Fund development

Animal

Outreach

Retail


Assumptions

Purpose

Objectives

ScopePolicies

Management Support

MaintenanceTraining

Exercise

Implementation

Plans Teams Tasks

Quality Assurance


Building Blocks/Deliverables

Strohl Systems

Context

Plan

Quality

Importance

Learning

• Board• CEO• Plan Mgmt Team• Crisis Mgmt Team• Plan Owners• Team Leaders• Team Leader Backups• Team Members• All others

2 cycles per scenarioand then move to sustaining

BC&DR Policy

Scenario

Strategic Goal& Objectives

Business CaseWorst case

100% certain


Year 1

Foundation

Scenario 1

Scenario 1 Master Schedule – Tier 0 (Notional)

BIA

Year 5

Maintain/exercise

• Risk assessment• Measurement system• Sustaining transition

Governance/Management

Sustaining

Year 4Year 3Year 2

Commitment• Lay the scenario foundation• Conduct BIA(s)• Build initial plans• Run one cycle of maintenance

20072006200520042003

Dryer fire Utilities failure PandemicGeneral General

Plan Construction & Validation

Exercise & Maintenance Procedures

Implementation & Learning

Strategies

• Program• Crisis

• Approach

SustainingTransition



Community Crisis Response

(Scenario 2)














1) A major regional disaster has impacted much of Seattle/King




2) Response to limited neighborhood disasters.

Objectives: Coalition and demands on SHS capabilities and assets


Scenario 2 Strategies

• Leverage image and fund development opportunities• Leverage mutual-support relationships

– Coalition of animal- and emergency response-agencies• Expand capabilities and assets

– Create service delivery model, including a “progression of services” plan– Provide animal vet services– Increase depth of skills– Provide community disaster response education

• Invoke Business Continuity (Scenario 1) for secondary impacts to HS facility

To develop the capabilities to respond to and recover froma disaster that occurs within Seattle/King County

Assumptions:• Local coalition can rally an effective response and provide coordination• The HS campus is not directly affected• An adaptive, modular model provides the most effective response and recovery


Scenario 2: Strategic Requirements

• Sheltering• Animal care

– Food/water

– Supplies

– Vet

– Vet tech

– Caregivers

• Communication• Skills• Logistics

Shelter

Pet Loss Support

Lost and Found

Transport


DRAFT

Subject Matter Expertise and Program Support

Veterinarians

Shelters

Suppliers

“Personnel”

Military (Search & Rescue, Engineers)

Red Cross

Government (OEM)

Animal Control

Humane Society

DRAFT

Italics: Engaged RED: Strategic

Memo of Understanding

Emergency Operations Tours (BEOC, KCECC)

First contact: management support



Devastating Disaster(Scenario 3)




















Scenario 3 is the mitigation when local capabilities are overwhelmed

Will operate best with mutual support agreements

Business case is focused on risk mitigation


Strategic Goal & Objective:

Governance/Management System


Risk ManagementRisk Management is the activity which integrates risk recognition, risk assessment, the development of

management strategies, and mitigation

Origination(source analysis)

Threat(problem analysis)

Vulnerability/Susceptibility(impact analysis)

• Transfer• Avoid• Reduce• Retain

ASSESSMENT

Trigger

Create

Events

Probability

RECOGNITION

Plan worst-caseValidate with specifics

Strategies

MITIGATION

ImpactsMitigations

STRATEGIES

100% certaintyBusiness survival (S1)

Dynamic

Response services(S2)Overwhelmed

(S3)

Capabilities forless impactful events

Crisis managementLearning organization

“Best managed with a healthy skepticism”

Plans &Capabilities

“Profound business knowledge”


Steering Team

Governance and Crisis Management Structure

ImplementationManagement

Facilitator(Program)

Facilitator(Methods)

Program Manager

Plans & Capabilities

ResponsePlan

RecoveryPlan

Recovery Ops Center

Emergency Ops Center

Incident Response

Human MedicalAnimal Care Evacuation & Asset Protection

Brenda

TomJim

Tom

KenGlynis

KenGlynis

DavidAnne

DavidAnne

AnneDavid

Building WardensBridgetteKim

BethanyAmber

Ken

DavidAnne

Sponsor/Owner

David/Jason

EventManagement

Brenda

Damage Assessment

Program Management

ServiceRecovery

Anne Bethany BrendaBridgette David FranHeather Kate Kim Sharon

Glynis

Glynis

CrisisMgmt Team

Chuck HerbSandy Lee

LDRPS Administrator

BCP AnalystPlans/Methods

Anne

Suanne

Lee

CrisisMgmt Team

Chuck HerbSandy Lee

Event Management

Business ContinuityManagement Team


Strategic Goal & Objective:

Sustaining and Transition


Cultural requirement

• Learning organization


Sustaining Transition

• Industry liaison, research, vision

• Independent validation

• Program management

– Master schedule

– Deliverables

– Capabilities

– Measures

• Tool use and system management– Tool capabilities, additional

content

• Tool content– Updates, publishing, techniques,

validation, reports

Crisis plan for BCP

Volunteers/career path

Boeing/Strohl relationship

Sustaining• Training/orientation• Specific scenario validation• BIAs

• General• Fire• Utilities failure• Pandemic• Scenario 2• Unscheduled


BCP Program

Feeds

BCP Program

Business System

BCP Business System

Sustaining Transition

Plan Authors

Business System Analyst

Enterprise System Architect

OthersBCP Program Mgr

BCP Validator

Plan/Service Owners

Business System Mgr

LDRPS Product Mgr

SystemsAdministrator

BCP Analyst

PlansDictionaries

BC/DRP Program Mgr Strohl

RFP

• Integrity/backup• Data entry/imports• Reports and queries

Business System Architect

LDRPS: Living Disaster Response Planning System

BCP SME

• Validated capabilities

• Methods and tools• Plan repository

SHS

Support

LDRPS

AnneSuanne

Jim

Tom

Norm

Ken


Business Case


Business Case

• Overall

– Why and why world class?

• Scenarios– Business Continuity

– Community Crisis Response

– Devastating Disaster

• Vision– At the table in KCECC

– $ and reputation


Total labor < 0.6% of total available labor hoursTotal cost < 0.5% of the annual business plan

Total cash < 0.5% of net assets

Scenario 1 Business Case (Cost1)

Area

Average Annual

Hours per (Person)

Average Annual Hours Total

Hourly labor rate2

Average Annual

$Source

Professional support 448(2) 895 $56 $50,120 Donation

LDRPS Administrator 170(1) 170 $21 $4,298 Business Plan

BCP Analyst 50(1) 50 $28 $1,400 Business Plan

Management team 28(4) 110 $28 $3.080 Business Plan

General population 5(60) 285 $14 $3,990 Business Plan

LDRPS and support NA NA NA $4,800 Donation

Supplies, equipment NA NA NA $3,000 Business Plan

Training NA NA NA $2,000 Business Plan

1. Costs and efficiency are averaged over a 5-year period, the time assumed to be needed to fully implement a scenario.2. SHS hourly rates are estimates. The lowest unburdened labor rate for professional support is $80,000/year. All labor rates are 40% burdened.

Summary: SHS will receive $55,000 donation in annual tool and professional support and will invest $15,000 annually, 80% of which is labor. All business plan impacts

are covered by new donations specifically in response to the BC&DR program.


Scenario 1 Business Case (Benefits)

• Create Value– Risk reduction

– Leveraged opportunities• Image

• Financial

– Mission effectiveness (e.g. windstorm)

– Competitive advantage

• Business knowledge


Other Factors

• Professional support skills availability and sustainability– CERT, latest call for volunteers

• Recovery plan for BC&DR itself


Measures and Assessment


Program and Capabilities Status

Maturity ScheduleMaturity

Schedule Deliverables RiskMaturityCapabilities

Competitive advantage Mission effectivenessLearning system

Deliverables

Scenarios

Capabilities Competitive AdvantageRisk

Scenario 1: Business Continuity


Current status


Current status

• Management support and foundational items• Issues, critical success factors, risk areas• Look ahead


RISK

CAPABILITIES

BCP Risk and CapabilitiesPlan Prevent PrevailProtectPractice

Training

Plan updates

Threats StrategiesAnalysisRecognition

Profound business

knowledge

Assumption

Contribution

Outcome

Initiative

Orientation

Annual refresher

Exercises & Events

Training plan

Special Skills

Plan and procedures

Learning system

Plans Initial baseline

Resources

Skills

Validation

Equipment and supplies

Mitigations

Mitigation

Exercise and Maintenance plan

Measurement plan

New volunteer

New employee

New BC volunteer

All staff

Annual practice

Walk-throughs

Unscheduled

Generators

Communications

Plan worst case; validate with

specifics

Scenarios

Completed

CPR/1st Aid


What we need from the Board?


What we need from the Board

• Understanding– Comprehensive program review– Update current SHS mission, goals, and strategies

• Acceptance– Vision, goals, and business case

• Management support• Ongoing relationship

– Board owner/sponsor– Crisis Management Team– Annual reviews

Management Support


Management Commitment

Understanding

Acceptance

Support


Management Support and Commitment

• Levels– Validate at line (supervisor, project), director, CEO and Board

• Alignment– Policy

– Cost/Benefits

– Objectives

– Schedule

• Involvement– Visible support

– Actively managing your plans (e.g. validated in last 12 months)

• Commitment– Expectation (e.g. PMP)

– Resources (e.g. funding, staff, facilities)


Approach


Capabilities

Plans So how do you do it?

• Get clear on the vision and objectives• Long haul, continuous effort, learning based• Plan worst case, validate with specifics• Assume 100% probability• Use scenarios as guides• Measure capabilities and outcomes• Subject matter expert support• Assume the people who will execute the tasks

didn’t write the tasks• Double the rate of failure


The Vision

• World class business continuity planning• A coalition of animal- and disaster-related

agencies• SHS takes the lead role and therefore directs the

activities and gets the majority of the benefit• “At the table” in the KCECC• New identity via new capabilities


Vision, Opportunity, Objectives

• Risks are considerable and unnecessary

– But we need to understand the business from the point of view of the Board for profound knowledge.

• Opportunities that emerge are real and immediate (they will quickly go away)

• The ability to deal with the situation is marginal at best

• Create a sustainable management system

• Removing the barrier to entry

• Taking the delays out of crisis response and recovery

– Person that executes the plan is not the person who wrote the plan

Sustaining• Training/orientation• Specific scenario validation

Business Impact Analysis

Scheduled Unscheduled

General √ √

Fire √ √

Utilities √ √

Pandemic Initial

Scenario 2 Initial


Our role

• Decide on approach, methods, and tools• Select the relevant elements of the industry discipline and adapt to the

SHS size, culture, business model, goals, and mission• Align to business vision, mission, goals, and objectives• Contribute to mission effectiveness, competitive advantage, • Assure sustainability• Coincidental

– Profound business knowledge (e.g. models, lists)– Relationships

• Eliminate the barriers to entry

Risk management, like an organization’s financials, reveals information about the enterprise

Learning organization

We’re learning too


12 Month Look Ahead - Tier 1

2007

UpdateJan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Exercises

Pandemic BIAMaintenance

Recovery ROC

Crisis Management

Scheduled BIA

Measures

EOC Learnings

Tuxes ‘n Tails

EOC

Budget

• Incident Response• Locations• Employees• Documents

EmployeesEmployeesEmployees Employees

LDRPS Migration Services architecture Migration and update

• Communications• Volunteers

• EOC

CapabilitiesScenario 2Scenario 1 Foundation

• Red Cross


Virtual Corp

Strategic Relationships% Chart is notional

VeterinariansSuppliers

“Personnel”

Red Cross

Animal Control

Humane Society

Boeing

Organizations aware of the need

10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Organizations with a viable program

Government Media

Market

Emergency Operations(BEOC, KCECC)

First responders(People)

EMS

Out-of-area responders

???AKC

PasadoHSUS

OfficeEmer. Mgmt.

Strohl

BCP Peers

Strohl Regional User Group

Search & Rescue,Engineers

KOMOMOU

KC DisasterManual

LDRPSNotiFind?


Vision

• Where on the maturity model?• Competitive advantage back in the vernacular.• Obliterate the culture (when it comes to BC&DR)

that says you’re just a “simple non-profit”.• You’re a $3M business with a $1M in assets• Strohl, Boeing, Red Cross• We’re eliminating the barriers to entry. Don’t

assume anything about sustaining.

To develop the capabilities to plan for, respond to, and recover from a disaster that occurs outside the Humane Society and within Seattle/King County


Status

• Business case (risk and competitive advantage)• Measures• Capabilities assessment• Program summary• #1 challenge is to get past the cultural attitude that you can’t do it or

it’s not important.• It’s complicated because of the terminology in the industry. However,

there’s a good reason why business may not want too much standardization (competitive advantage)

• Create the crisis management team and the overall owner• Take program management responsibility for Scenario 2(?)



Risk

• What happens if an employee or volunteer is killed and you’re viewed as negligent?

• $3M business with $1M in assets• 77% of the employees here on 11/6/03 are gone• This is due diligence• HSUS, Pasado



Resumes

• Jim (ISTJ-Inspector)– SHS (5 years): customer, volunteer– Jaybren– National President, AKC Irish Water Spaniel Club– Regional President, AKC Vizsla Club (Spouse)– Boeing (30 years)st

• CRC, Satellite Phone service management, LDRPS Administrator, Strohl vendor interface

• Tom (INTP-Architect)– SHS (5 years): customer, volunteer, donor

• Sharon: volunteer (15 years), employee (5 years)

– Carpenter & Associates– County Government

• FCUAC, KCD, Flooding, Transportation

– Boeing, retired (27 years)• Organizational and program management (information, architecture, quality)


Estate ServicesProposal to provide estate-

related services that increase estate donations

Subject matter

Programmanagement



Backup


Dictionary Items

General Recovery

Table of Contents

Home Page

Activation

Navigator

Call Lists Call Lists

Component Recovery

People

Resources

Logistics

Core Components

Customer Reps

LDRPS Plan Data Model

Software

Applications

Attributes

Subtasks

Processes

Hardware

Equipment

Vital Records

Workstations*

Vendor Orgs

Customer Orgs

Plans

Vendor Reps

Team Positions

Call Lists Publish

Objectives

Strategies

Maintenance

Testing

Document Category

*Resourced

Dependencies

Plan-Specific Dictionary Details

Response PlansIncident Command

Evacuation/Asset Protection(x3)Animal Care

Human Medical TriageEOC

Response AppendicesEvacuation

Critical AssetsFacilities Vendors

Kits Contents

Employees

Locations*

Teams

Tasks

Assets

Telecom*

Documents

Reports/Exports

• Checklists• Procedures


1. ENTERPRISE MANAGEMENT/General Business Continuity & Crisis Management

2. Crisis Management

3. Crisis Communication

4. KNOWLEDGE MANAGEMENTEnvironmental Monitoring, Sensing and Detection

Organizational Learning

5. RISK MANAGEMENTRisk-Based Decision Making

Risk AssessmentBusiness Area Analysis

Business Impact AnalysisRisk Communication

6. Planning

7. Program Implementation

8. System Monitoring

9. Awareness/Training/Exercising

10. Incident Management

11. Incident Response

12. BUSINESS CONTINUITYBusiness Recovery

Business Resumption

13. Restoration and Transition

Before

Time

Business Crisis and Continuity Management Framework

Crisis Event After


Crisis Management Team

EOC CommandAnne

OperationsSandy

PlanningTBD

InformationHerb

Finance/AdminLee

ContinuityChuck

Crisis ManagementChuck

ROC CommandKen

Incident ResponseDavid

EMS

LocalEOC

LogisticsTBD

LiaisonBrenda

RegionalEOC

• Minimize liabilities• Resume business functions

• Ensure compliance• Maintain good relations

• Satisfy programs

• Avoid injuries• Control/terminate incidents

• Prevent escalation• Minimize damage

• Protect assets

Red Cross

Veterinary

Animal Sheltering

Animal Supplies

Treasury: Program Ownership