WORKFORCE CONTINUITY PLANNING What is your organization’s ... · −No. 1 provider of U.S. mutual...

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April 12-14, 2010Sheraton New Orleans

Continuity Insights

April 12-14, 2010

Elizabeth A. Borza, CBCP

Global Continuity Services

State Street Corporation

WORKFORCE CONTINUITY PLANNING

What is your organization’s workforce strength?

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Agenda

Ongoing Maintenance

Survey / Polling Questions

Message Center

Alert Notification

State Street Notify - Communication Tool Suite Overview

State Street Corporation Overview

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State Street Corporation (STT)• Founded 1792

• Corporate Headquarters - Boston, MA • Operates in 25 countries and more than 100 geographic markets worldwide • Approximately 40,000 employees and contingent workers

• Support approximately 270 Business Continuity Plans and 260 number of Business Continuity Directors / Alternates and Team Leaders

• One of the world's leading providers of financial services to institutional investors with products and services spanning the entire investment spectrum, including research, investment management, trading services and investment servicing

• Industry Leadership:

− No. 1 provider of U.S. mutual fund custody and accounting services− No. 1 investment manager of U.S. institutional tax-exempt assets

• Assets under custody and administration of $18.8 trillion and assets under management of $1.9 trillion as of December 31, 2009

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Global Continuity Services Functional Organization

ProgramManagement

ProgramProgramManagementManagement

ContinuityRelationshipManagement

ContinuityContinuityRelationshipRelationshipManagementManagement

ContinuitySupportServices

ContinuityContinuitySupportSupportServicesServices

TechnicalContinuityServices

TechnicalTechnicalContinuityContinuityServicesServices

ContinuityInformationServices

ContinuityContinuityInformationInformationServicesServices

Technical Continuity Services• Enterprise Technology Recovery Solution

Development and Implementation• Continuous Availability Implementations• Technology Recovery Exercise Planning and

Execution• Evaluation of System Recoverability

Continuity Relationship Management• Relationship Management between

Business and IT Infrastructure / Continuity• Problem Resolution / Escalation• Business Project Capacity Tracking• Compliance Education and Monitoring• Recovery Exercise Support• Continuity Due Diligence

Continuity Information Services• Continuity Software Tools development

and support• Continuity Compliance Database• Application Continuity Database• Business Continuity Planning

Database (LDRPS)• Continuity Reporting• Program Structure• Offsite Storage Program

Program Management• Operating Plan Mgmt, Audit Mgmt, Program

Standards, Continuity Metrics, SOP Mgmt, Executive Reporting, Corporate Roles & Responsibilities, Annual Control Mgmt

• Interagency (IA) Technology Incident Mgmt Structure, IT Split Operations Compliance, IA Application validation

Continuity Support Services• Incident Management notification, escalation,

execution and debrief• Maintain and manage Continuity Emergency

Operations Centers• Process Continuity Dependency Analysis• Communications / Internal & External• Training, Awareness and Simulation Exercises• Global Continuity Conference• LDRPS Training• Global Continuity Website

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Reg

ion

al In

cid

ent

Man

agem

ent

Str

uct

ure

Senior management liaison between GCS and BUs to provide initial and ongoing incident impact assessment for red and yellow alerts

Negotiates dependency issues Receives update from GCS on

corporate direction and communicates to business executives and BU account managers

Actively participate in EOC with executives and BCM(s)

Incident Manager

Global Incident Response Team

Provides high-level operational impacts and client assessments

Communicates with SCM, BCM, and Management Team to manage incident within line of business

Incident Coordinator&

Global Continuity Services(GCS)

Head of Service Delivery Management Head of Global Continuity Services (GCS) Head of GCS Continuity Support Services Responsible for overall management, coordination

and communication across IM Structure

• Communicates to clients

Executive Management

Senior Continuity Managers*

Business Unit Account

Managers

Business Continuity Directors

Incident SupervisorGCS 24 Hour On-Call Incident

Response Staff

Liaison between GCS and BUs to provide initial and ongoing incident impact assessment for blue and green alerts

Receives updates from GCS on corporate direction and communicates to SCM and BUs

Initiates call tree, coordinates staff safety and communicates status with SCMs, BU Acct Mgrs and executives as appropriate

Manages business emergency operations center, business recovery progress and associated issue resolution

Supports SCMs during red and yellow alerts

*SCMs degree of involvement will vary on incident severity

The Incident Owner is the executive of the Corporate Support Group responsible for resolving the incident. The Incident Owner is the subject matter expert (SME) that develops and

executes the incident action plan in conjunction with the Incident Manager, Incident Coordinator and the Incident Response Team

Head of Operations and Technology Executive Vice President / Operating Group Member Responsible for overall direction, and decision-making

Corporate Audit Corporate Compliance Corporate Finance Corporate Information Security Corporate Travel Enterprise Risk Management Global Human Resources Global Security Global Marketing Global Realty Services Information Technology Legal Regulatory and Industry Affairs Strategic Sourcing

Incident Owner**

Global Incident Management Structure

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Continuity Application Suite

State Street NotifyAutomated Notification

Survey Capabilities Employee Status Line

(Incident Mgmt, awareness & data collection)

Continuity Reporting System

Dependency ReportingCompliance Reporting

The ConduitCorporate Feeds

People SoftLocation (mailstop, building,

country, region)

Continuity Planning System (LDRPS)

Business FunctionsGlobal Processing Timeframes

Business to Applications, Facilities, etc.Global Continuity Compliance Reporting

Continuity Application Repository(Envision)

Future Replacement for Recovery Exercise Database

Technology Recovery Exercise Database

Tracks Technology Recovery Exercise Objectives, Results

and Resolution

Legend

Legacy continuity applications to be retiredStrategic continuity applications

Leverage systems of record as

authoritative source of data

Value Proposition: Integrated information can be leveraged for projects other than BCP to reduce associated costs of gathering and tracking redundant data, i.e. mergers and acquisitions, asset management, risk management, operations, etc.

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1Survey / Polling

Questions

Bi-directional Communication

Alert Notification

Outbound Communication

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Message Center

Inbound Communication

Communication Tool Suite – State Street Notify



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Communication Tool – Automated Team Approach

GCS

Global IRT

EVPs

BCDs

SCMs

Employees

Regional ITRs

TEAMS

Vendors

Challenges:

• Managing the time gap between scheduled feed and when employees depart organization or change business areas

• Keeping contact information current for employees

Process:

• Established a relationship between Continuity Planning Software tool and Notification tool using an integration tool

• Built customized teams in continuity plan with employee contact information

• Import team and contact data to Notification tool on a weekly basis

Benefits:

• Team contact information is automated with minimal administrative intervention

• Ability to act promptly and initiate notification(s) to team(s) during an incident

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Communication Tool – Customized Reporting

Report data may be summarized for all three features:

• Alert Notification

• Message Center

• Survey/Polling Questions

Report Library:

• Customized Reports by summary, individual and detail to track workforce strength, number of recipients receiving alerts and device delivery status by:

Employees by Building, Country and Region Employees by EVP, SVP and BCD Employees by EVP by Building, Country and Region Employees by SVP by Region, Country and Building Employees by BCD by Region, Country and Building

• Canned Reports available for delivery status by notification, responses by contacts, teams and administrators, etc….

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Communication Tool – Implementation

Avoid the Big Bang Approach and Go with a Phased Roll-out

• Phase 1: Notify Alert – delivered with required features and functions

• Phase 2: Notify Message Center – delivered with required phone lines and call flows

• Phase 3: Survey / Polling Questions – delivered with ability to poll teams and/or employees

• Ongoing Phases: to address new releases, feedback to address strategic and tactical project planning and direction

Create a Master Playbook

• Process Flows

• Administrative Guides

• Standard Operating Procedures

Document lessons learned, user feedback, changing priorities and evolving requirements

Perform administrator testing – the more you use the tool, the more comfortable you are using the tool

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Education and Awareness – Preparing Employees

Objective:

• Implement a communication campaign to educate employees on how to prepare and respond to a crisis

• Achieve as close to 100 percent response rate during an incident that requires tracking workforce strength

Methods:

• Education and Awareness – Company Communication Channels– Corporate Incident Management Communication – to notify or update designated

employees or teams about an incident– Corporate Employee Status Line – employees dial in to receive high-level

information on an incident– Combination of Incident Management Communication and Employee Status Line tools– Business Unit Status Line – detailed information about business operations

• Testing of outbound and inbound tools to simulate a critical event– Demonstrates employee’s acknowledgment and awareness of tools– Provides testing experience for employees so they are prepared for an actual incident

• Knowledge Company Media– State Street World – company newsletter to all employees– Incident Management website (company intranet)– V-Card saved to Outlook address book with Message Center dial-in numbers – Wallet Card, Mouse Pad, Refrigerator Magnet, etc…

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1Survey / Polling

Questions


Alert Notification


2 3

Message Center


• Automated outbound notification functionality with the ability to quickly notify teams and individuals by using selected communication devices, i.e. work, mobile and/or home phone, email, etc….

• Pre-defined distribution lists, including Incident Management Teams, employees by building/country/region and senior employees by title are used to expedite notification

• Recipients of an Alert Notification have the ability to join an immediate conference call by pressing “1” from the alert message

• Reporting is available at a summary and detail level to understand the delivery success rate of the notification

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Notify Alert -- Event Types

• Defined alert event types to support various incidents and general business continuity purposes

• Permissioned events to be sent by Global Continuity Services and/or Global Marketing

Event type used to support

workforce tracking

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Notify Alert – Call Flow

From Main Message

Please enter your identification number followed by the pound sign to hear the message

Valid ID

Hello this is the State Street Notify System with an emergencyt

messagePlease call your

manager as soon as you receive this

message.

Please enter your identification number

followed by the pound sign to hear the message

MainMessage

(1st attempt)

Please enter your identification number followed by the pound sign to hear the

message

(2nd attempt)

No

(3rd attempt)

END

YES

Please hold while I verify your identification number

Please try again, that number is not valid

• Alert Initiation:

− Alert with survey questions can be sent on an ad hoc or recurring basis at scheduled times (ie. daily, weekly or monthly)

• Recipient Authentication:

− Recipients authenticate themselves by entering in an ID code before retrieving message and answering survey questions

• Recipient Delivery Status:

– Tracking summary is provided for each alert indicating delivery status (ie., acknowledged, answered, undeliverable, canceled)

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1Survey / Polling

Questions


Alert Notification


2 3

Message Center


• Employee status line enabling employees to retrieve high-level company-status messages during an incident or special event that is non-incident related

• Employees use a toll-free number specific to their country to retrieve the message for their home country or any State Street location globally

• Reports are available to track employees who dialed into Message Center



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Notify Message Center – Call Flow

• Message Center Updates:

− Messages are posted for all or selected regions and countries on an ad-hoc basis

• Recipient Authentication:

− Recipients authenticate themselves by entering in an ID code and the system transfers them to the region and country where they are employed

• Recipient Status:

– Tracking summary is provided for each recipient who called in or didn’t call in to receive message

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Notify Message Center – Employee Status Line

• Toll-free country-specific phone numbers for employees to call anytime from any location to retrieve up-to-date information on the status of the company or incident

• May be used to support, reinforce and follow up on an outbound notification

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Notify Message Center – Supports Global Organization

• Germany

• Switzerland• UAB• UK

• So Africa

• Luxembourg• Netherlands• Poland

• France

• Ireland• Italy

• Channel Islands• Belgium• Austria

EMEA

• Singapore• Taiwan

• India• Japan• Korea

• Hong Kong• China• Australia

Asia Pacific

• Cayman Islands

• Canada• USA

North America

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1Survey / Polling

Questions


Alert Notification


2 3

Message Center


• Automated survey tool with the ability to quickly survey various teams and individuals with the capability to ask up to five questions with yes/no responses via all communication devices, i.e., work, mobile and/or home phone, e-mail, etc.

• Reports are available to track employees who have responded to Notify Alert with polling questions

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Survey / Polling Planning Considerations

• Scheduled Alert Notifications – Pre-defined questions approved by management, populated in the tool specific to the event and ready to go in time of need

• Survey Functionality – Capability to send an Alert with a maximum of five yes/no survey questions to gather information from employees or designated teams

• Recurring Alerts – sending an Alert according to scheduled time(s), such as every day, week or month

• Survey Active Period – Ability to send survey questions with a specified start and end date/time to collect survey responses

• Combine Multiple Alerts – Functionality to combine Alerts with identical polling questions and different teams to compile data from multiple alerts to produce a blended summary of data

• Report Scheduler – Functionality to run period reports on alert status, recipient status and summary of survey questions

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Survey / Polling Questions – Call Flow• Survey Response Functionality:

− Interactive using touch-tone responses to survey questions

• On-Demand Survey Questions:

− Pre-scripted and pre-approved survey questions ready to go in time of need

• Gather Data:

– Information by employee or designated teams defined in Notify

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Process to Activate an Alert with Survey/Polling Process to Activate an Alert with Survey/Polling Question(sQuestion(s))

Inc

iden

t O

ccu

rs

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Use Case – Workforce Continuity Planning“If the workforce isn’t a part of the process, then the business will fail.”

--2007 Enterprise Management Associates

• Definition• Accounting for your employees and knowing the number of employees working or not working

on a daily basis is critical to keeping the business running and to remain operational

• Gathering data on workforce strength and distributing it to business area management ensures organizational resiliency

• Keeping all employees informed regarding the status of the company, the business and business impact is essential

• Business Drivers• Understand the safety and welfare of employees across the organization in more detail

• Implement a process to conduct bi-directional communication with employees through workforce continuity survey questions

• Meet global and regional regulatory requirements

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Use Case – Workforce Continuity Planning

Objective: To understand where and if employees are working during an event that reduces the number of employees who can get to the office

Use Case:

• Ensure workforce continuity is a part of your business continuity plan so that employees can continue working

• Access: Employees are equipped with a virtual infrastructure that enables them to work efficiently from remote locations (ie., ASG, VPN)

• Ability to Work: IT infrastructure is up and running to ensure user access

• Tie employees to a critical business process(es) (or business function) within a continuity planning tool

• Establish RTOs and RPOs are understood to better assess business impact on critical business processes

• Pre-identify the business impact of a workforce interruption

• Establish method of communication with employees

• Prepare employees through testing, training, internal marketing and awareness programs so they know what to do during a critical event

• Automated communication system is up and running in the event of a disaster

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Ability to determine workforce strength

across an organization

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Workforce Continuity – Process Management

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Workforce Tracking – Customized Reporting

Report Library: Customized Reports by summary, individual and detail

Employees by Building, Country and Region Employees by EVP, SVP and BCD Employees by EVP by Building, Country and Region Employees by SVP by Region, Country and Region Employees by BCD by Region, Country and Region

Summarized Data: totaling employees in survey according to the following:

- From Undecided Location

- From Different Location- # of Employees Undecided- Undeliverable

- From Office- # of Employees Not Working- Did Not Respond

- From Home- # of Employees Working- Responded

Location StatusWork StatusResponse Status

Provide reports containing responses to survey questions

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Communication Tool Suite – Ongoing Maintenance

1Survey / Polling

Questions


Alert Notification


2 3

Message Center


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Ongoing Maintenance

• Schedule client management monthly meetings to review new product and technology releases to plan for the next generation system to support your organization

• Keep intact team members who are subject matter experts for each part of the tool to have direct access and manage their distinct areas of responsibility (ie., feed process, team management, testing, etc.)

• Perform periodic testing of all tool functionality on a rotational schedule

• Document new or enhanced business and/or technical requirements

• Maintain Master Playbook Documentation

• Train administrators on new/amended program and process changes

• Attend User Group Meetings

• Network with industry practitioners to determine best practices

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Questions?

The entire presentation, whether in whole or in part, is considered "Limited Access" under State

Street Corporate Information Security Policy 27001/27002. As such, this information is designated

solely for the use of the individuals attending today's meeting, and any reproduction without the

express consent of State Street Corporation is prohibited.

Elizabeth A. Borza, CBCPGlobal Continuity Services

State Street [email protected]

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