Uprise Business Continuity Plan

Uprise Business Continuity Plan

March 2017
Table of Contents

Uprise Business Continuity Plan 1

Part I. Introduction 3

Overview 3

Audience and Distribution 4

Part II. Uprise Business Continuity Plan 5

Objectives 5

Assumptions 5

Development and Maintenance 6

Testing 6

Organisational Structure 6

Business Continuity Management Team 6

Disaster Phases 7

Phase 1: Disaster Detection and Determination 8

Phase 2: Disaster Notification 8

Phase 3: Initiation of Uprise Business Continuity Plan 8

Phase 4: Activation of a Designated Backup Site 9

Phase 5: Dissemination of customer information 9

Phase 6: Provision of Support Services to aid recovery 9

Part III. Recovery Procedures 10

Business Continuity Management Team 10

Appendix A - Backup Facilities 12

Appendix B - Notification List 13

Part I. Introduction

Part I contains information about this document. This document is the written record of the Uprise Business Continuity Plan (‘The Plan’).  


Preparation for, response to, and recovery from a disaster affecting Uprise services requires the cooperative efforts of multiple Uprise organisations. This document records the Plan that outlines and coordinates these efforts. This plan is for use in the event of a disaster in the AWS data centre. This document describes the designated backup site as well as the process and procedures for the utilisation of this site.

This document is intended as an education tool for issues relating to planning for the continuity of transaction processing services at Uprise, as a checklist of preparation tasks for training personnel, and for recovering from a disaster. This document is divided into three parts and these parts are described in the table below.



1 (this part)

Introduction. This section included information about the document itself.


Uprise Business Continuity Plan. This section includes the objectives and assumptions of the Plan. The organisational structure required to support the plan is documented. The phases of a disaster are described together with the assignment of high level roles and responsibilities to these phases.


Recovery Procedures. This section describes the function of each team and its associated responsibilities. This includes detailed task lists for preparation and initiating disaster recovery procedures.

Audience and Distribution

This document addresses the following Uprise groups:

  • Business Continuity Management Team

  • Development team

It should be emphasised that this document is addressed particularly to the members of the Business Continuity Management Team, since they have the responsibility of preparing for, responding to, and recovering from any disaster that impacts Uprise. Part II of this document describes the composition of the Business Continuity Management Team in detail.

As the written record of Uprise Business Continuity Plan, this document is distributed to each member of the Business Continuity Management Team. It is also distributed to members of the Executive Staff and key customer groups.

Part II. Uprise Business Continuity Plan

Part II describes the philosophy of business continuity planning at Uprise. It also provides an overview of the functions of the Business Continuity Management Team, the Uprise group directly responsible for implementing this Plan.


Uprise customers depend on information processing services provided by Uprise. There is a low probability of damage to Uprise data processing and/or Uprise support services. However, because of the potential impact to Uprise customers, a plan for reducing the risk of damage from a disaster however unlikely is vital. The Business Continuity Plan complements the strategies for restoring the data processing capabilities normally provided by Uprise Support and Operations.

The disaster recovery strategy described below pertains specifically to a disaster disabling the primary data centre that provides transaction processing support to Uprise customers. The Uprise Business Continuity Plan provides for recovering the capacity to support customer transaction processing applications within 72 hours.

The Plan provides guidelines for ensuring that needed personnel and resources are available for both disaster preparation and response and that the proper steps will be carried out to perform the timely restoration of services. The Plan specifies the responsibilities of the Business Continuity Management Team; whose mission is to establish Uprise level procedures to ensure the continuity of Uprise business functions. In the event of a disaster affecting any transaction processing services, the Business Continuity Management Team serves main co-ordination and communication entity enabling liaison between the customer(s) affected and Uprise personnel providing major restoration services.


The Plan is predicated on the validity of the following assumptions:

  • The situation that causes the disaster is localised to the primary data processing facility in AWS.

  • The Plan is a document that reflects the changing environment and requirements of Uprise. Therefore, the Plan requires the continued allocation of resources to maintain it and to keep it in a constant state of readiness.

Development and Maintenance

The Uprise Team Coordinator, with assistance from key Uprise groups and key Uprise customers, is responsible for developing the Plan.

Ensuring that the Plan reflects ongoing changes to resources is crucial. This task includes updating the Plan and revising this document to reflect updates; testing the updated Plan; and training personnel. The Team Coordinator is responsible for this comprehensive maintenance task.

Annually the Team Coordinator initiates a complete review of the Plan, which may result in major revisions to this document. These revisions will be distributed to all authorised personnel, who should exchange their old plans for the newly revised plans. At that time, the Team Coordinator will provide an annual status report on continuity planning to the Business Continuity Management Team.


Testing the Plan is an essential element of preparedness. Partial tests of individual components and the recovery plans of specific teams will be carried out on a regular basis. A comprehensive exercise of Uprise continuity capabilities and support for designated recovery facilities will be performed on a bi-annual basis.

Organisational Structure

Business Continuity Management Team

The primary team responsible for business continuity of Uprise systems is the Business Continuity Management Team. This team has responsibility for approving actions regarding business continuity planning at Uprise. In the event of a disaster the Business Continuity Management Team will respond in accordance with this Plan and will initiate specific actions for recovery. The following is a list of each position on the Business Continuity Management Team, the current team member assigned to this role, and a brief overview of each member's responsibilities:


Named Individual


Team Coordinator

Giorgio Doueihi

Responsible for development, ongoing maintenance, training and testing of the Plan.

Manages and directs the recovery effort, or the execution of the plan.

Provides liaison with senior Uprise management for reporting the status of the recovery operation.

Operations Manager

Samuel Wemyss

Responsible for the recovery of all data processing systems, including technical restoration of operations at the designated backup site.

Disaster Phases

The six phases of a problem that could evolve into a disaster are listed in the table below:




Detection and determination of a disaster condition


Notification of persons responsible for recovery


Initiation of Uprise Business Continuity Plan


Activation of the designated backup site


Dissemination of Customer Information


Provision of support services to aid recovery

Each subsection below identifies the organisation(s) and/or position(s) responsible for each of these six responses.

Phase 1: Disaster Detection and Determination

The detection of an event which could result in a disaster affecting Uprise’s information processing systems is the responsibility of the staff member or team that first discovers or receives information about an emergency situation developing in one of the functional areas or data centres.

Typical causes of a disaster may include:

  • Systems malfunction;

  • Natural disasters, such as fires, floods, tornadoes and explosions; and

  • Civil disorders, such as riots and sabotage.

Phase 2: Disaster Notification

Uprise staff will follow existing procedures. Uprise staff will monitor the evolving situation and, if appropriate, will then notify the Business Continuity Team (Team Coordinator and Operations Manager).

Phase 3: Initiation of Uprise Business Continuity Plan

Initiation of this Plan is the responsibility of the Business Continuity Management Team Coordinator or any member of the Business Continuity Management Team. If the emergency situation appears to affect the main data centre either through damage to data processing or support facilities, or if access to the facility is prohibited, the Business Continuity Management Team Coordinator will closely monitor the event, notifying personnel as required to assist in damage assessment.

If the estimated outage is less than 72 hours, recovery will be initiated under normal recovery procedures. If the outage is estimated to be longer than 72 hours, then the Business Continuity Management Team Coordinator activates the Business Continuity Plan. The recovery process then moves into the backup phase.

The Business Continuity Management Team remains active until recovery is complete to ensure that Uprise will be ready in the event the situation changes.

Phase 4: Activation of a Designated Backup Site

The responsibility for activating the designated backup is delegated to the Operations Manager. In the absence of the Operations Manager, responsibility will be delegated to an alternate member of staff, to be determined at the time of the incident’s first occurrence.

Within 4 hours of the occurrence, the Operations Manager, or alternate, determines the prognosis for recovery of the damaged functional area.

If the estimated recovery of the site cannot be accomplished within 72 hours preparations for moving to the backup site will be made.

Phase 5: Dissemination of customer information

The Business Continuity Management Team Coordinator is responsible for directing ALL meetings and discussions with customer groups.

Phase 6: Provision of Support Services to aid recovery

During and following a disaster, Uprise staff will be called upon as needed to support the recovery process. They operate under the direction of the Business Continuity Management Team through the Team Coordinator.

In the initial stage of the move to the backup site, the goal is to resume transaction processing first. Transaction processing will resume either at the main data centre or at the designated backup site, depending on the results of the assessment of damage to equipment and the physical structure of the building.

The backup site must support transaction processing for up to 5 weeks. Within this 5-week period, the main data centre will be returned to full operational status if possible.

Part III. Recovery Procedures

Part III itemises the task lists and responsibilities of the Business Continuity Management Team.

Business Continuity Management Team

1. Function

The Business Continuity Management Team (BCMT), as a whole, oversees the development, maintenance and testing of disaster recovery plans addressing all transaction processing applications. In the event of a disaster the BCMT manages the backup and recovery efforts and facilitates the support for customer transaction processing applications and the restoration of normal activities.

2. Preparation Requirements

On an annual basis, the Team will review the overall status of the recovery plan, and report on this status through the Team Coordinator, to Uprise Executives.

Individual team members will prepare recovery procedures for their assigned areas of responsibility. They will ensure that changes to their procedures are reflected in any interfacing procedures.

They will provide for awareness and training in recovery planning. They will also participate in emergency preparedness drills initiated by building safety or other appropriate organisations.

3a. Recovery Procedure (BCMT Team Coordinator)

  • Present recommendations to BCMT for next steps in recovery effort.

  • Begin notification of all involved in the recovery effort. Check to ensure all recovery participants have been notified.

  • Monitor the activities of the recovery team. Assist them as required in their recovery efforts.

  • Report to BCMT on a regular basis on the status of recovery activities.

3b. Recovery Procedure (BCMT and recovery participants)


  • Notify team members and vendors to report to the site for initial damage assessment and clean-up.

  • Review and assess the damage to the facility. List all equipment and the extent of damage.

  • Notify the BCMT Team Coordinator as to the severity of the damage and what can potentially be salvaged.

  • Notify the BCMT Team Coordinator if the area can be restored to the required level of operational capability in the required time frame.


  • Determine which equipment can be salvaged.

  • Begin salvaging any equipment.

  • Meet with the BCMT Coordinator to provide status on salvage operations.


  • Assess the customer relations scope of the emergency, in consultation with senior management if necessary, and determine the appropriate customer relations course of action.  

  • Maintain a log of all information which has been released customers.

  • When appropriate, prepare status updates on a periodic basis for distribution to affected customer groups.

  • Coordinate follow-up customer communication releases after the immediate emergency has passed to present Uprise in as positive light as possible. Possible topics could include: What has been done to prevent recurrence of this type of emergency? What are plans for reconstruction?

Appendix A - Backup Facilities

The following facilities have been identified as designated recovery sites for restoration of processing under the Uprise Business Continuity Plan.

Emergency Operations Centres

The Emergency Operations Centre is the location to be used by the Business Continuity Management Team and their supporting staff as a location from which to manage the recovery process. The specific location will be selected by the Coordinator at the time of the occurrence. The following are the locations available:

Emergency Operations Centres:

9/175 Liverpool Street, Sydney NSW 2000.

INCUBATE, Wentworth Building, The University of Sydney NSW 2006.

Backup Sites (Operational data centres providing emergency computing resources)

AWS – alternate region/zones as directed.

Google Cloud Platform – alternate cloud host as directed.

Scratch Sites (Computer conditioned space available to install equipment)

9/175 Liverpool Street, Sydney NSW 2000.

Appendix B - Notification List

This section contains the names and telephone numbers of managers and personnel who MUST be notified in the event of a disaster. The Business Continuity Management Team Coordinator is responsible for keeping this notification list up-to-date.

Business Continuity Management Team

The Team Coordinator is responsible for monitoring emergencies as they occur. The Team Coordinator is responsible for activation of the full Business Continuity Management Team.



Named Individual



Team Coordinator


0417 160 005


Operations Manager


0408 224 989

Jay Spence