Incident Management Procedures Guide

Incident Management & Communication
Incident Management & Communications
Procedures Guide
Version 1.91
Last Updated:
December 2, 2009
This page left intentionally blank
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.
Severity Level Definitions

SeverityLevel
ServiceImpact
3.0
Enterprisewide Immediateneedfor service
2.5
Enterprisewide Noimmediateneed forservice
2.0
Limited Singledepartment affectedbyservice interruption AgedGeneralUser Ticket ElevatedUser Ticket (Director,Manager) Triggersinformal communication plan Manager UniversityIT Manager LevelIIISupport
1.5
SingleorNone Singleuserservice impact NoServiceImpact withcomplex elevatedresolution GeneralUserTicket Resolutionby TechLead/System Lead LevelIII: TechLead,System Lead LevelIIISupport LevelIISupport CallAgent
1.0
SingleorNone Singleuserservice impact NoServiceImpact withelevated resolution GeneralUser Ticket Resolutionby SubjectMatter Expert(SME) LevelII: SubjectMatter Expert LevelIISupport CallAgent
0.0
SingleorNone Singleuser serviceimpact
Scopemaynotbedefined
Scopeisdefined
NoServiceImpact GeneralUser Ticket Resolutionby ITCenterstaff CallAgent CallAgentOnly
SeverityLevel Defined
Completeserviceoutage Triggersformal communicationplan Multipledepartments, groups,andindividuals Enterprisewideimpact Universitywidesecurity violation/compromise
VIPUserTicket Triggersformal communicationplan Director UniversityITDirector UniversityITManager IMOC AppropriateUniversity ITPersonnel ITCenter
DecisionMaker
IMOC/Director UniversityITDirector UniversityITManager IMOC CIOOffice
Involvement SeniorManagement AllUniversityIT ITCenter ISD (ifDataCenteror NetworkRelated) WhoisNotifiedByWhom Immediate Notification IMOCbyDirector CIOOfficebyIMOC SeniorManagement byCIOOffice AllUniversityIT byHyperReachorEmail ITCenterbyDirector ISDbyHyperReach Communication PlanType Communication Methods Formal* DirectContact (phone,inperson) HyperReach
DirectorbyManager IMOCbyDirector ITCenterbyDirector AllUniversityIT byHyperReachor Email Formal* DirectContact (phone,inperson) HyperReach
ManagerbyLevel III UserbyTicket Assignee
LevelIIIbyLevelII UserbyTicket Assignee
LevelIIbyCall Agent UserbyTicket Assignee
CallAgentby User UserbyTicket Assignee
Additional Notifications
Informal DirectContact (phone,inperson)
Informal ServiceTicket
Informal ServiceTicket
Informal 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 Management Steps Normal Business Hours (8:00am 5:00pm) After Hours
Manager On Call (MOC)
Determines if University IT Security, University Security, University Facilities, and/or Rochester Management need to be engaged. If yes, engages each required units (6, 18, 19, 20). Notify Unit Director Declares Severity 3 Incident. Notifies Customer Contact Centers: IT Center (5-2000) and NC Ops Center (4-4357) and DC Ops (5-1205). If no one is available to answer the call, the answering service process will kick in. Direct IT Center to maintain CHRON until scribe is identified. Notifies IMOC (3). Provides them with a brief of the situation. Assembles and leads technical teams/technicians that must be on-site unless otherwise directed by IMOC. Determines meeting location and initiates MOC Phone Bridge if needed (1-866-603-2932 Access #6608484 Pin #9058 (Host only)) Identifies relevant vendors that may be needed. MOC will determine if techs need to forward their phones (internal calls only) allowing uninterrupted problem solving.
Determines if University IT Security, University Security, University Facilities, and/or Rochester Management need to be engaged. If yes, engages each required unit (6, 18, 19, 20). Notify Unit Director Declares Severity 3 Incident. Notifies Customer Contact Centers: IT Center (275-2000) and NC Ops Center (274-4357) and DC Ops (275-1205). If no one is available to answer the call, the answering service process will kick in. Begins and maintains CHRON until scribe is identified. Notifies IMOC (3). Provides IMOC with a situation brief and determines on-site support needs. Determines resources that need to be on-site. Potential use of IT Alert (www.g2alert.com) Assembles and leads technical teams/technicians that must be on-site unless otherwise directed by IMOC. Determines meeting location and initiates MOC Phone Bridge if needed (1-866-603-2932 Access #6608484 Pin #9058 (Host only)) If incident is over 12 hours, coordinates staffing schedule Identifies relevant vendors that may be needed. If the IT Center is not open, MOC for affected department(s) is responsible for coordinating customer communication. 8

Management Steps Normal Business Hours (8:00am 5:00pm) After Hours
Communication Flow
IT Center
If the IT Center is open, provide customers with
If IT Center is open, provide customers with IMOC-
IMOC-supplied information
Ensures MOC(s)/MOC Designee of affected
supplied information. If neither center is open, MOC for affected department(s) is responsible for this communication.
Ensures MOC(s) of affected department(s) was

department(s) was notified and is aware of the situation. Notifies both service center staff members. If Towne House evacuation, contact NCS Manager on Call to forward Operations phone numbers 59194 & 5-9195 to 5-2000 Notifies University IT-ORG. Communication should provide a brief of the situation, what the solution is, and if the event is still ongoing. Use IT Alert (www.g2alert.com). Provides guidelines for customer communication as determined by the IMOC, MOC, and Communications Manager or other key players as needed based on incident type. Triages calls and provides updates as requested by MOC. The Networking Operations Center serves as a hub to coordinate the communication with customers and University IT contacts. Both centers are effective at handling this communication. Keeps the customer list up-to-date and monitors the service impact by customer base through direct customer contact. Periodically checks in with customers to assess the situation (Are fixes working? Are users still experiencing problems?) be sure to include University faculty, staff, and students in relevant locations.
notified and aware of the situation.

If Towne House evacuation, contact NCS Manager
on Call to forward Operations phone numbers 59194 & 5-9195 to 5-2000 Provides guidelines for customer communication as determined by the IMOC, MOC, and Communications Manager or other key players as needed based on incident type. Triages calls and provides updates as requested by MOC. The IT Center serves as a hub to coordinate the communication with customers and University IT contacts. Both centers are effective at handling this communication. Keeps the customer list up-to-date and monitors the service impact by customer base through direct customer contact.
Periodically checks in with customers to assess the
situation (Are fixes working? Are users still experiencing problems?) be sure to include University faculty, staff, and students in relevant locations.
Incident Manager On Call IMOC List

Contact Operations (275-9194) or (275-1205) for most current IMOC list Group covers the following area(s):
The role of the Incident Manager On Call is to lead Severity 3 and Severity 2.5 incidents. The Incident Manager On-Call is available 24x7.
Schedule
ROTATION START DATE 2009 May June July August September October November December 2010 January February March April PRIMARY Crowley Wirley Barden Myers Fredericksen Crowley Wirley Barden SECONDARY Wirley Barden Myers Fredericksen Crowley Wirley Barden Myers TERTIARY Barden Myers Fredericksen Crowley Wirley Barden Myers Fredericksen OTHER
Myers Fredericksen Crowley Wirley CALL FIRST 275.5458 275.8235 273.1714 273.1804 275.5615
Fredericksen Crowley Wirley Barden CALL SECOND cell - 317.3398 cell - 733.1365 cell - 313.4003 cell - 208.0939 cell - 638.2591
Crowley Wirley Barden Myers 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
Personnel
NAME Barden Crowley Fredericksen Myers Wirley
10

Communication Flow
Incident Manager On-Call (IMOC)
Evaluates the situation and gathers all the facts from MOC. Notifies CIO and Directors (5,7). Initiates ISD Phone Bridge, if ISD systems are involved 1-866-945-2255 Access Code: 608965# Initiates IMOC Phone Bridge, if necessary 585-273-3311 Access Code 144357 or 1-866-871-2663 Access Code 144357 Call Information Security MOC (DCS Operations [2751205] can provide contact number) to review situation and determine if there has been a breach [SKIP this step if it is clear that the event is NOT security related; see next page for detail]. Information Security Office will make one of three decisions (see item 6 for details): 1. Security Controlled 2. Security Related 3. No Security Impact Engages Communications Manager and Scribe (8,9). Contact DCS Production Control MOC to review impact of incident with scheduled production jobs. Internal communication should reflect potential impacts. Contact SMS group to setup Service Monitoring (Uptime) if necessary Notifies University IT Computer Store/Sales if Blackboard, Flex, or the Secure 1 server (front-end of CS online store) is down (10). Otherwise, CSS can be notified as part of University IT Org. Provides regular updates to the CIO office. Scheduled IMOC (not acting IMOC) schedules and leads post-mortem/debrief session within one week of incident.
Evaluates the situation and gathers all the facts from

MOC.
Notifies CIO and Directors for after hour incidents. Initiates ISD Phone Bridge, if ISD systems are
involved
1-866-945-2255 Access Code: 608965#
Initiates IMOC Phone Bridge, if necessary 585-273-3311 Access Code 144357 or 1-866-871-2663 Access Code 144357 Calls in Information Security MOC to review situation
and determine if there has been a breach [SKIP this step if it is clear that the event is NOT security related; see next page for detail]. Information Security Office will make one of three decisions (see item 6 for details): Security Controlled, Security Related, or No Security Impact
Coordinates CHRON and scribe duties. Calls in staff

for communications and scribe duties if needed.

Contact DCS Production Control MOC (DCS

Operations [275-1205] can provide contact number) to review impact of incident with scheduled production jobs. Internal communication should reflect potential impacts.

Contact SMS group to setup Service Monitoring

(Uptime) if necessary
Communicates with key people & customers during

event.
Prepares a communication for release to University

IT-ORG and external groups in early AM next business day. Communication should provide a brief of the situation, what the solution is, and if the event is still ongoing. Use IT Alert (www.g2alert.com).

Meets next morning with communications manager

to discuss future communications and follow-up (if required).
Scheduled IMOC (not acting IMOC) schedules and

leads post-mortem/debrief session within one week of incident.
11

Communication Flow
University IT Technical Staff / Technicians on Call
Technicians will be required to be on-site unless otherwise directed by the IMOC or MOC. If MOC determines, technicians can forward internal calls for short periods of time. Troubleshoots problem and begins working on solutions. Retrieve Technical Recovery Guides (TRGs) for services affected. Provides regular updates to MOC. Participates in vendor calls as needed. Periodically checks in with other University IT staff members to assess the situation be sure to include members in other locations. Avoid incoming customer calls. These are distractions to solving the issue at hand. If they are calling your phone, route them to the Call Centers (2). Do not speak with internal (Currents/Campus Times) or external (D&C/TV stations) media. Direct them to University Communications.
Technicians will be required to be on-site unless otherwise directed by the IMOC or MOC. Troubleshoots problem and begins working on solutions. Retrieve Technical Recovery Guides (TRGs) for services affected. Provides regular updates to MOC. If offsite, calls into MOC Phone Bridge if needed (1-866-603-2932 Access #6608484) Participates in vendor calls as needed. Periodically checks in with other University IT staff members to assess the situation be sure to include members in other locations. Avoid incoming customers calls. These are distractions to solving the issue at hand. If they are calling your phone, route them to the Call Centers (2). Do not speak with internal (Currents/Campus Times) or external (D&C/TV stations) media. Direct them to University Communications. May be onsite or working from home as determined by MOC. Participates in discussions lead by MOC. Provides support to technical teams. Provides any other support that may be needed to help resolve the incident.
University IT Director - of affected unit(s)
Participates in discussions lead by MOC and IMOC. Provides support to technical teams. Provides any other support that may be needed to
help resolve the incident.
12

Communication Flow
Information Security
Security Controlled Examples: Missing person Crimes (domestic and international) Major security breach Security Related Examples: Worm outbreak Virus problems
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.
May be onsite or working from home as determined by the type of security incident. 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
Receives details about incident from IMOC. Provides incident brief to Provost and President
Receives details about incident from
(12,13). Provides business perspective (big picture) for the incident.
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.
14

Communication Flow
Communication Manager and/or Other Designated University IT Employees

(Set up where main communication is taking place)
Gathers details about incident. 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 (2,10). Identifies channels for post-incident follow-up and helps prepare messages for those channels. Retain copy of all communications for debrief session and for audit purposes.
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)
Takes detailed notes during event to help complete
the CHRON and serve as a record of the event. Types up info in CHRON template and distributes to team at regular intervals during incident. Prepares and send final CHRON at close of incident. Provides this info for debrief meeting.
Picks up in the AM of next business day. If incident is closed: Types up info in CHRON template and distributes to team at regular intervals during incident. Prepares and send final CHRON at close of incident. Provides this info for debrief meeting. If incident is still open: Reviews CHRON already completed. Continues CHRON and takes detailed notes during the event. Types up info in CHRON template and distributes to team at regular intervals during incident. Prepares and send final CHRON at close of incident. Provides this info for debrief meeting. In the AM of next business day: Uses guidelines for communications to customers when responding to calls that may come in from various areas. In the AM of next business day: Uses guidelines for communications to customers when responding to calls that may come in from various areas.
10
University IT Office Admins

11
Uses guidelines for communications to customers
when responding to calls that may come in from various areas.

Uses guidelines for communications to customers
University IT Staff Members

12
when responding to calls that may come in from various areas.

Receives regular updates from CIO. Disseminates info as needed to key staff members. Receives regular updates from CIO. Disseminates info as needed to key staff members.
Provost
13
President
16

Communication Flow
14
Other University Executives

15
Students
16

Faculty / Departments or Divisions

17
University Staff
18
Participates as required by incident. Participates as required by incident.
University Security
19
University Facilities
20
Participates as required by incident.
Participates as required by incident.
Rochester Management
21
Participates as required by incident, specifically
Participates as required by incident,
when related to the Towne House building. 461-9440 or 467-2442 after hours
specifically when related to the Towne House building. 461-9440 or 467-2442 after hours
University Legal
22
when security related.

specifically when security related.

University HR
when security related.
specifically when security related.
17
Communication Call Log

Last revised On: 7/15/07
Who to contact 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

1st Contact At: 2nd Contact At: 3rd Contact At: 4th Contact At:
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
Security Level Definitions

Department: Information Security Guiding Criteria
Security Controlled (Sec. 3)

Definition Information has the potential of being disclosed or altered that would: 1. Violate Laws, Regulations or Contractual Obligations 2. Significantly impact the reputation of the University OR A significant and growing number of SERVICES are rendered unavailable without any operational remedy. 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.
Security Related (Sec. 2)

Definition Information has the potential of being disclosed or altered that would: 1. Cause Significant Harm to the University 2. Alter or disclose information regarding an individual or group in an unauthorized manner 3. Alter the results of Research or Business Processes in an unauthorized manner. OR A significant and growing number of SYSTEMS are rendered unavailable without any operational remedy. Examples Student Changes Grades. Researcher changes research data Worm outbreak is spreading rapidly across ResNet.
Security Notified (Sec. 1)

Definition 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 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.
Internal Communications Template

(Internal University IT Staff Only)
Communications Contact: Incident: Communication Frequency:
Release Date:
1 Time Only -
Initial Comm + Multiple Updates
University IT Internal Audience:

(check all that apply)
Who needs the information?
University IT ALL Employees ---------------CIO Directors University IT Managers University IT Office Admins University IT Operations Centers (IT Center/NCS
Ops/DCS Ops)
Channels:
Whats the best way to reach them?

Email Web Phone/Conf. Bridge ITENS/University IT Home Page G2 Alert ext. 3-3999 In Person/Meeting Other
Executive Support Team University IT Student Workers (IT Center) N&C EC A&A S&P Computer Sales/Store University IT Finance & Admin Other
University IT Hotline for follow-up/summary
What information do they need?

Key Facts: Item 1 Item 2 Item 3 Item 4 Item 5 Item 6
Initial Communication Copy
Version 1:
Version 2:
Version 3:
Special Instructions/Notes: Communication Channel
University IT Audience
Assigned To
Copy Version
Updates
Time Date Message Channels
Page 22
Last Revised On: 4/17/06
External Communications Template

(External University Community and Press)
Communications Contact: Incident: Communication Frequency: Release Date:
1 Time Only
Initial Communication + Additional Updates as Needed
External Community Audience: - - - - - - - - - - - - - - - - - All Faculty (All Schools) Staff All Students (All Schools) Student Workers (University IT) Residential Assistants (RAs) University Administration Department Administrators Deans (All Schools) Provost President VP of Communications Medical Center/ISD Medical Center/Staff Medical Center/ Communications Center Highland Hospital Communications Center Memorial Art Gallery Telephone Directory Contacts Key University IT Contacts University Legal University Security Office University Facilities University Human Resources Dept. Campus Times/Currents Local Press/TV and Print
Entire University
Channels:
Who needs the information?
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
Other (Use this area for communications to specific Colleges)
What information do they need?

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)
University IT Technician Form: Incident Management & Communications

Time Alerted Date Time
Message of initial alert:
Alerted by
Notified OPS
275-9194 275-9195 220-3283 pager
Time OPS Notified
Vendor Case / Contact:
Systems affected
Services affected
MOC Conference Call Bridge & Pin 1-866-603-2932 pin 6608484# MOC IMOC
IMOC Conference Call Bridge & Pin 1-866-871-2663 or 273-3311 pin 144357# SysAdmin (s)
Time
Event
MOC Notification & Updates
External Communication Matrix
External To University IT
College of Arts, Science, and Engineering Deans Vice Provost and Dean of the College Faculty Dean of The College Dean of the School of Engineering and Applied Sciences Vice Provost and Dean of Research and Graduate Studies Dean of Sophomores Dean of Freshmen School of Engineering Computing and Networking Group (CNG)
Who To Contact
Who Can Contact (from University IT)
Email
Web
Phone
Peter Lennie Richard Feldman Robert Clark Wendi Heinzelman Vicki Roth Marcy Kraus John Simonson John Strong Jim Prescott Bob Lindholm
lennie@rochester.edu richard.feldman@rochester.edu robert.clark@rochester.edu wendi.heinzelman@rochester.edu

vicki.roth@rochester.edu marcy.kraus@rochester.edu
3-5000 3-5001 5-4151 5-4153 5-9049 5-2354 5-3106 5-4873 5-8265 5-0870
john.simonson@rochester.edu
Department Heads All Faculty All Students Eastman School of Music Dean/Director Computing Services School of Medicine & Dentistry Dean David Guzick david_guzick@urmc.rochester.edu 5-0017 Doug Lowry
dlowry@esm.rochester.edu
jbeyette@esm.rochester.edu
263-2807 4-1160
Jeremy Beyette
26
School of Nursing Dean
Who To Contact
Email
Web
Phone
Kathy Parker
kathy_parker@urmc.rochester.edu
5-8902
William E. Simon Graduate School of Business Administration Mark Zupan Dean Department of IT Joe Scacchetti
mark.zupan@simon.rochester.edu joe.scacchetti@simon.rochester.edu
5-3316 3-5215
Margaret Warner Graduate School of Education and Human Development Raffaella Borasi Dean Warner School Information Technology Service River Campus Libraries Dean Susan Gibbons Mike Bell Dave Garcia
raffaella.borasia@rochester.edu
5-8300
sgibbons@library.rochester.edu
michael.bell@rochester.edu
5-4461 5-6875
Information Technologies
Medical Center/Strong Health/Highland Information Systems Division (ISD) Communications Center (Strong) Communications Center (Highland) Security (Strong) Security (Highland) Facilities (Highland)
Jerry Powell
jerry_powell@urmc.rochester.edu
784-6118
27
University Administration President Deputy to the President Provost Provost Exec Assistant Assistant Provost VP & General Secretary, Senior Advisor to the President, and University Dean
Who To Contact
Email
Web
Phone
Joel Seligman Lamar Murphy Ralph Kuncl Melinda Smith Kathleen Moore Paul J. Burgett melinda.smith@rochester.edu kathleen.moore@rochester.edu pburgett@admin.rochester.edu 5-5931 5-2497 3-2284 lamar.murphy@rochester.edu 6-3262
VP of Communications Communications Administrator Sr. VP of Finance & Administration/CFO Admin. Asst. Sr. VP for Institutional Resources Secretary Sr. VP & Chief Advancement Officer Sr. VP & Vice Provost for Health Affairs and Medical Center CEO VP and General Counsel
William Murphy Maureen Baisch Ronald J. Paprocki Helen W. Kostizak Douglas W. Phillips Dianne Wittman James D. Thompson Brad Berk Sue S. Stewart maureen.baisch@rochester.edu rpaprocki@admin.rochester.edu hkostizak@admin.rochester.edu dphillips@admin.rochester.edu dianne.wittman@rochester.edu jim.thompson@rochester.edu bradford_berk@urmc.rochester.edu sue.stewart@rochester.edu
5-4124 5-4127 5-2800 5-2792 5-3311 5-8051 3-2158 5-3407 3-5824
28
Memorial Art Gallery The Mary W. and Donald R. Clark Director Laboratory for Laser Energetics Director LLE Computer Support
Who To Contact
Email
Web
Phone
Grant Holcomb
gholcomb@mag.rochester.edu
6-8902
Robert McCrory Alex Rysken
rmcc@lle.rochester.edu arys@lle.rochester.edu
5-4973 5-5333
Other University Departments Security Office Facilities Human Resources Office of Communications Public Information Coordinator Publicist Editor, Currents Web Editor Sharon Dickman Helene Snihur Jenny Leonard Lori Packer sdickman@admin.rochester.edu hsnihur@admin.rochester.edu jleonard@admin.rochester.edu lori.packer@rochester.edu 5-4128 5-7800 5-6076 5-5277 ask-urhr@rochester.edu 3-4567 5-8747
Other Telephone Directory Contacts Key University IT Contacts Residential Assistants University IT Student Workers
29
University Health Services (Director) International Services Office (Director) Office of Technology Transfer Susan B. Anthony Center for Women's Leadership
Who To Contact
Email
Web
Phone
Cary Jensen
cary.jensen@rochester.edu
5-8928
Nora Bredes Gerald Gladstein Frederick Jefferson Ruth Lawrence Kathy Sweetland
nora.bredes@rochester.edu
5-9283
University Intercessors
Media (Internal to U of R and External) Campus Times Currents Digest Currents (Print) Local TV Stations Local Newspapers Local Radio Stations Various Jenny Leonard Jenny Leonard Sharon Dickman Sharon Dickman Sharon Dickman
editor@campustimes.org
jenny.leonard@rochester.edu jenny.leonard@rochester.edu sharon.dickman@rochester.edu sharon.dickman@rochester.edu sharon.dickman@rochester.edu
5-5342 5-6076 5-6076 5-4128 5-4128 5-4128
30
Incident Command Center Wall Charts
Respond
Time Action
Are Employees Safe? x13 Contact Security (if necessary) x13 Contact Facilities (if necessary) x3-4567
Injured: Security Contact: Personnel On-Site: Contact Information:
Contact Rochester Management (if necessary) University IT Security Controlled Event? { Contact Information}
SECURITY CONTROLLED EVENT if either of the following exist: 3. Information has the potential of being disclosed or altered that would: a. Violate Laws, Regulations or Contractual Obligations b. Significantly Impact the Universitys Reputation OR A significant and growing number of SERVICES are rendered unavailable without any operational remedy.
4.
Contact University IT Security immediately University IT SECURITY WILL COORDINATE RECOVERY ACTIVITIES/COMMUNICATIONS
31
Time
Action
University IT Security Controlled Event? { Contact Information}
2. SECURITY RELATED EVENT if either of the following exist: 1. Information has the potential of being disclosed or altered that would: 4. Cause Significant Harm to the University 5. Alter or disclose information regarding an individual or group in an unauthorized manner 6. Alter the results of Research or Business Processes in an unauthorized manner. OR A significant and growing number of SYSTEMS are rendered unavailable without any operational remedy.
Contact University IT Security IMOC will engage University IT Security to assist in recovery SECURITY NOTIFICATION EVENT if either of the following exist: 1. 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
CONTACT University IT SECURITY NOTIFICATION ONLY
Severity 3 Declared Incident Command Center Contact Information Help Desk Notifications CIO Notification
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#
IMOC Comm Bridge Setup

x33311 or 1-866-871-2663 144357#
Notate Time Sent in Command Center Information
MOC Comm Bridge Setup

1-866-609-2932 6608484
Notate Time Sent in Command Center Information
IT Alert Sent
www.g2alert.com
Notate Time Sent in Communication Updates
University IT-ORG Email Sent University IT Notices Updated x3-3999 NCS Notification 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
35
Command Center Information

Address: Fax #:
Location
Phone # Access #/Pin Code
IMOC IMOC Communication Conference Bridge Only

MOC Conference Bridge ISD Conference Bridge
MOC/Technician Communication Only

608965
If necessary
1-866-945-8855
36
Personnel IMOC
IMOC Communication Assistant
Name
Contact Info
Location
Scribe
Communication Manager
MOC AA MOC DC MOC ISO MOC NC
37
Communication Updates
Vehicle IT Center Data Center Operators IT Alert University IT Organization Updated University IT Notices Updated Phone Update 273-3999 Contact Info 275-2000 275-9194 275-1205 https://g2alert.com
1. University IT-ORG email list (if avail) 2. IT Alert 3. Phone Tree
Performed By
Last Update
38
University IT Contact
Service/ Server
Vendor Contact Information Company Contact Name
Phone #
Case #
39
IT Alert (G2Alert) Steps to Send a Severity 3 IT Alert:

1. 2. 3. 4. 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
Message Setup Select Message Create A Message Time of Day Business Hours After Hours Choose Create A Message Choose Start with a Template, and choose appropriate timeframe template Business Hours - Template After Hours - Template
If Creating a New Message
Remember: You must fill in EACH method below for the message to reach recipients via that method (Text, SMS and Voice) Message Name Voice Messages Email Messages
Type as you would say it; you may need spaces between letters
***** Change the Message Name *****
Change {service/application/server/event} to reflect actual incident.
Change {service/application/server/event} to reflect actual incident.
Text Messages Maximum 108 characters Send Message Setup Select Message Press Send go to Sending Message below Business Hours Press Send go to Sending Message below After Hours
If Editing a Existing Message

Time of Day Choose Edit or Copy
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 Change message to reflect actual incident. Press Send go to Sending Message below Change message to reflect actual incident. Press Send go to Sending Message below
Sending Message
Message Setup Business Hours List Request Confirmation Of a Receipt Prompt Voice Message Recipients to Join A Conference Call Device Preferences Send Alert No Choose Send to ALL Time of Day After Hours (CL) ALERT: UnivIT Only DIRs/MGRs (CL) ALERT: ISD Only MOCS & Bat Line Always Choose Yes Yes Choose Send to Preferred Only Always choose Now
5. Press Continue in the lower right hand corner. 6. After verifying the Send Message, choose Send. This will invoke the service to distribute the message.
Version 1.9 Confidential 40
ISD Manager On-Call - University IT (Data Center Services) Alert Notification

University Data Center Services uses IT Alert, automatic notification software, that contacts specified individuals automatically, via cell phone, pager, home phone, e-mail, fax, or other, in the event of an emergency. The ISD Manager on Call will be contacted by IT Alert for any Severity 3 incident. At all hours, IT Alert will contact the ISD Manager on Call listed below. NOTE: The ISD Manager on Call will follow the ISD Incident Management Procedures to activate and contact ISD Management as applicable. Single system outages will be escalated through normal University IT escalation procedures. IT Alert will not be activated. The ISD Manager on Call will be contacted by each of their communication devices. Contact will be made in the order shown below, pager, cell phone, work phone, home phone, and email. The pecking order will continue until all of your devices have been reached. The IT Alert Notification contacts all devices; it does not stop if it reaches you by one of your contact devices, even if you have confirmed receipt.
ISD Manager On Call Schedule 2009 (see next page)
Version 1.9 Confidential
41
ISD Manager On Call Schedule 2009
Section 2. Contact and Communication Information

StartTime EndTime 6/16/09 6/16/09 7/7/09 7/7/09 7/21/09 7/21/09 7/6/09 7/6/09 7/20/09 7/20/09 8/3/09 8/3/09 MgrPerson OnCall RickHaverty DaveLindsey DaveLindsey DianeKoretz ChipNimick GaryScialdone Primary Secondary OnCall Primary Secondary Primary Secondary Primary Secondary Business Phone 7846126 7842949 7842949 3410403 7846115 7842480 /2751120 784 2480/275 1120 7848322 7848322 7842435 7842435 7846002 7846002 7846115 3410403 7846121 7846121 7848338 7848338 7844275 7848275 7848338 7848338 7848331 7848331 7846159 PagerOrCell Phone 3130485 3145665 3145665 7348976 4159053 3509588 HomePhone 5866384 3155898776 3155898776 3155247430 6717570 7871639
8/4/09 8/4/09 8/18/09 8/18/09 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 11/3/09 11/17/09 11/17/09 12/1/09 12/1/09 12/15/09 12/15/09
8/17/09 8/17/09 8/31/09 8/31/09 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
GaryScialdone NancyBales NancyBales SueGraves SueGraves TedVaczy TedVaczy ChipNimick DianeKoretz KathrinKenny KathrinKenny TinaDePalo TinaDePalo
Primary Secondary Primary Secondary Primary Secondary Primary Secondary Primary Secondary Primary Secondary Primary Secondary Primary Secondary Primary Secondary Primary Secondary
11/16/09 HalleMcNaney 11/30/09 HalleMcNaney 11/30/09 TinaDePalo 12/14/09 TinaDePalo 12/14/09 MartyBush 1/3/10 MartyBush 1/3/10 DawnRobinson
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 3353276 3353276 6242792 6242792 6717570 3155247430 3155244821 3155244821 5079270 5079270 2451884/8801022 2451884/8801022 5079270 5079270 4583519 4583519 3831213
42
Appendix
43
Roles & Responsibilities

Incident Manager On-Call (IMOC)
The Incident Manager On-Call is a Director-level role and is responsible for managing University IT-wide incidents. The IMOC serves as a liaison to University executive offices and the University IT Managers On-Call during SEVERITY 3 incidents (defined below). They are on-call for one month, and are supported by a secondary and tertiary backup. The IMOC is available 24x7 during their monthly assignment. Definition of Severity 3: The problem has a critical impact on key functions within the University or its reputation. Resolution takes highest precedence.
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.
IMOC Schedule Changes If an IMOC is unavailable (sick, vacation, etc.), the IMOC is responsible for the following: 1. Notifying the secondary or tertiary IMOC to serve in their place 2. Notify University IT Production Control of the change in schedule a. Use the ITS Production Control distribution list in the GAL b. Include start and stop dates and times for schedule modification University IT Production Control will provide the IMOC update to the following: 1. SharePoint On-Call List https://sharepoint.its.rochester.edu/sites/DataCenter_OnCall/default.aspx 2. University IT Directors DL IT Leadership in the GAL 3. University IT Managers ITS Managers in the GAL 4. IT Centers univithelp@rochester.edu and/or 5-2000 5. Ida Gatto ida.gatto@rochester.edu and/or 5-9510 Version 1.9 Confidential
44
Manager On-Call (MOC)

The Manager On-Call is a Manager-level role and is responsible for managing business unit level incidents. The MOC serves as a liaison for after hours notifications of the situations that are subject to off-hours resolution; receive calls from the after hours dispatch service, provide severity level review, triage/filter and dispatch staff as required. They are generally on-call for one week, and are supported by backup MOCs. The MOC is available 24x7 during their assignment. For severe service outages referred to as SEVERITY 3, the MOC is required to contact the Incident Manager On-Call (IMOC). Definition of Severity 3: The problem has a critical impact on key functions within the University or its reputation. Resolution takes highest precedence. MOC is responsible to: Ensure that each call is reported [Chronology, HEAT or some other logging tool?] Only summary information needs to be recorded for all of the single user problems. Severity 2 and Severity 3 problems require communication as specified to ensure proper notification of service outages and also require logging basic chronology of events to report significant progress in solving problems. General Rule - State what you can do for the customer and not what you cant do by positive negotiations. Offer your office phone number to the IT Center and the Operations Center number for inquiries by the customer on the next business day. Update the University IT MOC list, and individual unit on-call schedules should be used to determine the appropriate triage and notification(s) Certain service disruptions require contact with general dispatch points: 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. Version 1.9 Confidential 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.
Communications Manager Responsibilities: Gathers details about incident. Crafts messages for internal (University IT Only) and external (University-Wide) use. Works with Office of Communications if communication outside of the University is required. Depending on the situation, the Communications Manager may or may not be asked to speak to the press. But should never do so unless given instructions to. 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 a consistent message. Identifies channels for post-incident follow-up and helps prepare messages for those channels. Retains copy of all communications for debrief session and for audit purposes. If an incident occurs after normal business hours: The Communications Manager 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 i Identifies channels for post-incident follow-up and helps prepare messages for those channels. Retains copy of all communications for debrief session and for audit purposes. Version 1.9 Confidential 46
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 follow-up and helps prepare messages for those channels. Retains copy of all communications for debrief session and for audit purposes.
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.
47
Sample Communication Copy

General Pointers:
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.
Sample INITIAL Messages:

Exchange Email Disruption Between 8:30am and 10:00am today, some University faculty and staff experienced disruptions with email service. These disruptions were confined to a subset of Exchange email users. University IT support teams have isolated and resolved the issue. 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 or begin to experience problems with your email, please contact University IT at 5-2000.
UNIX Email Disruption University IT Support teams are currently investigating issues that may be resulting in delayed email delivery. We apologize for the intermittent slowdowns you may be experiencing with email services. University IT teams are working diligently to address the issue as quickly as possible. As a precaution, our hardware vendors have been called in to assist with the investigation and we will be working with the vendors to identify actions to minimize this type of disruption in the future. We expect to provide additional information by 5:00 this afternoon (1/19). If you have additional questions, please contact University IT at 5-2000.
Sample SUBSEQUENT Messages:

UNIX Email Disruption 6:15PM Update We are still experiencing intermittent email issues on the mail.rochester.edu mail server and we will be rebooting the server at 6:20 p.m. this evening. Mail services will be unavailable for approximately 20 minutes. We appreciate your patience as we continue to work on resolving this issue. Please continue to check back for regular updates. You can also call the University IT at 5-2000 or 3-3999 (recorded message).
48
UNIX Email Disruption 7:15PM Update We are still experiencing email issues on the mail.rochester.edu server following the reboot performed at 6:20 p.m. As we work with our vendors to diagnose the problem, you may continue to experience intermittent availability of email. Please continue to check back for regular updates. You can also call the University IT 5-2000 or 3-3999(recorded message). UNIX Email Disruption 9:00PM Update Faculty and students may still be experiencing intermittent disruptions with email service. Users experiencing these problems are primarily within the College. We will continue to work with vendors to isolate the source of slow email service. At this point, we are progressing through a detailed plan. We apologize for the inconvenience; we recognize the impact that this has on you and are working to remedy the remaining issues.
UNIX Email Disruption 8:00AM Update University faculty, students and staff who were experiencing disruptions with email on Thursday, January 19 can now log into their email. You may experience a delay with your initial log in if you have a large quantity of unchecked messages in your mailbox. University IT staff resolved some service disruptions and is maintaining a continuous effort to address the issue. University email services will be monitored throughout the day. Please contact Information Technology Services at 5-2000 if you need assistance. Generic NetID template to be used when LDAP is disrupted. We are experiencing a service disruption with the Universitys LDAP service. This means that applications requiring a NetID for authentication are currently unavailable. IT support teams have identified what must be done to resolve the issue OR IT support teams are working to identify the cause of this disruption. [if the reason is known and can be shared in terms the users will understand, add a brief statement here] We apologize for the inconvenience and we expect to have the problem resolved by [enter info here]. We will provide additional updates as they are available [or enter a specific time(s)]. Please contact the IT Center at 275-2000 if you have additional questions.
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/. Version 1.9 Confidential
49
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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Web Content Hack Immediate Actions

On receipt of WebWatcher or other notification of a hack 1. Go to the page reported and see what has happened 2. If there does not appear to be anything different check with the owner of the file. 3. If confirmed hack begin notification of ? How should we start the escalation? 4. Do not delete or move any of the hacked files until the evidence is reviewed 5. Is this a OS hack or a content hack? If content hack continue (We should have a procedure for assessing an OS hack) 6. Get the modified date and time of the hacked file 7. Using that time minus one hour find all files that have been modified You are looking for hack tools and any additional hacked pages. If nothing turns up use minus two hours etc. 8. Review these files for hack tools 9. Review log files for the hacked file access record and note the IP number 10. If more than one file is hacked find those in the log and capture the IP number 11. Preserve copies of the hacked files 12. Redeploy or restore the hacked file 13. Identify the ISP of the hacker and their entire IP range 14. Block that range at the router. 15. File an abuse report with the ISP of the hacker 16. File an incident report with Campus Safety 17. Evaluate the methods used & determine what actions can be taken to prevent a repeat.
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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.
52
Debrief Agenda Template

Event Date: Event Time: Event Description: Attendees: Debrief Facilitator: Debrief Date:
Item
1. Notification Was everyone notified in a timely manner? What would have made it better? Was everyone there who needed to be there? What other personnel would have helped? Did we communicate to each other well? Did we communicate to customers well? How can we improve the process? Did we have the correct personnel on-site throughout the incident? Was the personnel rotation correct? Were the room(s) equipped with the correct items to support the incident? What other equipment would have helped? Did the University IT business units work together in the best manner?
2.
Turnout
3.
Communications
4.
Personnel
5.
Equipment
6.
Intra-Departmental Cooperation Inter-Departmental Cooperation Initial Strategy
7.
Did University IT work together with other University departments in the best manner?
8.
Did we use the best strategy to minimize incident timeframe? What strategies would have improved turnaround? Did we execute the strategy in the best manner? What could we have done better to improve turnaround? Was incident closed so everyone knew to step down from a Severity 3? Was chronology published in a timely manner? What feedback did we receive from customers?
9.
Execution
10.
Clean Up
11.
Customer Impact
12.
Follow Up Items
What open items still need attention?
13.
Lessons Learned / Recommendations Audit Notification
What did we learn? What would make incident response and communication better? IT Security will provide incident notification to University Audit
14.
53
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 Project Manager Project Participants Kate Crowley Bill Waterhouse Norm Acunis Mike Fitch Karen McVige Joe Pasquarelli Jay Riley Mercedes Fredericksen Jason Wagner Network & Communications Security & Policy Network & Communications Network & Communications Data Center Production Control Academic Technology Applications & Architecture Office of the CIO Communications Academic Technology Emergency Preparedness
Others assisted with its creation, and Information Technology Services is thankful for the participation and guidance to better serve our customers.
54
Change Control
Name Person Bill Waterhouse Bill Waterhouse Bill Waterhouse Section change IT Alert Communication Checklist Section 6 Debrief Document ISD On-Call Update Updated ISD On-Call schedule for 2007 1. ISD Conference Call # in IMOC checklist 2. Service Monitoring query in IMOC checklist 3. NCS MOC to forward Operations phone numbers if TH evacuation 4. Debrief is required, and scheduled IMOC will schedule (not acting IMOC) 5. Add Services Monitoring (Uptime) to IMOC checklist 1. Changed name from ITS to University IT 2. Updated Information Security and Policy Director to Bill Waterhouse 3. Updated contact information for Bill Waterhouse 4. Updated IMOC schedule through beginning of 2008 5. Changed debrief documentation to state that the debrief should be sent to Bill Waterhouse and he will send to audit 6. Updated email distribution lists to new naming convention 7. General editing updates Updated appendix to include Web Content Hack Procedures Updated 2008 IMOC schedule 1. Updated 2008 IMOC schedule 2. Updated 2008 ISD schedule 3. Recovered roles deleted from version 1.6 4. Updated MOC role to include University IT MOC decision point 1. Updated University IT IMOC Schedule 2. ISD notified during any Severity 3 alert 3. Updated ISD IMOC information 1. Updated all internal & external contact information 2. Added 3-3311 bridge # throughout doc 1/3/2007 1.2 Description change Modified procedures to follow G2Alert alert custom list modifications Add University IT Security to notify Audit of major University IT incident Date 12/08/2006 12/13/2006 Version Number 1.0 1.1
Bill Waterhouse
IM&C Quarterly Update Q1 2007
1/9/2007
1.3
B.J. Block
IM&C Quarterly Update Q3 2007
7/15/07
1.4
Appendix Bill Waterhouse IMOC Schedule 08 Bill Waterhouse IM&C Quarterly Update Q4 2007 IMOC Schedule IT Alert (G2Alert) ISD Manager On Call Contact Information Bridge Phone #
12/10/07
1.6
02/01/08
1.7
Bill Waterhouse Bill Waterhouse
5/29/09 6/17/09
1.8 1.9
55

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Incident Management & Communication

Incident Management & Communications

Incident Management & Communication

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Incident Management & Communication

Incident Management & Communication

Incident Management & Communication

Severity Level Definitions

NoServiceImpact GeneralUser Ticket Resolutionby ITCenterstaff CallAgent CallAgentOnly

Completeserviceoutage Triggersformal communicationplan Multipledepartments, groups,andindividuals Enterprisewideimpact Universitywidesecurity violation/compromise

IMOC/Director UniversityITDirector UniversityITManager IMOC CIOOffice

ManagerbyLevel III UserbyTicket Assignee

LevelIIIbyLevelII UserbyTicket Assignee

LevelIIbyCall Agent UserbyTicket Assignee

CallAgentby User UserbyTicket Assignee

Informal DirectContact (phone,inperson)

Informal Walkin,phone call,email,web form Realtime Communications

Incident Management & Communication

Incident Management & Communication

Incident Management & Communication

Manager On Call (MOC)

Incident Management & Communication

If the IT Center is open, provide customers with

If IT Center is open, provide customers with IMOC-

notified and aware of the situation.

Incident Management & Communication

Incident Manager On Call IMOC List

Incident Management & Communication

Incident Manager On-Call (IMOC)

Evaluates the situation and gathers all the facts from

1-866-945-2255 Access Code: 608965#

Coordinates CHRON and scribe duties. Calls in staff

Contact DCS Production Control MOC (DCS

Contact SMS group to setup Service Monitoring

Communicates with key people & customers during

Prepares a communication for release to University

Meets next morning with communications manager

Scheduled IMOC (not acting IMOC) schedules and

Incident Management & Communication

University IT Technical Staff / Technicians on Call

University IT Director - of affected unit(s)

help resolve the incident.

Incident Management & Communication

Incident Management & Communication

Receives details about incident from

(12,13). Provides business perspective (big picture) for the incident.

Incident Management & Communication

Communication Manager and/or Other Designated University IT Employees

Incident Management & Communication

Takes detailed notes during event to help complete

University IT Office Admins

Uses guidelines for communications to customers

when responding to calls that may come in from various areas.

University IT Staff Members

when responding to calls that may come in from various areas.

Incident Management & Communication

Other University Executives

Faculty / Departments or Divisions

Participates as required by incident. Participates as required by incident.

Participates as required by incident.

Participates as required by incident.

Participates as required by incident, specifically

Participates as required by incident,

when security related.