HSS/KC Business Continuity & Disaster Response Annual Program Review

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

2. 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 None (2006) Management support (2007) Business case/vision Measures and assessment Program status Board of Director Program Review 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

3. Strategic Goal and Objectives

4. 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

5. 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

6. Strategic Goal & Objectives: Capabilities (Scenarios)

7. 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 2: Community Response A major regional disaster has impacted much of Seattle/King 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 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

8. Scenarios build on each other’s foundation“Scenarios and deliverables are built on a solid and monitored foundation” “Survive and function in an environment where disasters are inevitable” Risk Mitigation • Value Creation • RiskReduction • LeveragedOpportunities • MissionEffectiveness • CompetitiveAdvantage Service Expansion • Overwhelmed Healthy Core Capabilities • First responder • Mission Business continuity(Scenario 1) Community response(Scenario 2) Devastating disaster(Scenario 3) 15 Years

9. Response (EOC) Strategies Time Management Objectives and Target Capabilities • Safeguard human life • Assure animal welfare • Protect assets • Manage risk • Continue products/services Crisis Response Business Recovery Leverage Opportunities • Learn: • Exercise • Maintain • Prevent: • Mitigate risk • Protect asset Resumption Recovery Restoration (ROC) • Improve: • Strategies • Prevention • Plans • Capabilities • Plan: • Respond • Recover • Relationships • Safeguard human life • Assure animal welfare • Protect assets • Stabilize environment • Assess damage • Resume time-sensitive operations • Recover other operations • Restore/repair facilities and content Event Restored Business System Governance

10. Scenario Process Schedule Year 1 Year 2 Year 3 Year 4 Year 5 Foundation General General BIA Strategies Plan Construction & Validation Exercise & Maintenance Procedures Scenario Sustaining Transition Implementation & Learning Maintain/exercise Sustaining Governance/Management

11. Scenario Building Blocks/Deliverables2 cycles per scenariothen move to sustaining • Board • CEO • Plan Mgmt Team • Crisis Mgmt Team • Plan Owners • Team Leaders • Team Leader Backups • Team Members • All others Exercise Learning Implementation Training Maintenance Quality Quality Assurance Plans Teams Tasks Plan BIA Strategies Responsibilities Policies Scope Purpose Context Assumptions Objectives Importance Management Support Strohl Systems

12. Configure • Organize • Analyze Repository Planning Model

13. Repository • Configure • Organize • Analyze • Author not executor • Capture knowledge over time • Pre-plan to save cycle time Living Disaster Response Planning System Plan Call list/contact lists Suppliers Assets Facilities Teams and tasks Recovery location overview Resources, vital records, equipment Alternate site Dictionary Locations Assets/equipment Employees, customers, vendors Documents, vital records Processes Applications, hardware, software

14. Strategic Goal & Objectives: Business Continuity(Scenario 1)

15. 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 2: Community Response A major regional disaster has impacted much of Seattle/King 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 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

16. Internal Finance Facilities Fundraising Volunteers PR/Mktg Services Inventory DRAFT Public Low-Cost Spay/Neuter Clinic Animal Receiving • Owner release/abandon • Animal Controlcontracted stray housing Public Boarding Kennel • In-house • Vet list • Spay Day for seniors Foster care Group tour of facilities or speakers Owner requested Euthanasia and Cremations Lifelong relationship between people and their pets Pets for Seniors Animal Adoption Visiting Pet Friends Lost and Found Services Dog training Retail items Adoption partners Youth outreach/ Humane teen club In-home adoption Humane education workshops Volunteer programs Humane education, classroom presentations, or materials Placement partners Library Pet Project Pet Food Bank People and Pets Workshops • Grooming • Vet services • Pet food Food drives Loss counseling Vet externship NOTIONAL

17. Affinitized Services (Scenario 1)7/26/07 (Proposed) • 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 • Internal Services – Group 1 • Public relations/marketing • Fund development • 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 Animal Outreach Retail

18. Building Blocks/Deliverables 2 cycles per scenarioand then move to sustaining • Board • CEO • Plan Mgmt Team • Crisis Mgmt Team • Plan Owners • Team Leaders • Team Leader Backups • Team Members • All others Scenario Exercise Learning Implementation Training Maintenance Quality Strategic Goal& Objectives Quality Assurance BC&DR Policy Plans Teams Tasks Plan BIA Strategies Responsibilities Policies Scope Purpose Context Assumptions Objectives Importance Management Support Worst case 100% certain Business Case Strohl Systems

19. Scenario 1 Master Schedule – Tier 0 (Notional) 2003 2004 2005 2006 2007 Year 1 Year 2 Year 3 Year 4 Year 5 Foundation General General Dryer fire Utilities failure Pandemic BIA • Commitment • Lay the scenario foundation • Conduct BIA(s) • Build initial plans • Run one cycle of maintenance • Approach Strategies Plan Construction & Validation Exercise & Maintenance Procedures Scenario 1 Sustaining Transition Implementation & Learning Maintain/exercise • Risk assessment • Measurement system • Sustaining transition Sustaining • Program • Crisis Governance/Management

20. Strategic Goal & Objectives: Community Crisis Response(Scenario 2)

21. 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 2: Community Response 1) A major regional disaster has impacted much of Seattle/King 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. 2) Response to limited neighborhood disasters. Objectives: Coalition and demands on SHS capabilities and assets 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

22. Scenario 2 Strategies To develop the capabilities to respond to and recover froma disaster that occurs within Seattle/King County • 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 • 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

23. 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

24. Veterinarians Subject Matter Expertise and Program Support DRAFT Shelters Suppliers Animal Control Memo of Understanding Red Cross First contact: management support Humane Society “Personnel” Government(OEM) Emergency Operations Tours (BEOC, KCECC) Military (Search & Rescue, Engineers) DRAFT Italics: Engaged RED: Strategic

25. Strategic Goal & Objectives: Devastating Disaster(Scenario 3)

26. 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 2: Community Response A major regional disaster has impacted much of Seattle/King 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 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 3 is the mitigation when local capabilities are overwhelmed Will operate best with mutual support agreements Business case is focused on risk mitigation

27. Strategic Goal & Objective: Governance/Management System

28. Risk Management Risk Management is the activity which integrates risk recognition, risk assessment, the development of management strategies, and mitigation “Best managed with a healthy skepticism” RECOGNITION Capabilities for less impactful events Crisis management Learning organization Origination (source analysis) Plan worst-case Validate with specifics “Profound business knowledge” Trigger MITIGATION Business survival (S1) 100% certainty Events ASSESSMENT • Transfer • Avoid • Reduce • Retain STRATEGIES Probability Create Mitigations Impacts Threat (problem analysis) Vulnerability/Susceptibility (impact analysis) Strategies Response services (S2) Overwhelmed (S3) Plans & Capabilities Dynamic

29. Governance and Crisis Management Structure Tom Lee Sponsor/Owner Program Manager BCP Analyst Plans/Methods Anne Jim Facilitator (Methods) Facilitator (Program) Tom LDRPS Administrator Suanne Steering Team Crisis Mgmt Team Chuck Herb Sandy Lee Implementation Management Brenda Business Continuity Management Team David Anne Plans & Capabilities Ken Glynis Program Management Event Management Chuck Herb Sandy Lee Crisis Mgmt Team Event Management Brenda David Anne Ken Glynis Response Plan Recovery Plan David Incident Response Emergency Ops Center Anne Ken Recovery Ops Center Glynis Animal Care Evacuation & Asset Protection Human Medical Damage Assessment Service Recovery David Anne Glynis Building Wardens Bridgette Kim David/Jason Anne Bethany Brenda Bridgette David Fran HeatherKate Kim Sharon Bethany Amber

30. Strategic Goal & Objective: Sustaining and Transition

31. Cultural requirement • Learning organization

32. 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

33. Suanne Anne Sustaining Transition Ken Business System BCP Program • Methods and tools • Plan repository BCP Analyst Plan/Service Owners Others Feeds Systems Administrator BCP Program Mgr Plan Authors • Validated capabilities LDRPS Plans Dictionaries • Integrity/backup • Data entry/imports • Reports and queries Business System Architect SHS Support Norm BCP Program BCP Business System BCP Validator Jim Enterprise System Architect Tom RFP BCP SME Business System Analyst Business System Mgr Strohl BC/DRP Program Mgr LDRPS Product Mgr LDRPS: Living Disaster Response Planning System

34. Business Case

35. Overall Why and why world class? Scenarios Business Continuity Community Crisis Response Devastating Disaster Vision At the table in KCECC $ and reputation Business Case

36. Scenario 1 Business Case (Cost1) Total labor < 0.6% of total available labor hours Total cost < 0.5% of the annual business plan Total cash < 0.5% of net assets 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. • Costs and efficiency are averaged over a 5-year period, the time assumed to be needed to fully implement a scenario. • SHS hourly rates are estimates. The lowest unburdened labor rate for professional support is $80,000/year. All labor rates are 40% burdened.

37. Scenario 1 Business Case (Benefits) • Create Value • Risk reduction • Leveraged opportunities • Image • Financial • Mission effectiveness (e.g. windstorm) • Competitive advantage • Business knowledge

38. Other Factors • Professional support skills availability and sustainability • CERT, latest call for volunteers • Recovery plan for BC&DR itself

39. Measures and Assessment

40. Program and Capabilities Status Schedule Deliverables Capabilities Maturity Risk Scenario 1: Business Continuity Maturity Maturity Schedule Deliverables Capabilities Risk Competitive Advantage Scenarios Competitive advantage Learning system Mission effectiveness

41. Current status

42. Current status • Management support and foundational items • Issues, critical success factors, risk areas • Look ahead

43. Assumption BCP Risk and Capabilities Initiative Plan Practice Prevent Protect Prevail Contribution Completed Outcome RISK Threats Recognition Analysis Strategies Mitigation Training plan Exercise and Maintenance plan Scenarios Measurement plan CAPABILITIES Learning system Plans Initial baseline Validation Plan updates Plan worst case; validate with specifics Resources Equipment and supplies Communications Plan and procedures Mitigations Generators New volunteer Orientation Skills New employee Training Annual refresher Exercises & Events Annual practice Profound business knowledge Special Skills CPR/1st Aid Walk-throughs New BC volunteer Unscheduled All staff

44. What we need from the Board?

45. What we need from the Board Management Support • 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

46. Management Commitment Support Acceptance Understanding

47. 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)

48. Approach

49. 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 Capabilities

50. 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