[BCM] [SHINE] [E3] [BIA] [T2] [CBF] [6] Client Information & Records Management

CBF-6 Client Information & Records Management

In this chapter, we will examine the long-term impact of the critical business functions (CBFs) under CBF-06, Client Information & Records Management. The effective management of client information is integral to the smooth operation of SHINE Children and Youth Services.

Disruptions in these processes can severely affect the ability to deliver essential services, ensure compliance, and maintain confidentiality.

By assessing the impact over different time intervals, we can understand the criticality of each sub-CBF and how prolonged disruption could hinder the organisation’s capacity to support its clients.

This section provides a detailed evaluation of each Sub-CBF under CBF-06, along with their recovery time objectives (RTOs) and maximum tolerable periods of disruption (MTPDs).

Table P3: Impact Over Time of Business Functions for CBF-6

Sub-CBF Code	Sub-CBF	Highest-Impact Area	4H	8H	1D	2D	3D	5D	7D	10D	14D	21D	30D	60D	RTO	MTPD	Vulnerable Period
6.1	Client Information Collection	Service Delivery, Client Safety	2	3	4	4	5	5	5	5	5	5	5	5	8 hrs	2 days	Intake peaks, crisis referrals
6.2	Client Records Maintenance	Service Continuity, Case Management	2	3	3	4	4	5	5	5	5	5	5	5	1 day	3 days	High caseload periods
6.3	Confidentiality & Privacy	Legal, Regulatory, Reputation	3	4	5	5	5	5	5	5	5	5	5	5	4 hrs	1 day	Cyber incidents, data breaches
6.4	Document Management	Operational Efficiency	2	2	3	3	4	4	4	4	5	5	5	5	1 day	5 days	Audits, reporting cycles
6.5	Record Retrieval & Access Control	Service Delivery, Decision-Making	3	4	4	5	5	5	5	5	5	5	5	5	8 hrs	2 days	Crisis response, court cases
6.6	Record Disposal	Compliance, Data Protection	1	1	2	2	2	3	3	3	4	4	4	4	5 days	14 days	Scheduled disposal cycles
6.7	Compliance Monitoring	Regulatory, Governance	2	2	3	3	4	4	4	5	5	5	5	5	2 days	7 days	External audits, regulatory reviews

The table above outlines the temporal impact of each sub-CBF within CBF-06 Client Information & Records Management.

As shown, disruptions to processes such as client information collection, document management, and record retrieval have varying degrees of impact, particularly when legal compliance and data confidentiality are at risk.

The Recovery Time Objective (RTO) and Maximum Tolerable Period of Disruption (MTPD) vary by process, with record retrieval and compliance monitoring generally requiring quicker recovery to avoid service disruptions or regulatory issues.

Understanding the impact over different periods allows SHINE Children and Youth Services to prioritise recovery actions and mitigate risks, ensuring minimal service interruption and compliance during any disruption.

This section provides the foundation for developing a resilient BCM strategy to safeguard client information and maintain trust throughout any disaster scenario

CBF-6 Client Information & Records Management

In this section, we explore the IT systems and applications that support the critical business functions within CBF-06 Client Information & Records Management at SHINE Children and Youth Services.

The proper functioning of these systems is crucial to maintaining the integrity, confidentiality, and availability of client information and records.

This section identifies the IT resources required to support the key business processes, their recovery time objectives (RTOs), recovery point objectives (RPOs), and any specialised equipment or resources necessary for optimal operations.

Table P4: Supporting IT Systems and Applications for CBF-6

Sub-CBF Code	Sub-CBF	IT Systems and Applications	RPO	System RTO	Supporting Special Equipment or Resources	Remarks
6.1	Client Information Collection	Electronic Client Intake System	4 hours	12 hours	Scanners, secure mobile devices	Key system for collecting client data in real time.
6.2	Client Records Maintenance	Client Management System (CMS)	6 hours	24 hours	Secure cloud storage, backup servers	Essential for maintaining updated client records.
6.3	Confidentiality & Privacy	Privacy Protection Software, Encryption Tools	1 hour	4 hours	Encryption key management tools, VPNs	Critical for ensuring secure handling of client data.
6.4	Document Management	Document Storage and Management System	8 hours	24 hours	Document scanning equipment, secure file servers	Manages physical and digital documents for clients.
6.5	Record Retrieval & Access Control	Access Control Software, Database Management System	4 hours	12 hours	Biometric access systems, secure login credentials	Vital for secure and authorised access to client records.
6.6	Record Disposal	Data Destruction Software	2 hours	6 hours	Shredders, secure data erasure tools	Ensures compliance with data disposal policies.
6.7	Compliance Monitoring	Compliance Monitoring Software	6 hours	24 hours	Compliance checklists, audit logs	Tracks compliance with legal and regulatory standards

The effective management of IT systems and applications in CBF-06 Client Information & Records Management ensures that SHINE Children and Youth Services can meet its business continuity objectives.

By implementing robust IT solutions, such as client management systems, encryption tools, and compliance monitoring software, SHINE can provide secure, reliable, and efficient services to its clients, even in times of disruption.

The integration of these systems into the broader BCM framework ensures that critical records and sensitive information are protected, accessible, and compliant with relevant regulations, facilitating smooth recovery in the event of an emergency.

Continuity of Care: Ensuring SHINE’s Mission Through Effective BCM
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CBF-6 Client Information & Records Management
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More Information About Business Continuity Management Courses

To learn more about the course and schedule, click the buttons below for the BCM-300 Business Continuity Management Implementer [BCM-3] and the BCM-5000 Business Continuity Management Expert Implementer [BCM-5].