2017 Continuity of Operations Planning at University of North Dakota

Agency: University of North Dakota Report Date: October 25, 2017
Type: Performance LAFRC Date:  
Issued By: State Auditor Period Ending: September 11, 2017






Executive Summary:

The purpose of our audit was to determine whether the University of North Dakota (UND)’s continuity of operations plan (COOP) included all the necessary elements and assured the capability to continue the essential functions of the university.

Objective 1

Does UND’s continuity of operations plan include all necessary elements? If not, why not?

We determined the COOP does not fully address some necessary elements. We identified the level of involvement by senior management, as well as the design of the departmental template, to be significant causes.

• UND’s COOP lacks one of the essential elements of a viable continuity of operations plan.

• UND’s essential functions are not readily accessible to those with responsibility for completing department/unit-level COOPs.

• Department/unit-level COOPs lack a formal review process and documentation.


Objective 2

Have UND’s various departments/units submitted completed continuity of operations plans as required by UND’s continuity of operations plan? If not, why not?

We determined approximately 10% of UND’s various departments/units had submitted continuity of operations plans as required by UND’s institution-level COOP.

• UND’s COOP lacks some department/unit-level COOPs necessary to fulfill UND’s essential functions.


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