Policy 23 - Business Continuity Plan

Policy 23 – Business Continuity Plan

Excellence in Learning, Development and Training

CONTENTS Page 3

Policy Statement

Page 3

Introduction

Page 3

Manual Distribution

Page 3

Business Continuity Plan – Forms

Page 4

Form 1 – LD Training Plan Control (i) Emergency Response Team

Page 6

Form 2 – Key Services that must be Maintained

Page 7

Form 3 – Key Contacts

Page 10

Form 4 – Register of Staff

Page 11

Form 5 – Essential Staff and Equipment

Page 13

Form 6 – Essential IT Information

Page 14

Form 7 – Temporary Accommodation

POLICY 23 – BUSINESS CONTINUITY PLAN 1

Page 15

Form 8 – Paper Based Records

Page 16

Form 9 – A-Z of External Contacts (Contractors ETC)

Page 17

Form 10 – Inventory

Page 18

Business Continuity Planning – Forms Guidelines

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POLICY STATEMENT It is LD Training’s Business Continuity Plan Policy to maintain a comprehensive Business Continuity Plan for all critical organisation functions. All members of staff are responsible for ensuring compliance with this policy and that their respective duties in relation to the plan are reviewed no less than annually.

This plan has been devised to ensure as far as possible that foreseeable reasonable measures are exercised to protect employees, learners, partners, wider clients and safeguard assets.

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INTRODUCTION Responsible Person: Linda Johnson, Director

This plan is to be kept in a safe place by members of the recovery team where it can be accessed in an emergency This document is the Business Continuity Plan for LD Training Services Ltd located at Middlesex House, 29-45 High Street,3rd Floor, Edgware HA8 7UU. This plan was specifically designed to guide LD Training through a recovery effort of specifically identified organisation functions. At the onset of an emergency condition, LD Training employees and resources will respond quickly to any condition, which could impact LD Training’s ability to perform its critical organisation functions. The procedures contained within have been designed to provide clear, concise and essential directions to recover from varying degrees of organisation interruptions and disasters.

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MANUAL DISTRIBUTION Each plan recipient will receive and maintain two copies of the disaster recovery manual; one copy will be kept in the plan recipient’s work area; the second copy will be kept at the plan recipient’s residence.

Backup copies of all recovery documentation are maintained at LD Training’s service provider, Nvirotec Support, 69 Halleys Way, Houghton Regis, Bedfordshire, LU5 5HZ.

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BUSINESS CONTINUITY PLAN - FORMS The following set of forms develop a basic Business Continuity Plan for LD Training. Immediately after the forms there are form guidelines which explain how the forms have been completed.

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POLICY 23 – BUSINESS CONTINUITY PLAN 3

FORM 1 – LD TRAINING PLAN CONTROL Plan Owner : (Name, Job Title, Location)

Plan Scope : (Establishment/ covered)

Issue Date : (Date last issued)

Location : (Places of where the plans are located and names of those who have them. Include location of electronic copies)

Linda Johnson, Director

LD Training Services Ltd located at Middlesex House, 29-45 High Street,3rd Floor, Edgware HA8 7UU

LD Training Services Ltd

located at Middlesex House, 29-45 High Street,3rd Floor, Edgware HA8 7UU

21 August 2012

Reviewed: 5th August 2015.

1. Linda Johnson, Dale Johnson, Chris Kasabi,

LD Training Services Ltd located at Middlesex House, 29-45 High Street,3rd Floor, Edgware HA8 7UU

2. Linda Johnson

The Paddock, 2A Marford Rd, Wheathampstead, St Alban’s, Hertfordshire AL4 8AS

3. Chris Kasabi

7 Manor Court, Enfield, |Middlesex EN1 4SJ

4. Dale Johnson

The Paddock, 2A Marford Rd, Wheathampstead, St Alban’s, Hertfordshire AL4 8AS

5. ELectronic Copies

LD Training’s service provider 69 Halleys Way Houghton Regis Bedfordshire LU5 5HZ Tel: 07939 344411

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Emergency Response Team Key people who will be required to aid in managing the crisis and any subsequent recovery actions. (Full contact details also on Form 3.)

Role Crisis management, emergency response, business restoration and site recovery

IT emergency response

Emergency response, business restoration and site recovery

Assessor/Programme Co-ordination

On site training coordination

Name

Home Tel

Mobile

Linda Johnson

01582768937

07766002396

Dale Johnson

01582768937

07766002396

Chris Kasabi

07958569632

Sara Green

0208 953 6010

Sara Green

07813091727

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FORM 2 – KEY SERVICES THAT MUST BE MAINTAINED Essential functions that LD Training must perform and if possible include the Statutory Duty that applies to the function.

State in the first column if the function is critical at a particular period.

The third column is to indicate how many staff would be required in the first week following an emergency to provide that function at a minimum level of service.

Essential Functions State any critical times of the year Example: Attendance Records Learner funding forms

Learner portfolios

LD Training learner database

Financial records – manual and electronic

Training material - electronic

Training room for classroom learning

Non attendance by assessor for workshops Partnership contracts

Statutory / Contractual Duties Include timeframes Example: Records must be provided to HCC. Originals at LD Training head office, copies sent to funding partner but may not have reached that stage in process.

All forms are required by SFA contractual obligations Portfolios are the property of learners but have to be submitted to office for internal LD Training verification and external verification by the Awarding Body. At any one time there is always at least 30 portfolios in the office All portfolios are required to evidence qualifications by the Awarding Body LD Training learner database contains details of all learners and the funding stream and partners to which they have been allocated These details are required to track learners and reconcile partner contract payments All LD Training invoices, remittance advices, book keeping records, partner and supplier accounts – required for financial accounts and audits All material to be saved on server. Assessor co-ordinator will determine if staff require materials and obtain them from the server back up.

Classroom sessions are booked in advance.

Training co-ordinator will arrange alternative accommodation or contact all attendees to cancel if necessary.

Work to be arranged for attendees and/or assessor cover to be arranged All signed copies maintained as hard copies in the office. Copies of signed originals can be obtained from partners if necessary

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No. of Essential Staff Needed FIRST WEEK Example: 1 4 – LJ, SD, KT,AD,SG

4 – LJ, AO, SG, SD,KT

4 – LJ, DJ, SD, KT

2 – LJ, CK, DJ

2 – SG; DJ

2 – SG; KT

3 – SG; AD 1 – LJ; CK

FORM 3 – KEY CONTACTS One form to be completed for each Key contact e.g. Emergency Response Team member. The form should be completed electronically with one copy printed, signed for Audit purposes and filed.

Name of Contact: Title / Position:

Linda Johnson Director

When to Contact:

Actions to be taken when contacted:

24/7 all year concerning damage to premises, failure of IT, accidents or any other dangerous episode

Leave message if does not answer directly.

Also, text message

Contact's address (home):

Contact's telephone numbers:

The Paddock,

Home: 01582768937

2A Marford Rd,

Mobile: 07766002396

Wheathampstead,

Other: linda@ldtraining.org.uk

St Alban’s,

Then notify other members of emergency response team

Hertfordshire AL4 8AS Private email address (optional): lindajjohnson@btinternet.com

Signed: …………………………………………………… Date updated / confirmed: 6th August 2015

POLICY 23 – BUSINESS CONTINUITY PLAN 7

FORM 3 – KEY CONTACTS One form to be completed for each Key contact e.g. Emergency Response Team member. The form should be completed electronically with one copy printed, signed for Audit purposes and filed.

Name of Contact: Chris Kasabi Title/Position: Finance Officer When to Contact:

Actions to be taken when contacted:

24/7 all year concerning damage to premises, failure of IT, accidents or any other dangerous episode

Leave message if does not answer directly.

Also, text message

Contact's address (home):

Contact's telephone numbers:

7 Manor Court,

Home: Mobile: 07958569632

Enfield,

Other: Chris@ldtraining.org.uk

Middlesex EN1 4SJ

Then notify other members of emergency response team

Private email address (optional): Chris_kasabi@hotmail.co.uk

Signed: …………………………………………………… Date updated / confirmed: 6th August 2015

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FORM 3 – KEY CONTACTS One form to be completed for each Key contact e.g. Emergency Response Team member. The form should be completed electronically with one copy printed, signed for Audit purposes and filed.

Name of Contact: Dale Johnson Title/Position: IT and Database Manager When to Contact:

Actions to be taken when contacted:

24/7 all year concerning damage to premises, failure of IT, accidents or any other dangerous episode

Leave message if does not answer directly.

Also, text message

Contact's address (home):

Contact's telephone numbers:

The Paddock,

Home: 01582768937

2A Marford Rd,

Mobile: 07970327136

Wheathampstead,

Other: dale@ldtraining.org.uk

St Alban’s,

Then notify other members of emergency response team

Hertfordshire AL4 8AS Private email address (optional): dale@7920@gmail.com

Signed: …………………………………………………… Date updated / confirmed: 6th August 2015

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FORM 4 – REGISTER OF STAFF [CONFIDENTIAL] Add additional rows as required to ensure all staff working at the location are identified.

Job Title Information Coordinator

Name Sasha Devine

Home Address

Information Assistant

Kirsty Towell

Ashley Dennis Sara Green

Allison Overington Olu Lyndsey Alice

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Telephone Home: Mobile: Other: Home: Mobile: Other: Home: Mobile: Other: Home: Mobile: Other:

Email

FORM 5 – ESSENTIAL STAFF AND EQUIPMENT The minimum that LD Training will require to run essential services assuming an incident prevents access to the normal place of work. LT is an abbreviation of “Long term” is the total required should access be denied for over 2 weeks.

Requirement Number of staff: Administration

Teachers

Other emergency team Number of class rooms: Basic

Specialist (please state) Number of desks and chairs: Office desks

Class room desks

Office chairs

Class room chairs

Specialist desks and chairs (please state) Telephone requirements (number of units): Normal office phones

Mobile phones Equipment: Photocopier

Classroom whiteboards Public access requirements Wheelchair access requirements Hardware and networking requirements:

Period

st 1 Wk LT st 1 Wk LT st 1 Wk LT

1st Wk LT 1st Wk LT

st 1 Wk LT 1st Wk LT 1st Wk LT 1st Wk LT 1st Wk LT

1st Wk LT 1st Wk LT

st 1 Wk LT st 1 Wk LT 1st Wk LT 1st Wk LT

1st Wk LT 1st Wk LT 1st Wk LT

Classroom and Office Area

3 3 1 3 3 5

1 3 1 1

3 8 10 20 3 10 10 20

1 3 4 10

0 2 0 1 1 1 1 1

3 10 3 10 0 0

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Special provisions: Confidential interview area Floor loading for a safe

Secure area

Additional power laptop batteries Goods in / out provision

Other

Office accommodation (sq metres) Class room accommodation (sp metres) Storage space (sq metres) Printing requirements - photocopying Other essential equipment

1st Wk LT 1st Wk LT 1st Wk LT 1st Wk LT 1st Wk LT 1st Wk LT 1st Wk LT 1st Wk LT 1st Wk LT 1st Wk LT 1st Wk LT

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1 1 0 1 1 1 3 10 1 2

30 sq m 100 sq m 40 sq m 40 sq m 0 20 sq m 0 1 0 0

FORM 6 – ESSENTIAL IT INFORMATION This form lists the minimum systems or applications that LD Training will require to run the essential services assuming an incident prevents access normal PCs and Servers and those that would have to be reconstructed. Entries may include Email, Internet, systems, applications, spreadsheets, databases etc. “Required By” is to identify the maximum length of time before the system is required. “Backups” is the person/group who takes regular backups of the data. “Availability Agreed With” identifies who has agreed the requirement and arranged the recovery agency

Under Functions list those essential functions on the Key Services Form 3 that are dependent on the availability of the system/application

Essential Systems / Application

Required by (Hours / Days)

Learner database

Within 6 hours of system going down

Electronic financial records

Training material

Min. Number of Users Requiring Access

Who Takes Back-ups

Functions(s)

Availability Agreed With

2

The Amazing Support Company

Computer network – Access, SQL, Word

Director/IT technician

Within 6 hours of system going down

2

The Amazing Support Company

Computer network Excel, Sage, Word

Director/Finance officer/IT technician

Within 6 hours of system going down

All assessors by accessing server remotely

The Amazing Support Company

Computer network

Director/Training Co-ordinator/IT technician

Back up details Network backup Where are back ups held?

The Amazing Support Company – back up taken twice a day

No of laptops stored offsite overnight? 3

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FORM 7 – TEMPORARY ACCOMMODATION This form lists the location where the office and classroom would be temporally located to provide their essential services if an incident prevents access to the normal place of work. Use the Option 1 for the preferred location and optionally, Option 2 to identify other possible locations. If the temporary locations can only be used for 2 weeks or less then state “Short Term”

Current Location

Temporary Location Please Give Details

Classroom

LD Training Services Ltd located at 1st Floor, Berkeley House, 18-24 High St, Edgware, Middlesex, HA8 7RP

Option 1: Relocation within the building subject to availability with landlord Option 2: Hire of alternative classrooms in local vicinity

Office

LD Training Services Ltd located at 1st Floor, Berkeley House, 18-24 High St, Edgware, Middlesex, HA8 7RP

Place

Training in the field

Various employer venues.

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Option 1: Relocation within the building subject to availability with landlord Option 2: Hire of local alternative office space. In addition, certain staff will be able to work remotely depending on the circumstances

Option 1: If staff are advised in advance on disasters or cancellations, they have a set procedure to contact learners and reschedule training Option 2: If the problem is likely to be prolonged, staff must contact the Director to arrive at a solution with the learners, employers etc as appropriate

FORM 8 – PAPER BASED RECORDS Please record here any vital paper based records which are not on the computer network. Vital documents = those which if lost would prevent or severely impair the school’s/department's ability to deliver a service, expose it to greater risk of litigation or achieve essential business objectives. These documents are likely to be those where it is not possible to replace in whole or part the information contained in them.

Document Type

Location

Duplicated?

All are copied and sent to the relevant funding partner.

Funding forms Originals of some forms Copies held in head office at – originals are held at the office Edgware in lockable metal with while others remain cabinet in locked office signatures with the learner/assessor

Portfolios are the property of the Portfolios contain the learners and are kept by the learners’ original work learner. and are not copied but Assessors have independent assessors maintain a records of learners’ progress in record of the learners Learner the event of loss. progress and the portfolios Portfolios are submitted to the signing off of office for internal verification completed criteria both and external Awarding Body paper based and sampling verification electronic There are at least 30 portfolios in the office at any one time

All financial documents are Copies are saved on the Financial maintained as hard copies in the server records – hard office in metal cabinets They are copies also stored on the server

Copies are maintained

by Finance Officer.

Original partnership contracts Partnership Partners also have are maintained as hard copies contracts original copies and stored in metal cabinets

LD Training company accounts

Server, LD Training offices and LD Training company accounts

On server and at LD Training accountants

Where are Duplicates Held?

Duplicates are held in the office and by the funding partners

Records of progress are maintained by assessors and the internal verifier keeps a records of signing off of completed criteria both paper based and electronic

Server

LD Training Finance Officer in the office and by the partners in their offices On server maintained by independent IT support company and electronic and hard copies at LD Training accountants

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FORM 9 – A – Z OF EXTERNAL CONTACTS (CONTRACTORS ETC.) Contacts that are required to deliver the essential services

A list of suppliers is attached to this plan which contains the following information

Purpose e.g. Supplier of Stationery, Portacabin etc.

Organisation

Name of Usual Contact

Tel No (Office Hours)

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Out of Office Hours

Other Info

FORM 10 - INVENTORY A full inventory of the office is included here for ready access when assessing the amount of loss from the incident.

Room

Director’s IT Assessors’ Finance Data Admin Class Reception Kitchen Total Office Office Office Office Office Office Room

Desks/Tables 1 3 3 4 2 2 3 3

Chairs 4 3 4 4 2 2 3 21

Server

1

Computers 1 1

1 1 1 5 1

Laptops 1 1 1

1

Scanner

1

Printer

1

Photocopier

1

1

Franking machine

1

Docking Station

1

Cabinets 2 3 1 2

2 6

Book cases 1

1

1 1

Shelves

1

1

1 Fans

1 1

1

Electric Heater

1 1

Book binder

1

Shredders

1

Telephones 1

3

1

Notice / White 1 1 1

1 3 2

Boards Window Blinds 1 1 2 1 1 2 2 3

Safe 1

Kettles

1 Bin

1 Toaster

1 Fridge

1

1 Laminator

1

Water Coolers

1

White Board

1

Projector Air cooler

1

Items Over £500 (Any item, excluding leased equipment, with a cost of £500 and over itemised for insurance purposes.

Owner and Termination date should be left blank for non leased items.)

Model Serial Purchase Purchase Number Number Price Date

Description

Make

Photocopier

Olivette

£5,500

Photocopier

Konica Minolta

£3.500

2010

Owner (Leased Items Only) ProPrint Solutions Ltd LD Training

21 43 1 11 4 1 1 2 1 1 16 4 3 3 2 1 1 5 9 13 1 1 1 1 1 1 1 1 1

Termination Date (Leased Items Room Only) Annually Reception renewable

Admin

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BUSINESS CONTINUITY PLANNING – FORMS GUIDELINES The aim of this document is to provide guidelines to help complete the previous forms. These forms develop a basic Business Continuity Plan (BCP) for LD Training.

Form 1 – Plan Control Purpose Quantity:

To record details of the actual plan

1 form required – mandatory

The name of the person who is responsible for ensuring the BCP is maintained. List that person’s job title and the location where they are based Issue Date The date this version of the BCP was issued/updated This is a useful reminder of where copies are held and will need to be Location maintained.

The key people that would form a team to aid in managing the crisis Emergency Response Team and recovery actions. The people listed also have their full contact details on Form 3 Form 2 – Key Services that must be Maintained Plan Owner

To list the key services that must be maintained and the number of staff to provide each service

Purpose Quantity:

Essential Functions Statutory Duties No of Essential Staff Needed FIRST WEEK

1 form required – mandatory The name of the service and if it is critical at a particular time of the year then state when.

If the service has to comply with a statutory or contractual duty then state the name of the duty and the time requirement.

Assuming the appropriate staff was available, state how many staff would be needed at any stage in the first week to provide the service.

This would help in the calculation of the number of facilities to provide to the staff.

Form 3 – Key Contacts To provide contact details and the initial actions of the key staff who may be involved in recovery work. A signed copy should be obtained to confirm the person is happy with the details.

Purpose Quantity:

When to Contact Actions to be taken when contacted Contact's address (home) Private email address (optional)

1 form required for each key contact – mandatory Outline what needs to have happened to trigger the requirement to contact this person. E.g Any issue which may impact the premises E.g. Contact to attend base for emergency response team meeting Will be useful to know if person has to work from home.

Another method of contact if LD Training email becomes unavailable.

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Form 4 – Register of LD Training Staff To list all staff and will be used if and when individual staff need to be Purpose contacted.

1 form required – mandatory. Additional rows should be inserted if Quantity:

necessary

Form 5 – Essential Personnel and Equipment To summarise the minimum that LD Training will require to run the essential services assuming an incident prevents access to the normal place of work. LT is an abbreviation of “Long term” is the total required should access be denied for over 2 weeks.

Purpose

Quantity:

1 form required – mandatory. Additional rows should be inserted if required to itemise other equipment.

Total required at any stage during the first week following the incident Longer Term Total required should the access be denied for over 2 weeks Equipment not specifically listed on the template can be added as a Other new row or against this heading.

Form 6 – Essential IT Information To list the minimum systems or applications that your establishment/team will require to run the essential services Purpose assuming an incident prevents access your normal PC and Servers and these would have to be reconstructed.

1st Week

Quantity:

Essential Systems/Application Required by (Hours/Days) Min. Number Of Users Requiring Access.

Who Takes Backups

1 form required – mandatory. Additional rows should be inserted if necessary These are the essential requirements to provide the key services.

Entries may include Email, Internet, systems, applications, spreadsheets, databases etc Identifies the maximum length of time before the system is required.

E.g. within 3 days

How many users need to use that system/application to provide all the essential functions identified on Form 2 Person/group who takes regular backups of the data.

Essential functions on the Key Services Form 2 that are dependent on Function(S) the availability of the system/application Form 7 – Temporary Accommodation To list the location where LD Training would be temporally located to Purpose provide their essential services if an incident prevents access to the normal place of work.

Quantity:

Class/Department Current Location Temporary Location

1 form required – mandatory. Additional rows should be inserted if necessary If the Class/Department is likely to be separated to be accommodated in a number of areas then add an entry for each section. If not then enter “All”

Location/premises currently occupied Use the Option 1 for the preferred location and optionally, Option 2 (or more) to identify other possible locations. If the temporary locations can only be used for 2 weeks or less then state “Short Term”

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Form 8 – Paper Based Records To record any vital paper based records which are not on the computer network. Vital documents are those which if lost would prevent or severely impair LD Training’s ability to deliver a service, expose it to greater risk of litigation or achieve essential business objectives. These documents are likely to be those where it is not possible to replace in whole or part the information contained in them.

Purpose

Quantity:

Document Type

1 form required – mandatory but state “None” if there are no paper based records. Additional rows should be inserted if necessary

Location

E.g. Metal cabinets in secure store room

Duplicated?

Yes or No

Where Are Duplicates Held?

E.g. Metal cabinets in secure store room

E.g. LE.g Learner funding documents

Form 9 – A – Z of External Contacts (Contractors etc.)

Purpose Quantity:

To list the contacts that are required to deliver the essential services

1 form required – mandatory but state “None” if no essential external contacts. Additional rows should be inserted if necessary

The details required are as implied by the heading on each column.

It is suggested they are grouped alphabetically for future easy access.

Form 10 - Inventory A full inventory of the office should be included here for ready access Purpose when assessing the amount of loss from the incident.

Quantity:

Room

1 form required – mandatory. Additional rows and columns should be inserted if necessary Create a column for each room/ area covered. If there are multiple rooms add a “Total” column to show the total inventory/assets for the Establishment/Team.

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