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Incident Management
& Communications
Procedures
Guide
Version 1.91
Last Updated:
December 2, 2009
Table of Contents
Introduction............................................................................................................................................................. 4
Severity Level Definitions ...................................................................................................................................... 5
Communication Checklist....................................................................................................................................... 8
Manager On Call (MOC) ................................................................................................................................ 8
IT Center ......................................................................................................................................................... 9
Incident Manager On Call IMOC List ............................................................................................................... 10
Incident Manager On-Call (IMOC) .............................................................................................................. 11
University IT Technical Staff / Technicians on Call .................................................................................... 12
University IT Director - of affected unit(s)................................................................................................... 12
Information Security ..................................................................................................................................... 13
CIOs Office.................................................................................................................................................. 14
Communication Manager and/or Other Designated University IT Employees............................................ 15
Scribe ............................................................................................................................................................ 16
University IT Office Admins ........................................................................................................................ 16
University IT Staff Members ........................................................................................................................ 16
Provost .......................................................................................................................................................... 16
President........................................................................................................................................................ 16
Other University Executives ......................................................................................................................... 17
Students......................................................................................................................................................... 17
Faculty / Departments or Divisions .............................................................................................................. 17
University Staff............................................................................................................................................. 17
University Security ....................................................................................................................................... 17
University Facilities ...................................................................................................................................... 17
Rochester Management................................................................................................................................. 17
University Legal............................................................................................................................................ 17
University HR ............................................................................................................................................... 17
Communication Call Log...................................................................................................................................... 18
Security Level Definitions .................................................................................................................................... 20
Internal Communications Template...................................................................................................................... 21
External Communications Template..................................................................................................................... 23
University IT Technician Form ............................................................................................................................ 25
External Communication Matrix .......................................................................................................................... 26
Incident Command Center Wall Charts................................................................................................................ 31
IT Alert (G2Alert) Steps to Send a Severity 3 IT Alert:.................................................................................... 40
ISD Manager On-Call - University IT (Data Center Services) Alert Notification ............................................... 41
Appendix............................................................................................................................................................... 43
Roles & Responsibilities................................................................................................................................... 44
Incident Manager On-Call (IMOC) .............................................................................................................. 44
Manager On-Call (MOC).............................................................................................................................. 45
Communications Manager ............................................................................................................................ 46
Web Content Hack Immediate Actions ......................................................................................................... 51
Debrief Procedures............................................................................................................................................ 52
Debrief Agenda Template................................................................................................................................. 53
Updating Procedures......................................................................................................................................... 54
Change Control ................................................................................................................................................. 55
3
Introduction
Leaders in the University Information Technology organization acknowledged the need to develop a wider view
of incident management and communications. In the past, each University IT department utilized its own
incident escalation path. Consistency in delivering incident management and expected communication levels
were not meeting internal and external customer expectations, especially during high profile incidents.
This Incident Management & Communication Procedures manual contains Severity 3 incident response tools.
Severity 3 incidents are the highest level and most critical of events that occur within our organization.
Immediate action is required by multiple people to assist in recovering services affected by the incident. By
identifying scope and ownership of an incident early in the process, we can now triage to the appropriate teams,
who in turn establish their communication protocols and management roles within the context of the broader
incident management procedures.
Incident management and communication processes that had been used independently across the organization
are now merged into a single document and available across University IT. On-call escalation now has the
ability to mobilize an Incident Manager On-Call (IMOC) who coordinates the Incident Command Center and
communication methods to executives and customers. Each departments Manager On-Call (MOC) can now
concentrate on recovering services, without the need to communicate with multiple people. Technicians will
also benefit from these procedures by eliminating multiple communication paths and allowing them to
concentrate on technical issues. Each Severity 3 incident will have a Communication Manager, assigned to
assist with the creation of communication materials. A scribe will detail incident events. After the recovery
from an incident, a mandatory debrief meeting will be scheduled to complete the Sev 3. Documentation for the
debrief methodology has been finalized and is included in this manual.
A coordinated University IT response is essential to our business and services. Our customers demand it, our
internal resources need it, and the Information Technology Services Incident Management & Communication
Procedures Guide delivers it.
SeverityLevel
3.0
2.5
2.0
1.5
1.0
0.0
ServiceImpact
Enterprisewide
Enterprisewide
Limited
SingleorNone
SingleorNone
SingleorNone
Immediateneedfor
service
Noimmediateneed
forservice
Singledepartment
affectedbyservice
interruption
Singleuserservice
impact
Singleuserservice
impact
Singleuser
serviceimpact
Scopemaynotbedefined
Scopeisdefined
AgedGeneralUser
Ticket
NoServiceImpact
withcomplex
elevatedresolution
NoServiceImpact
withelevated
resolution
NoServiceImpact
Completeserviceoutage
VIPUserTicket
GeneralUserTicket
GeneralUser
Ticket
GeneralUser
Ticket
Triggersformal
communicationplan
Triggersformal
communicationplan
Resolutionby
TechLead/System
Lead
Resolutionby
SubjectMatter
Expert(SME)
Resolutionby
ITCenterstaff
Multipledepartments,
groups,andindividuals
SeverityLevel
Defined
DecisionMaker
Enterprisewideimpact
Universitywidesecurity
violation/compromise
IMOC/Director
Director
Manager
LevelIII:
TechLead,System
Lead
LevelII:
SubjectMatter
Expert
CallAgent
UniversityITDirector
UniversityITDirector
UniversityIT
Manager
LevelIIISupport
LevelIISupport
CallAgentOnly
UniversityITManager
UniversityITManager
LevelIIISupport
LevelIISupport
CallAgent
IMOC
IMOC
CallAgent
CIOOffice
AppropriateUniversity
ITPersonnel
SeniorManagement
ITCenter
AllUniversityIT
ITCenter
IMOCbyDirector
DirectorbyManager
ManagerbyLevel
III
LevelIIIbyLevelII
LevelIIbyCall
Agent
CallAgentby
User
CIOOfficebyIMOC
IMOCbyDirector
UserbyTicket
Assignee
UserbyTicket
Assignee
UserbyTicket
Assignee
UserbyTicket
Assignee
SeniorManagement
byCIOOffice
ITCenterbyDirector
Involvement
ISD
(ifDataCenteror
NetworkRelated)
WhoisNotifiedByWhom
Immediate
Notification
Additional
Notifications
ElevatedUser
Ticket
(Director,Manager)
Triggersinformal
communication
plan
ITCenterbyDirector
ISDbyHyperReach
AllUniversityIT
byHyperReachor
Email
Communication
PlanType
Formal*
Formal*
Informal
Informal
Informal
Informal
Communication
Methods
DirectContact
(phone,inperson)
DirectContact
(phone,inperson)
DirectContact
(phone,inperson)
ServiceTicket
ServiceTicket
HyperReach
HyperReach
AllUniversityIT
byHyperReachorEmail
Walkin,phone
call,email,web
form
Realtime
Communications
ITENS
ITENS
Communication Checklist
This document provides a high-level overview of the communication flow that needs to take place during a declared Severity 3 (Sev 3) incident.
University IT divisions will assess incidents as normal until a Sev 3 has been declared once elevated to a Sev 3, initiate this checklist.
Normal Business Hours (8:00am 5:00pm): Applies to weekdays and non-holidays.
Communication Flow
Manager On
Call (MOC)
Management Steps
Normal Business Hours (8:00am 5:00pm)
After Hours
Communication Flow
IT Center
IMOC-supplied information
Ensures MOC(s)/MOC Designee of affected
After Hours
Schedule
ROTATION
START DATE
2009
May
June
July
August
September
October
November
December
Crowley
Wirley
Barden
Myers
Fredericksen
Crowley
Wirley
Barden
Wirley
Barden
Myers
Fredericksen
Crowley
Wirley
Barden
Myers
Barden
Myers
Fredericksen
Crowley
Wirley
Barden
Myers
Fredericksen
2010
January
February
March
April
Myers
Fredericksen
Crowley
Wirley
Fredericksen
Crowley
Wirley
Barden
Crowley
Wirley
Barden
Myers
PRIMARY
SECONDARY
TERTIARY
OTHER
Personnel
NAME
Barden
Crowley
Fredericksen
Myers
Wirley
CALL FIRST
275.5458
275.8235
273.1714
273.1804
275.5615
CALL SECOND
cell - 317.3398
cell - 733.1365
cell - 313.4003
cell - 208.0939
cell - 638.2591
OTHER AVAIL.
home - 627.1602
pager - 220.3330
home - 586.5986
home - 349.7211
home - 671.9046
OTHER AVAIL.
cottage - 315.536.6634
home - 924.3273
10
Communication Flow
Incident
Manager On-Call (IMOC)
After Hours
11
Communication Flow
University IT
Technical Staff
/ Technicians
on Call
University IT
Director - of
affected unit(s)
Management Steps
Normal Business Hours (8:00am 5:00pm)
After Hours
12
Communication Flow
Information
Security
Security Controlled
Examples:
Missing person
Crimes (domestic and
international)
Major security breach
Security Related
Examples:
Worm outbreak
Virus problems
Management Steps
Normal Business Hours (8:00am 5:00pm)
After Hours
1. Security Controlled
Situation is critical and may involve highly sensitive
data.
Security Office takes control of incident
management and IMOC coordinates
communications.
Engages University Legal and/or University HR
(21,22).
Develops and distributes communications on a
limited basis. Some events will require Security
Office to keep all details confidential. Determines (if
critical security situation) what information can be
shared beyond the Security office.
If services are impacted, public communications will
be determined by Security Office. If servers are
down, notifies Operations Centers.
2. Security Related
Reviews situation and gathers facts from
technicians.
Participate in troubleshooting and helps to
implement solution.
Begins a parallel communication stream as may be
required by specific incidents.
3. No Security Impact
Takes no action unless specifically asked to.
Incident is NOT security related in any way.
After incident debrief, IT Security will notify University Audit of major University IT incident. Notification will
include cc: to Julie Buehler for Audit communication retention.
13
Communication Flow
CIOs Office
Management Steps
Normal Business Hours (8:00am 5:00pm)
After Hours
IMOC.
Decides if the Provost and President
should be notified before the start of the
next business day.
Gathers with IMOC next business day
morning to review event and provides
business perspective (big picture) for the
incident.
(12,13).
Provides business perspective (big picture) for the
incident.
14
Communication Flow
Communication
Manager and/or
Other
Designated
University IT
Employees
(Set up where main
communication is taking
place)
Management Steps
Normal Business Hours (8:00am 5:00pm)
After Hours
Picks up the next business day to continue ongoing communications (internal and external)
or to assist in closing out the incident.
If incident is closed:
Sends final communications when incident
is closed.
Identifies channels for post-incident followup and helps prepare messages for those
channels.
Retain copy of all communications for
debrief session and for audit purposes.
If incident is still open:
Gathers details about incident and reviews
CHRON.
Crafts messages for internal and external
use.
Identifies appropriate communication
channels.
Deploys communications according to
incident timeframe through identified
channels/Working with MOC and IMOC.
[All Channels]
Provides guidelines for communications to
the Customer Service Centers and to the
IT Admins so they can handle calls
appropriately and deliver the same
message.
Identifies channels for post-incident followup and helps prepare messages for those
channels.
Retain copy of all communications for
debrief session and for audit purposes.
15
Communication Flow
Scribe
(Set up where main
communication is taking
place)
10
Management Steps
Normal Business Hours (8:00am 5:00pm)
University IT
Office Admins
University IT
Staff Members
11
12
Provost
13
President
After Hours
16
Communication Flow
After Hours
14
Other
University
Executives
15
Students
16
Faculty /
Departments or
Divisions
17
University Staff
18
University
Security
19
University
Facilities
20
Rochester
Management
21
University
Legal
22
University HR
17
Notify?
Yes/No
Contacted By
1st
Contact
At:
2nd
Contact
At:
3rd
Contact
At:
4th
Contact
At:
IT Center: Provide key facts so centers can handle incoming calls consistently and triage accordingly.
IT Center @ 5-2000
Ops @ 5-9194
(TH Computer Room)
University IT Incident Management: Provide key facts and begin IM team mobilization and communications.
University IT Directors
(Sev 3 VIP list)
CIOs office @ 5-5240
Norm Acunis
(for Email Sevs)
Becky Kingcaid
(for Email Sevs or any Sev
affecting Executives in Wallis)
Information Security Office
(as needed)
Michelle Rogers
Bill Waterhouse
Main University IT Communication Channels: Provide high-level status of the event with updates as needed.
3-3999 Recording & Sev Page
Sent
University IT Notices Updated
(University IT website)
IT Center Plasma Screen
University IT Org
Phone Tree and/or G2 Alert
University IT Office Admins: Provide key facts so this team can handle incoming calls consistently and provide
departmental support as needed.
CIOs Office
Finance/Admin/Comm Office
AA Office
NC Office
DC Office
Security Office
External to University IT: Provide high-level status of the event with updates as needed.
Phonedown
Netdown
Presidents Office @ 5-8356
Nicholas Bigelow @ 5-8549
(President of Faculty Senate)
Provosts Office @ 5-5931
18
Who to contact
All Campus Admins.
(for email Sevs)
ISD @ 5-3200
Highland Hospital Comm Ctr
@ 473-2200
Michele Cairns @ 1-8463
Med Ctr Directors office
(Julie Choate, Roberta
Parker)
Comm Ctr @ 5-2222
(Voice Services including VM)
College Deans Office
@ 3-5000
University Security Office
Highland Hospital Security
University Facilities Office
University Human Resources
University Legal
Students
Faculty
University Staff Members
University IT Notices Post
(ITENS)
Campus Times
Currents Digest (Email Daily)
Currents (Print)
Notify?
Yes/No
Contacted By
1st
Contact
At:
2nd
Contact
At:
3rd
Contact
At:
4th
Contact
At:
Examples
Server has been compromised that has
Student Social Security Numbers.
Major worm outbreak is taking down
email, HRMS, etc.
Main University Web Page significantly
defaced.
Examples
Student Changes Grades.
Researcher changes research data
Worm outbreak is spreading rapidly
across ResNet.
OR
A significant and growing number of SYSTEMS are rendered
unavailable without any operational remedy.
Examples
Known information is taken from a
system without any impact.
Individual systems are hit with a
virus/worm. No trend across the
University is detected.
Communications
Contact:
Release Date:
Incident:
Communication
Frequency:
University IT
Internal
Audience:
(check all that apply)
1 Time Only
University IT ALL
Employees
---------------CIO
Directors
University IT Managers
University IT Office
Admins
University IT Operations
Centers (IT Center/NCS
Ops/DCS Ops)
Key Facts:
Item 1
Item 2
Item 3
Item 4
Item 5
Item 6
Channels:
(check all that apply)
Email
Web
Phone/Conf. Bridge
ITENS/University IT
Home Page
G2 Alert
ext. 3-3999
In Person/Meeting
Other
University IT Hotline
for follow-up/summary
Version 1:
Version 2:
Version 3:
Special
Instructions/Notes:
Communication
Channel
University IT Audience
Assigned To
Copy Version
Updates
Time
Date
Message
Page 22
Channels
Release Date:
Incident:
Communication
Frequency:
1 Time Only
Entire University
External
Community
Audience: - - - - - - - - - - - - - - - - - -
Channels:
(check all that apply)
Whats the
best way to
reach them?
Email
Web
Phone
Currents Digest
ITENS - University IT
Home Page
G2 Alert
Fax
In Person Visit various
locations
IT Center Plasma Screen
Flyers post in relevant
areas
Other
Following Incident:
Currents Print
Campus Times
Flyer/Postcard
Follow-up Phone Call
Key Facts:
Item 1
Item 2
Item 3
Item 4
Item 5
Communication Copy
Version 1:
Version 2:
Version 3:
Special
Instructions/Notes:
Communication
Channel
Audience
(External to University
IT)
Assigned To
Copy Version
Updates
Time
Date
Message
Channel(s)
Alerted by
Notified OPS
275-9194
275-9195
220-3283 pager
Systems affected
Services affected
MOC
Time
IMOC
Event
SysAdmin (s)
MOC Notification
& Updates
External To
University IT
Who To Contact
Web
Phone
Peter Lennie
lennie@rochester.edu
3-5000
Richard Feldman
richard.feldman@rochester.edu
3-5001
Robert Clark
robert.clark@rochester.edu
5-4151
Wendi Heinzelman
wendi.heinzelman@rochester.edu
5-4153
Dean of Sophomores
Vicki Roth
vicki.roth@rochester.edu
5-9049
Dean of Freshmen
Marcy Kraus
marcy.kraus@rochester.edu
5-2354
John Simonson
John Strong
Jim Prescott
Bob Lindholm
john.simonson@rochester.edu
5-3106
5-4873
5-8265
5-0870
Dean/Director
Doug Lowry
dlowry@esm.rochester.edu
263-2807
Computing Services
Jeremy Beyette
jbeyette@esm.rochester.edu
4-1160
David Guzick
david_guzick@urmc.rochester.edu
5-0017
Department Heads
All Faculty
All Students
Eastman School of Music
26
External To
University IT
Who To Contact
Web
Phone
School of Nursing
Dean
Kathy Parker
kathy_parker@urmc.rochester.edu
5-8902
mark.zupan@simon.rochester.edu
5-3316
Department of IT
joe.scacchetti@simon.rochester.edu
3-5215
raffaella.borasia@rochester.edu
5-8300
Joe Scacchetti
Dave Garcia
Susan Gibbons
sgibbons@library.rochester.edu
5-4461
Information Technologies
Mike Bell
michael.bell@rochester.edu
5-6875
Jerry Powell
jerry_powell@urmc.rochester.edu
784-6118
27
External To
University IT
Who To Contact
Web
Phone
University Administration
President
Deputy to the President
Joel Seligman
lamar.murphy@rochester.edu
6-3262
Melinda Smith
melinda.smith@rochester.edu
5-5931
Assistant Provost
Kathleen Moore
kathleen.moore@rochester.edu
5-2497
Paul J. Burgett
pburgett@admin.rochester.edu
3-2284
VP of Communications
William Murphy
Provost
Provost Exec Assistant
Communications Administrator
Lamar Murphy
Ralph Kuncl
5-4124
Maureen Baisch
maureen.baisch@rochester.edu
5-4127
Ronald J. Paprocki
rpaprocki@admin.rochester.edu
5-2800
Helen W. Kostizak
hkostizak@admin.rochester.edu
5-2792
Douglas W. Phillips
dphillips@admin.rochester.edu
5-3311
Dianne Wittman
dianne.wittman@rochester.edu
5-8051
James D. Thompson
jim.thompson@rochester.edu
3-2158
Brad Berk
bradford_berk@urmc.rochester.edu
5-3407
Sue S. Stewart
sue.stewart@rochester.edu
3-5824
28
External To
University IT
Who To Contact
Web
Phone
Grant Holcomb
gholcomb@mag.rochester.edu
6-8902
Director
Robert McCrory
rmcc@lle.rochester.edu
5-4973
Alex Rysken
arys@lle.rochester.edu
5-5333
3-4567
Human Resources
ask-urhr@rochester.edu
5-8747
Office of Communications
Public Information Coordinator
Sharon Dickman
sdickman@admin.rochester.edu
5-4128
Publicist
Helene Snihur
hsnihur@admin.rochester.edu
5-7800
Editor, Currents
Jenny Leonard
jleonard@admin.rochester.edu
5-6076
Web Editor
Lori Packer
lori.packer@rochester.edu
5-5277
Other
Telephone Directory Contacts
Key University IT Contacts
Residential Assistants
University IT Student Workers
29
External To
University IT
Who To Contact
Web
Phone
Cary Jensen
cary.jensen@rochester.edu
5-8928
Nora Bredes
nora.bredes@rochester.edu
5-9283
University Intercessors
Gerald Gladstein
Frederick Jefferson
Ruth Lawrence
Kathy Sweetland
Various
editor@campustimes.org
5-5342
Currents Digest
Jenny Leonard
jenny.leonard@rochester.edu
5-6076
Currents (Print)
Jenny Leonard
jenny.leonard@rochester.edu
5-6076
Local TV Stations
Sharon Dickman
sharon.dickman@rochester.edu
5-4128
Local Newspapers
Sharon Dickman
sharon.dickman@rochester.edu
5-4128
Sharon Dickman
sharon.dickman@rochester.edu
5-4128
30
Respond
Time
Action
Are Employees Safe? x13
Injured:
Contact Security
(if necessary) x13
Contact Facilities
(if necessary) x3-4567
Security Contact:
Personnel On-Site:
Contact Information:
4.
31
Time
Action
University IT Security Controlled
Event?
{ Contact Information}
2.
Information that has been deemed non-critical has the potential of being altered or disclosed,
without adverse impact to the University
OR
A number of information systems are rendered unavailable without any operational remedy
Severity 3 Declared
Declared By:
Phone Numbers:
Fax Numbers:
Who
IT Center
x5-2000
Contact Dave Lewis Must Make Verbal Contact; Cell 1st, Home Phone 2nd
32
Control
Time
Action
Technicians On-Site?
ISD Comm Bridge Setup (if necessary)
1-866-945-2255 Access Code: 608965#
1-866-609-2932 6608484
IT Alert Sent
www.g2alert.com
Customer Communications
33
Incident #1 Details
Brief Description of Problem
Services &
Servers
Affected
Customer(s)
Impacted
Resource
Assigned
Current
Status
Relief Person
& Next Shift
34
Incident #2 Details
Brief Description of Problem
Services &
Servers
Affected
Customer(s)
Impacted
Resource
Assigned
Current
Status
Relief Person
& Next Shift
35
Fax #:
Location
Phone #
Phone #
Phone #
1-866-945-8855
608965
IMOC
IMOC Communication
Conference Bridge
Only
MOC
Conference Bridge
ISD
Conference Bridge
MOC/Technician
Communication Only
If necessary
36
Personnel
Name
Contact Info
Location
IMOC
IMOC
Communication
Assistant
Scribe
Communication
Manager
MOC AA
MOC DC
MOC ISO
MOC NC
37
Communication Updates
Vehicle
Contact Info
IT Center
275-2000
275-9194
275-1205
IT Alert
https://g2alert.com
University IT
Organization Updated
Performed By
Last Update
University IT Notices
Updated
Phone Update
273-3999
38
University
IT
Contact
Service/
Server
Phone #
Case #
39
Gather information concerning the incident: Incident details, Service(s) Application(s) and Server(s) affected
https://www.g2alert.net & login
Choose Messages, then choose Send A Message
Choose Create or Edit a Message or select an existing Message from the pulldown list
Time of Day
Business Hours
After Hours
Choose Create A Message
Select Message
Create A Message
Remember: You must fill in EACH method below for the message to reach recipients via that method (Text, SMS and Voice)
***** Change the Message Name *****
Message Name
Voice Messages
Email Messages
Type as you would say it; you may
need spaces between letters
Change {service/application/server/event} to
reflect actual incident.
Change {service/application/server/event} to
reflect actual incident.
Text Messages
Maximum 108 characters
Send
Business Hours
Time of Day
Choose Edit or Copy
After Hours
Remember: You must fill in EACH method below for the message to reach recipients via that method (Text, SMS and Voice)
Voice/Email/Text
Messages
Send
Sending Message
Message Setup
Time of Day
Business Hours
After Hours
List
Request Confirmation
Of a Receipt
No
Yes
Device Preferences
Send Alert
40
Version 1.9
Confidential
41
MgrPerson
OnCall
Primary
Secondary
OnCall
Business
Phone
PagerOrCell
Phone
HomePhone
3130485
3145665
3145665
7348976
4159053
5866384
3155898776
3155898776
3155247430
6717570
3509588
7871639
3509588
5076791
5076791
7302299/755
5395cell
7302299/755
5395cell
5763651
5763651
4159053
7348976
4743569
4743569
5079270
5079270
2451884/880
1022
2451884/880
1022
5079270
5079270
4724184
4724184
8209274
7871639
3931229
3931229
6/16/09
6/16/09
7/7/09
7/7/09
7/21/09
7/6/09
7/6/09
7/20/09
7/20/09
8/3/09
RickHaverty
DaveLindsey
DaveLindsey
DianeKoretz
ChipNimick
Primary
Secondary
Primary
Secondary
Primary
7/21/09
8/3/09
GaryScialdone
Secondary
8/4/09
8/4/09
8/18/09
8/17/09
8/17/09
8/31/09
GaryScialdone
NancyBales
NancyBales
Primary
Secondary
Primary
7846126
7842949
7842949
3410403
7846115
7842480
/2751120
784
2480/275
1120
7848322
7848322
8/18/09
8/31/09
SueGraves
Secondary
7842435
9/1/09
9/1/09
9/15/09
9/15/09
10/6/09
10/6/09
10/20/09
10/20/09
11/3/09
9/14/09
9/14/09
10/5/09
10/5/09
10/19/09
10/19/09
11/2/09
11/2/09
11/16/09
SueGraves
TedVaczy
TedVaczy
ChipNimick
DianeKoretz
KathrinKenny
KathrinKenny
TinaDePalo
TinaDePalo
Primary
Secondary
Primary
Secondary
Primary
Secondary
Primary
Secondary
Primary
7842435
7846002
7846002
7846115
3410403
7846121
7846121
7848338
7848338
11/3/09
11/16/09 HalleMcNaney
Secondary
7844275
11/17/09
11/17/09
12/1/09
12/1/09
12/15/09
12/15/09
11/30/09 HalleMcNaney
11/30/09
TinaDePalo
12/14/09
TinaDePalo
12/14/09
MartyBush
1/3/10
MartyBush
1/3/10 DawnRobinson
Primary
Secondary
Primary
Secondary
Primary
Secondary
7848275
7848338
7848338
7848331
7848331
7846159
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3353276
3353276
6242792
6242792
6717570
3155247430
3155244821
3155244821
5079270
5079270
2451884/8801022
2451884/8801022
5079270
5079270
4583519
4583519
3831213
42
Appendix
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IMOC responsibilities:
Evaluate the situation and gathers all the facts from all Managers On-Call.
Determine if the MOCs should be onsite during an incident that occurs outside normal business hours (8am-5pm
weekdays), also known as AFTER HOURS.
Oversee the Severity 3: Communication Checklist & Call Log process
Contact the CIO
Work directly with MOCs & technical teams as necessary
Notifies University IT Information Security Office to review incident and determine if a security breach has
occurred.
Serve as incident Communications Manager and oversee the gathering of information (CHRON) and customer
communications.
Determines the need/location of an Incident Command Center to manage the incident (also referred to as the
University IT War Room)
Designate an incident scribe. In direct contact with the incident scribe and oversees all notifications to University
IT ORG and if necessary, key University division contacts; Presidents Office, Provosts Office, Office of
Communications, College Deans Office, URMC (School of Nursing), Simon School, Warner School and Eastman
School of Music.
44
45
Communications Manager
The Communications Manager is responsible for managing University IT-wide and University-wide communications for
University IT-wide incidents. [This is a role served during an incident and not a job title.] He/She serves as a
communications liaison to the IMOC during SEVERITY 3 incidents (defined below).
The IMOC may choose to serve in this role if another suitable employee is not identified. The Communications Manger
must review all communications with the IMOC before releasing them, unless otherwise stated by the IMOC. In some
cases, the CIO (or Assistant CIO, Other Directors) may require that all communications get reviewed by the CIOs Office
prior to deployment.
Communications Manager needs to compose and deploy updates during the course of the incident. The Communications
Manager should also send out a final message indicating the incident is closed and offering a status report to affected
users. [See sample text at the end of this document.] In some cases, the Communications Manager will need to provide
details and in other cases, it will be necessary to remain vague. IMOC and CIO will provide guidance on this.
Be sure to communicate with Becky Kingcaid/Alivin Ruiz if it is an issue that affects Wallis Hall. Becky will often re-tool
general messages based on the needs of users in Wallis hall. It is a good idea to send her copy before releasing to the
general public so she has a heads up.
Refer to the templates and checklists provided in the Incident Management Handbook for details on communication
channels, etc.
Definition of Severity 3:
The problem has a critical impact on key functions within the University or its reputation. Resolution takes highest
precedence.
46
Certain service disruptions require contact with general dispatch points (this is usually done by the IMOC - but you
may be asked to continue to provide them with updates during the course of the incident):
ISD Help Desk at x53200 can be your reference point for any ISD staff on call for desktop or Med Center
department network issues, such as with Omega. If x5-3200 is closed (after hours), you will be rolled
over to the Data Center (x5-9194 or x5-9195).
Energy Management at x34567, a.k.a. Customer Service Center, a.k.a. Energy Operations Center, is
your link to all trades-people in Facilities. Please note that if there are any issues concerning what
the dispatchers at x34567 ask you, you may ask them to patch you through to their Supervisor.
Communications Center at x52222 is your link to all Med Center On-Call people (with the exception of
ISD staff)
ResNet Help Desk at x35154. Laurel Contomanolis, and other ResLife Staff may be utilized to refer
issues to the Duty Dean, Resident Advisors, or to ResNet staff when the ResNet Help Desk is not open.
If none of these dispatch points work, consult with another Manager On-Call Rep or see if the
Directory's area listing ("Departments, Offices, and Services") offers contact information.
Disruptions of any voice related services in the Medical Center require communication to the
Administrator On-Call via the Communications Center.
Any safety issues must be immediately communicated to Security at 275-3333.
If a customer declares a situation to be an emergency, do not question that judgment. Consult
with Security, x13 or 275-3333, immediately.
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Always include a heading/subject line even if email isnt used. Helps people get their bearings.
Be careful not to over promise on a solution or quick outcome.
Provide estimates when possible.
Indicate where people can go for additional information. Use Contact University IT in most cases with whatever
number is appropriate for the incident.
Dont provide too much technical information.
Speak in terms the average end user will understand.
Tell users what to expect.
Keep track of all communications in a Word document and add the time the communication was sent out.
Provide updates after major attempts to solve the problem, such as server reboots, hardware swaps, etc.
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Sometimes, we think we have fixed a problem and it comes back (or was never really fixed to begin with). Heres
an example of how to handle that.
First Message
We have received new information that some University faculty, students, and staff members are still experiencing
intermittent email issues.
We apologize for the slowdowns you have been experiencing the past few days. We recognize the importance of email
service and that this disruption has happened at an inopportune time. We are working diligently to restore full email
services.
Please contact University IT at 5-2000 if you need assistance. Status information is also posted on the IT Notices found at
www.rochester.edu/its/.
Second Message
Improvements to the email environment continue. We recognize the importance of email services and Information
Technology Services continues to work diligently to restore full email services. Please contact Information Technology
Services at 5-2000 if you need assistance. Status information will continue to be posted on the IT Notices found at
www.rochester.edu/its/.
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Sample CLOSED Incident Message: [It is important to send out a final communication to let users know
that all has been restored and to offer an explanation of what to expect.]
Exchange Email Disruption
On Friday, May 5 at 8:25 a.m., University IT became aware of an issue with one of the Exchange 2003 email servers that
resulted in a brief email outage for a subset of Exchange email users. University IT support teams isolated and resolved
the issue and had email restored by 10:00 a.m.
During this time, emails were held in the queue and delivered when email services were brought back online. Please be
assured that no emails were lost during this event.
We apologize for the inconvenience this may have caused you and we will continue to monitor the situation throughout
the day. If you have additional questions please contact University IT at 5-2000.
In some cases, it may be necessary to provide information about an incident to people NOT directly
affected. An example communication is provided below.
Message for IT Key Contacts (Includes IT people outside of University IT was sent to help other IT support users who
were affected by the outage)
Dear IT Colleagues,
On Thursday, January 19, University faculty, students and staff started to experience intermittent disruptions with UNIX
email service on the mail.rochester.edu server. Users experiencing the problems were primarily within the College.
University IT worked with our vendors to isolate the source of slow email service.
Users who were experiencing disruptions with email on Thursday can now log into their email. They may experience a
delay with initial log in if their mailbox contains a large quantity of unchecked messages. Processing capacity was added
to help move mail through the various checkpoints (anti-spam/anti-virus). University IT staff resolved some service
disruptions and is maintaining a continuous effort to address the issue and University email services will be monitored
throughout the day.
Regular updates will be posted online at: www.rochester.edu/its/ - IT NOTICES. Please use this information to keep your
area up to date with this issue. University IT uses this area to communicate with the University community on a regular
basis and will be a source of information for you on this issue, regular updates on maintenance outages, and other
University IT services.
If you have additional questions, please contact University IT at 5-2000.
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Debrief Procedures
1. Debrief will be scheduled by the scheduled IMOC, not the acting IMOC. Meaning, if a scheduled IMOC is
unavailable to be IMOC and an acting IMOC is leading the incident, the scheduled IMOC will be responsible
for scheduling and leading the incident debrief. If circumstances prevent the scheduled IMOC from assigned
duties, the acting IMOC will be responsible.
2. Debrief should occur no later than one week after the incident, with one day after the incident preferred while
information and events are fresh in participants minds.
3. Debrief documentation is to be stored in the Incident Management and Communication SharePoint site,
located: https://sharepoint.its.rochester.edu/sites/ITS-IMC/Shared%20Documents/Forms/AllItems.aspx under
the Incident Reports and Debriefs.
4. After documentation is complete, send an email to Bill Waterhouse. He will in turn produce a UR Audit
update to be sent to the Universitys Audit department and Julie Buehler.
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Item
1.
Notification
2.
Turnout
3.
Communications
4.
Personnel
5.
Equipment
Were the room(s) equipped with the correct items to support the incident?
What other equipment would have helped?
6.
Intra-Departmental
Cooperation
Did the University IT business units work together in the best manner?
7.
Inter-Departmental
Cooperation
Did University IT work together with other University departments in the best manner?
8.
Initial Strategy
9.
Execution
10.
Clean Up
11.
Customer Impact
12.
Follow Up Items
13.
Lessons Learned /
Recommendations
14.
Audit Notification
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Updating Procedures
The following procedures manual was initially developed by the Incident Management & Communications team between
February and June 2006. If you have any questions, concerns, or modifications to the following procedures, please
contact the IT Center (275-2000 itscenter@rochester.edu)
The following people had a major role in the creation of this document:
Project Sponsors
Kate Crowley
Project Manager
Bill Waterhouse
Project Participants
Norm Acunis
Mike Fitch
Karen McVige
Joe Pasquarelli
Jay Riley
Mercedes
Fredericksen
Jason Wagner
Others assisted with its creation, and Information Technology Services is thankful for the participation and guidance to
better serve our customers.
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Change Control
Name Person
Section change
Description change
Date
Version
Number
Bill Waterhouse
IT Alert
12/08/2006
1.0
12/13/2006
1.1
1/3/2007
1.2
1/9/2007
1.3
7/15/07
1.4
12/10/07
1.6
02/01/08
1.7
5/29/09
1.8
6/17/09
1.9
Bill Waterhouse
Communication
Checklist Section 6
Debrief Document
Bill Waterhouse
Bill Waterhouse
B.J. Block
IM&C Quarterly
Update Q1 2007
IM&C Quarterly
Update Q3 2007
Appendix
Bill Waterhouse
IMOC Schedule 08
Bill Waterhouse
IM&C Quarterly
Update Q4 2007
Bill Waterhouse
IMOC Schedule
IT Alert (G2Alert)
ISD Manager On Call
Bill Waterhouse
Contact Information
Bridge Phone #
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