***NIH Data Center***

[]{#__RefHeading___Toc147824685 .anchor}*Disaster Recovery Plan*

***October 2006***

FOREWARD

This Disaster Recovery Plan describes the strategy and procedures for
recovering Data Center processing of applications should a disaster
substantially disrupt operations.

The plan is organized into three parts: the main body provides a general
description of the disaster recovery strategy and program, the
appendices provide detailed information for conducting the recovery, and
the attachments provide supplemental information. The main body is
public information and may be freely distributed; the appendices and
attachments contain sensitive information that is restricted to the
individuals responsible for recovering Data Center operations. The
appendices and attachments must be destroyed when updated versions are
received.

The plan is frequently updated to reflect current hardware, software,
procedures, applications, and staffing. Revisions are distributed to the
disaster recovery team members at least twice a year following the
disaster recovery tests.

When copies of the plan are no longer required, please return them to
the Disaster Recovery (DR) Coordinator. All corrections are welcome at
any time and should be directed to the DR Coordinator.

Adrienne Yang

Disaster Recovery Coordinator

Table of Contents

[*Disaster Recovery Plan* 1](#__RefHeading___Toc147824685)

[1 Introduction 1-1](#introduction)

[1.1 Purpose 1-1](#purpose)

[1.2 Scope 1-1](#scope)

[1.3 Disaster Recovery Strategy 1-2](#disaster-recovery-strategy)

[1.4 Disaster Definition 1-3](#disaster-definition)

[1.5 Assumptions 1-3](#assumptions)

[1.6 Contractual Arrangement For Recovery Services
1-3](#contractual-arrangement-for-recovery-services)

[2 Disaster Recovery Action Plan 2-1](#disaster-recovery-action-plan)

[2.1 Backup and Off-Site Storage Procedures
2-1](#backup-and-off-site-storage-procedures)

[2.2 Off-Site Storage Services 2-1](#off-site-storage-services)

[2.3 Disaster Response 2-1](#disaster-response)

[2.4 Hot Site Hardware and Software Configurations
2-2](#hot-site-hardware-and-software-configurations)

[2.5 Resuming Normal Operations 2-4](#resuming-normal-operations)

[2.6 Security 2-4](#security)

[3 Functional Teams and Responsibilities
3-1](#functional-teams-and-responsibilities)

[3.1 Damage Assessment Team 3-1](#damage-assessment-team)

[3.2 Executive Team 3-1](#executive-team)

[3.3 Restoration Team 3-2](#restoration-team)

[3.4 Operations Team 3-2](#operations-team)

[3.5 Customer Support Team 3-3](#customer-support-team)

[3.6 Salvage/Reclamation Team 3-3](#salvagereclamation-team)

[3.7 Administrative Support Team 3-4](#administrative-support-team)

[4 Testing the Disaster Recovery Plan
4-1](#testing-the-disaster-recovery-plan)

[4.1 Hot Site Test Procedures 4-1](#hot-site-test-procedures)

[4.2 Hot Site Test Planning 4-1](#hot-site-test-planning)

[4.3 Application Testing Support 4-2](#application-testing-support)

[4.4 Post-Test Wrap-Up 4-2](#post-test-wrap-up)

[4.5 Hot Site Test Schedule 4-3](#hot-site-test-schedule)

[4.6 Training 4-4](#training)

[5 Maintaining the Plan 5-1](#maintaining-the-plan)

APPENDICES

  -------------- --------------------------------------------------------
  Appendix A:    Applications and Contact Information

  Appendix B:    Directions to Work Area Recovery Center

  Appendix C:    Disaster Alert Procedures, Team Members, and Contact
                 Information

  Appendix D:    Hot Site Contact Information and Procedures

  Appendix E:    Off-Site Storage Contact Information and Emergency
                 Procedures

  Appendix F1:   Titan Restore Procedures

  Appendix F2:   EOS Restore Procedures

  Appendix G:    Data Communications

  Appendix H:    Vendor Contacts

  Appendix I:    Contents of the Documentation Box (Doc Box)

  Appendix J:    Guidelines for Application Hot Site Tests

  Appendix K:    Mainframe Communications
  -------------- --------------------------------------------------------

ATTACHMENTS

  -------------- --------------------------------------------------------
  Attachment 1:  Backup Listings

  Attachment 2:  Calendars with Julian Dates

  Attachment 3:  Hot Site Contract

  Attachment 4:  Communications Architecture and Configuration

  Attachment 5:  Disaster Recovery Communication Topology

  Attachment 6:  Hot Site Tests Technical Assistance Plans (TAPs)

  Attachment 7:  Hot Site Test Plans and Reports

  Attachment 8:  Instructions for Completing FedEx Labels

  Attachment 9:  z/OS Hardware Configuration

  Attachment 10: Department of the Treasury Payment File Contingency
                 Procedures

  Attachment 11: DHHS Payment Processing Points of Contact
  -------------- --------------------------------------------------------

# Introduction

The Center for Information Technology (CIT) at the National Institutes
of Health (NIH) provides information processing services to NIH research
and management programs, as well to Department of Health and Human
Services (DHHS) and other government agency management programs. CIT
also provides networking and telecommunications services to NIH. The
information technology equipment supporting these services is housed in
the NIH Data Center (the *Data Center*) which is operated by the
Division of Computer System Services (DCSS), a component of CIT.

In March 1992 a formal Business Impact Analysis (BIA) of the Data
Center's major applications was completed. The resulting disaster
recovery plan to mitigate extended interruptions focused on the
mainframe, since the major applications were hosted on that platform.
Over time, major applications were being hosted on Unix systems and the
disaster recovery plan was expanded to include those systems.

As an information technology service provider, DCSS now offers the
Disaster Recovery Program as a service to the general customer base.
Participation in the disaster recovery program is completely voluntary
and is provided on a cost-recovery basis.

## Purpose

This Disaster Recovery Plan documents CIT's Disaster Recovery Program
for recovering limited Data Center operations after a disaster. The plan
describes the preparation and actions required to effectively respond to
a disaster, assigns responsibilities, and describes the procedures for
testing and maintaining the plan.

## Scope

The Disaster Recovery Plan is focused only on DCSS-owned and managed
computer systems, currently the z/OS mainframe system, Titan, and the
Unix platforms comprising the EOS system. This plan addresses all
preparation and steps necessary to restore processing on those systems
so that the participating applications can continue processing after a
disaster has rendered any or all of the systems inoperable.

Many functions and facilities that would be needed in a disaster
involving physical devastation are outside the current scope of this
plan. These include, but are not limited to:

-   care for affected CIT personnel and their families;

-   communications equipment supporting the NIH network (NIHnet) and the
    equipment supporting the NIH electronic mail services;

-   computing equipment owned by other entities that is housed in the
    Data Center;

-   voice communications internal to CIT;

-   ongoing communications protocol between the CIT and NIH officials
    outside of CIT;

-   the role of non-CIT NIH officials following a disaster;

-   handling inquiries from the Press;

-   implementation of controls to prevent disasters; and

-   other aspects of contingency planning such as responses to various
    localized system outages.

## Disaster Recovery Strategy

Should the Data Center encounter a disaster that prevents it from
functioning, DCSS is prepared to provide adequate computational, data
storage, and data communications services and facilities at an off-site
disaster recovery resource for the participating applications. The
off-site disaster recovery resource is a fully operational data center
that is prepared to host the NIH systems and participating applications;
it is referred to as the *hot site*.

Customers are responsible for disaster recovery preparedness for their
applications in the event of a disaster. There is no mandatory
requirement that customers use the Data Center's disaster recovery
services and facilities. Application owners are free to make other
disaster recovery arrangements.

DCSS has assigned a Disaster Recovery Coordinator to oversee the
Disaster Recovery Program. The Disaster Recovery Coordinator is
responsible for:

-   organizing regularly-scheduled, periodic tests of the disaster
    recovery procedures;

-   maintaining and updating the Disaster Recovery Plan based on changes
    in customer requirements, personnel, hardware and software
    configurations, and the results of disaster recovery tests and plan
    reviews; and

-   orchestrating the execution of the Disaster Recovery Plan when a
    disaster has been declared.

DCSS has also designated a Disaster Recovery Technical Support
Coordinator for each of the processing systems covered by this Disaster
Recovery Program. The coordinators are responsible for:

-   assisting the participating application customers in preparing for
    the disaster recovery test events;

-   serving as liaisons for the participating application customers
    during the disaster recovery tests (by assisting customers in
    resolving errors in jobs, reporting communications problems to the
    DCSS disaster recovery team, and answering disaster recovery testing
    questions in general); and

-   assisting the participating application customers in preparing their
    applications to run successfully at the hot site in the event of a
    disaster.

DCSS is ready to work with application program managers and technical
leaders to further the disaster recovery capabilities of the
participating applications. However, it is important that managers of
the applications pro-actively prepare their applications for a disaster.
This includes participating in the periodic hot site tests and
communicating with the Data Center's Disaster Recovery Coordinator
regarding significant changes or developments in their applications.

## Disaster Definition

For the purposes of this plan, a disaster is any unplanned event that
prevents the Data Center from providing services needed by the
participating applications for a period of 72 hours or longer.
Conditions that could be declared a disaster include, but are not
limited to, extended electrical power outage to the computer room, and
extensive fire, smoke, water, or explosion damage to computing
equipment.

In the event of a disaster, the Damage Assessment Team (reference
Section 3.1) will evaluate the damage to the physical assets and
functional capability of the Data Center, and report its findings to the
Executive Team (reference Section 3.2). The Executive Team will consider
the findings together with other available information to make a
decision regarding a formal disaster declaration. Only the Executive
Team has the authority to declare a disaster.

## Assumptions

The Disaster Recovery Plan has been developed under the following
assumptions:

-   Only the Data Center is damaged; other buildings on the NIH campus
    are unaffected.

-   Only those applications (listed in Appendix A) that are currently
    participating in the Disaster Recovery Program will be supported.

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-   A disaster will result in real losses, both for the Data Center
    itself, and for many of the applications that it supports. At a
    minimum, time, money, and operational capability will be lost. A
    physical disaster (hurricane, flood, bomb, etc.) would lead to the
    loss of at least some data and software.

## Contractual Arrangement For Recovery Services

CIT has an Inter-Agency Agreement with the General Services Agency (GSA)
for hot site services to accommodate recovery of participating
applications for the Titan and EOS systems.

# Disaster Recovery Action Plan

## Backup and Off-Site Storage Procedures

***Titan:***

All disks are dumped to tape on weekly cycles. These weekly dumps are
written simultaneously to two separate automated tape libraries (ATLs),
one located in the Data Center and the second located in another HHS
agency computer center outside Baltimore, Maryland. The latter set of
tapes are referred to as the *off-site backup tapes*. Both backups are
cycled through six sets of tapes so that six successive weeks worth of
backups are always maintained.

Incremental backups of all changed data sets are taken daily for public
and systems disk storage. Up to five unique backup versions per data set
name are maintained. The incremental backups are written simultaneously
to the two ATLs. In a disaster situation, all usable tapes will be sent
to the hot site.

***EOS:***

EOS system disks are dumped to tape on weekly cycles and the tapes are
rotated to a secure off-site storage facility. The off-site backup tapes
are cycled through six sets of tapes. Customer files and data are
included in the dumps for those customers who have requested off-site
disaster data storage.

Incremental backups of all changed files are taken nightly. The
following day the incremental backups are copied to a second tape
library located in Sterling, VA. In a disaster situation, all usable
tapes will be sent to the hot site.

## Off-Site Storage Services

CIT has contracted with a commercial vendor to provide secure off-site
storage services. The vendor's facility and procedures meet Department
of Defense standards for secure storage. The following services are
provided under CIT's contract:

-   Delivery of the backup tapes between the storage facility and the
    Data Center on a weekly schedule;

-   Delivery of backup tapes (both those stored at the storage facility
    and at the NIH campus) to the hot site upon request and as directed
    by the Data Center (both for disaster recovery tests and for an
    actual disaster); and

-   Delivery of the backup tapes from the hot site back to NIH.

In general, the vendor can respond within two hours notice, twenty-four
hours per day, three hundred sixty-five days per year.

## Disaster Response

In the event of a disaster, DCSS will take the following actions;
responsible teams are indicated:

-   Assess the damage to the Data Center to determine if a disaster
    should be declared. (Damage Assessment Team)

-   Make the decision to formally declare a disaster. (Executive Team)

-   Establish a Disaster Command Post, if necessary, in another building
    on the NIH campus having appropriate communications and support
    equipment. (Executive Team)

-   Notify the off-site storage facility, the hot site, key NIH
    executives, and the participating application sponsors of the
    disaster declaration. (Executive Team)

-   Work with the hot site staff to restore the NIH operating systems
    and applications at the hot site and establish the communications
    link to the hot site in preparation for operating at the hot site
    for the duration of the emergency. (Restoration Team, Operations
    Team, and Customer Support Team)

-   Reconstruct the Data Center. (Salvage/Reclamation Team)

-   Conduct operations at the hot site until the Data Center is ready to
    resume operations. (Operations Team, Restoration Team, and Customer
    Support Team)

-   Conduct preparations to leave the hot site and to resume operations
    at the Data Center. (Operations Team and Restoration Team)

Reference Section 3, Functional Teams and Responsibilities, for details
regarding the responsibilities of the disaster recovery teams and the
actions required to accomplish the above listed tasks.

## Hot Site Hardware and Software Configurations

The Data Center's standard disaster recovery configuration at the hot
site includes a mainframe system, Unix systems, data communications
support to the mainframe and Unix systems, and a work area recovery
center.

The following are the major hardware components of the standard
mainframe configuration:

-   IBM processor with sufficient MIPS and memory capacity,

-   two logical partitions (LPARs),

-   sufficient quantity of tape drives (STK 9840, 3490E, and 3480),

-   sufficient disk storage (3390-3 DASD), and

-   sufficient printer capacity (IBM 3825-1 page printer, IBM 4245/4248
    impact line printer, OCE 372 pagestream with MICR (compatible with
    IBM 3900), and OCE PS 75 printer (compatible with IBM 3825, 3827)).

The following system software and subsystems will be loaded into the hot
site mainframe LPARS as appropriate:

-   z/OS operating system,

-   Resource Access Control Facility (RACF),

-   TSO/ISPF,

-   Wylbur under TSO,

-   Customer Information Control System (CICS),

-   Job Control Language (JCL),

-   ADABAS,

-   NATURAL,

-   MODEL 204,

-   Limited DB2,

-   SPF,

-   Transport Control Protocol/Internet Protocol (TCP/IP -- TN3270),

-   File Transfer Protocol (FTP),

-   SAS,

-   IMS,

-   VISION:Builder and VISION:Report, and

-   Connect:Direct.

The following are the major hardware components of the standard Unix
configuration:

-   AlphaServer 8400 5/625 with sufficient memory capacity,

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-   sufficient internal and external disk storage,

-   CD ROM drive,

-   sufficient quantity of tape drives,

-   Laser Jet printer, and

-   network connectivity.

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-   SunFire V880 UltraSPARC III server with sufficient memory capacity,

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-   sufficient internal and external disk storage,

-   CD ROM drive,

-   tape drive, and

-   network connectivity.

The following system software will be loaded onto the hot site
AlphaServer:

-   Tru64 Operating System,

-   Oracle relational database management system,

-   Connect:Direct, and

-   ADSM.

The following system software will be loaded onto the hot site
UltraSPARC server:

-   Solaris Operating System, and

-   Oracle relational database management system.

Note that at the hot site, the functions of multiple AlphaServers and
multiple UltraSparc servers are consolidated into one machine,
respectively.

The following are provided to support data communications to the hot
site:

-   Network Control Center for communication support to the mainframe
    and Unix computers,

-   remote console support for the Unix computers,

-   dedicated T1 line with appropriate routers, switches, and firewalls
    for IP communication between Washington, D.C., and the mainframe and
    Unix computers, and

-   Web redirect services, for Internet connectivity to provide
    alternate connectivity should the T1 line be inoperable.

The following are the provisions at the work area recovery center,
located within driving distance of the Washington, D.C. metropolitan
area:

-   enough work space to accommodate thirty-two (32) individuals,

-   twenty-five work stations,

-   twenty-five phone sets,

-   twenty-five 3270 display stations,

-   remote consoles for the Unix computers,

-   Ethernet connection to the hot site, and

-   one facsimile machine and one copier.

DCSS will contract for additional emergency hot site support to meet
individual customer's special needs.

## Resuming Normal Operations

While recovery operations are ongoing at the hot site, the
Salvage/Reclamation Team will be managing the restoration or rebuilding
of the Data Center.

## Security

While operating at the hot site, information security will be assured by
firewall restrictions and the security controls on the hot site host
systems which will be configured in accordance with the policies and
procedures governing the security of the production Titan and EOS
systems. As processing continues at the hot site, the hot site host
systems will be closely monitored to ensure the systems are not
compromised.

# Functional Teams and Responsibilities

The following subsections describe each functional team's role as well
as its responsibilities in preparing for and responding to a disaster.
The responsibility for planning, coordinating, and managing this program
is assigned to the Disaster Recovery Coordinator with assistance from
technical advisors.

The appendices and attachments provide supplemental information and
instructions to assist the teams in fulfilling their functions.

## Damage Assessment Team

The Damage Assessment Team assesses the extent of the damage to the Data
Center, reports to the Executive Team, and makes a recommendation on
declaring a disaster.

The major pre-disaster responsibility is to determine appropriate
considerations/criteria for identifying the extent of the damage and the
estimated duration of the outage.

The disaster responsibilities and actions are:

-   Receive the first alert regarding the disaster.

-   Ensure that the NIH police/fire departments have been notified.

-   Coordinate with the police and/or fire department to provide for
    safety, security, and access to the damaged facility.

-   Notify the DCSS Director or alternate regarding the potential
    disaster.

-   Assess the damage to each area of the computer facility.

-   Brief the Director or alternate, communicating the
    recommendation(s).

## Executive Team

The Executive Team officially declares that a disaster has occurred,
authorizes the execution of the Disaster Recovery Plan, and oversees the
execution of the plan during the emergency.

The pre-disaster responsibilities are:

-   Approve the DCSS Disaster Recovery Plan and all major or material
    modifications to the plan.

-   Establish primary and alternate disaster command posts, ensuring
    that the posts are adequately prepared for a disaster.

The disaster responsibilities and actions are:

-   Notify the hot site and the off-site storage facility of a possible
    disaster.

-   Review the report of the Damage Assessment Team.

-   Declare a disaster:

a)  establish the command post and communications,

b)  activate the Functional Teams,

c)  inform the hot site of the disaster declaration, and

d)  initiate the shipment of the backup materials to the hot site.

-   Notify the Key Executives (listed in Appendix C).

-   Monitor the performance of the Disaster Recovery Teams and the
    execution and effectiveness of the Disaster Recovery Plan.

-   Keep senior CIT management and the designated Information
    Officer/alternate informed of material/sensitive matters.

## Restoration Team 

The Restoration Team brings the hot site systems to operational mode by
managing the relocation of services to the hot site, initiating and
managing the recovery procedures at the hot site, and responding to
operational problems at the hot site. The Restoration Team also manages
the relocation of services back to the Data Center.

The pre-disaster responsibilities are:

-   Establish and maintain the recovery procedures for the hot site
    systems.

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-   Manage and maintain the backup procedures.

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-   Establish and maintain the disaster recovery data communications
    link.

-   Plan and conduct regular hot site tests.

The disaster responsibilities and actions are:

-   Coordinate recovery procedures with hot site personnel.

-   Restore the operating systems environments on the hot site host
    systems.

-   Establish the data communications link to the hot site.

-   Verify the operating systems and all other system and communication
    software are working properly.

-   Restore the application files.

-   Support the operations at the hot site by resolving problems and
    monitoring and maintaining the data communications link to the hot
    site.

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-   Manage the backup tapes that were sent to the hot site.

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-   Ensure all required backups of the entire system are completed in
    preparation for leaving the hot site.

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-   Coordinate the return of the DCSS/customer media to the Data Center.

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-   Install all NIH system software at the Data Center.

## Operations Team 

The Operations Team assists in the recovery operations and manages the
operations of the computer systems at the hot site.

The pre-disaster responsibilities are:

-   Ensure that appropriate backups are made on the prescribed, rotating
    basis and are ready to be taken off-site.

-   Maintain current, up-to-date systems operations documentation,
    ensuring that this documentation is suitably stored off-site.

The disaster responsibilities and actions are:

-   Provide assistance to the Restoration Team in the restoration of the
    system software and customer files, as required.

-   Run system and operation jobs, as required.

-   Implement and maintain a problem log.

-   Provide information to the Customer Support Team regarding the
    status of the system, operations, and the customer jobs.

-   Effect the transfer of media and print output from the hot site to
    suitable customer pickup location(s).

-   Coordinate the shutdown of the hot site operations and the transfer
    back to the Data Center.

## Customer Support Team

The Customer Support team provides assistance to customers during the
disaster from the time the disaster is declared until operations resume
at the Data Center.

The pre-disaster responsibilities are:

-   Advise and consult with application customers regarding their
    disaster recovery requirements.

-   Assist application customers during disaster recovery tests.

The disaster responsibilities and actions are:

-   Notify participating application customers that a disaster has been
    declared.

-   Advise customers of the disaster recovery system status,
    availability, and accessibility.

-   Provide problem diagnosis and resolution guidance/assistance to
    application owners and their customers.

## Salvage/Reclamation Team 

The Salvage/Reclamation Team manages the restoration or rebuilding of
the Data Center.

The major pre-disaster responsibility is to maintain current copies of
equipment inventory lists, physical plant layout/diagrams (floor plans),
and other pertinent documentation describing the DCSS production
hardware configuration in the doc box.

The disaster responsibilities and actions are:

-   After the Restoration Team has implemented recovery operations at
    the hot site, assess the damage to the Data Center and report the
    damage, with recommendations, to the Executive Team.

-   Organize the recovery of salvageable equipment, supplies and the
    physical plant.

-   Initiate, coordinate, and expedite construction and work requests to
    prepare the NIH facility to receive equipment, supplies, tools,
    machinery, and utilities (electrical power, telephones, network
    connectivity, air conditioning, plumbing, water, gas, and HVAC).

-   Order and expedite replacements for unusable IT equipment.

-   Monitor the construction of the new/repaired facility, and the
    installation of all utilities and other essentials.

-   Monitor the installation of computers, peripherals, and other IT
    equipment.

-   Advise the Executive Team regarding status, progress, and schedules,
    and any problems associated with the construction/reconstruction and
    installation.

-   Inform the Executive Team when the new/restored facility is ready
    for use by the participating applications and by other customers.

## Administrative Support Team

The Administrative Support Team provides logistical and organizational
support for all the other teams.

The major pre-disaster responsibility is to prepare up-to-date property
management lists, inventory lists, and other pertinent documentation on
the physical assets of the Data Center, ensuring current copies of this
documentation are in the doc box.

The disaster responsibilities and actions are:

-   Prepare travel orders and other documents to facilitate the Restore
    Team activities.

-   Provide general administrative support to the Executive Team and to
    all other DCSS Functional Teams, as necessary.

# Testing the Disaster Recovery Plan

Testing and exercising the Disaster Recovery Plan helps to verify that
the recovery procedures work as intended and that the supporting
documentation is accurate and current. Testing also provides an
opportunity to identify any omissions in recovery procedures or
documentation and to determine whether personnel are adequately prepared
to perform their assigned duties. Therefore, DCSS regularly schedules
exercises of its Disaster Recovery Plan at the vendor hot site, referred
to as hot site tests (HSTs).

## Hot Site Test Procedures

DCSS schedules the hot site tests for a two day period, covering the
disaster recovery procedures for both Titan and EOS. The first day is
dedicated to exercising the system recovery procedures and establishing
the communications link. The second day is dedicated to testing the
recovery of participating applications. The hot site tests are managed
and conducted by members of the Restoration Team, the Operations Team,
and the Customer Support Team, referred to collectively as the *HST
Team*.

Prior to the HSTs, the HST Team determines which backup tapes will be
used for the tests, establishes a test plan which outlines the goals and
activities for the given HST, conducts the necessary preparations for
the test, and assists customers in their preparations for the HST.
During the tests, in addition to providing customer assistance, the HST
Team participants maintain a running log of the test activities to
assist in the post-test review.

After every test, the HST Team participants meet to discuss the tests in
order to improve the recovery procedures and the plan documentation. The
HST Team also schedules a meeting with the customers to gain their input
and suggestions for improvements.

## Hot Site Test Planning 

To ensure a successful hot site test, the HST team will:

-   Confirm with the hot site vendor that the hot site mainframe, Unix
    computer, and data communications configurations will meet the HST
    needs, and that the hot site will be ready for the test. (Two to
    three months prior to the scheduled test)

-   Set the objectives for the test and establish action items for the
    team in preparation for the test. (At least two months prior to the
    scheduled test)

-   Disseminate information to the user community regarding the test.
    (Six to eight weeks prior to the scheduled test)

-   Confirm that preparatory tasks are being completed and review the
    schedule of events for the days of the HST. (Four to six weeks prior
    to the scheduled test)

-   Discuss the final test preparations with the hot site vendor to
    confirm the hot site configurations, to obtain the information
    required for the mainframe backups, and to reconfirm the hot site
    will be ready. (Two to three days before the scheduled backups for
    the test will be taken)

-   Send the backup tapes and tape lists to the hot site. (One week
    prior to the scheduled test)

Reference Appendix J for complete guidelines and instructions for
preparing and testing applications during a hot site test. This
guideline is distributed to the user community well in advance of the
HST.

## Application Testing Support

The HST Team offers user support during a hot site test to assist the
application owners/participants in successfully running their
applications at the alternate site. The assistance includes help with
test preparations, on-call support during the duration of the test,
resolving reported problems, and serving as the liaison between the user
and the HST Team.

Test preparation support includes:

-   Ensuring the users have made all appropriate preparations for their
    data to be available for the HST,

-   Ensuring the users are ready for the HST and have no further
    questions, and

-   Ensuring users have the necessary contact phone numbers for user
    support during the HST.

Hot site test support includes:

-   Notifying those users who have not logged on that the disaster
    system is up and ready for user testing,

-   Responding to general user questions and to user problem reports,
    ensuring they are resolved, and

-   Recording all problem reports and general notes to a system status
    database that is made available to users to read.

## Post-Test Wrap-Up

Two debriefings are schedule on the days immediately following the hot
site test. One is for the HST Team participants to assess the systems
software recovery procedures. The second is for the user community who
participated in the HST.

These meetings are general discussions to address:

-   Areas where the exercise was successful,

-   Problems that were encountered, and

-   Suggestions for improvements.

Based on the conclusions, an "action list" of improvements to be made
prior to the next test is developed and responsibility for implementing
them is assigned.

## Hot Site Test Schedule

The Data Center generally schedules two tests during a calendar year
approximately six months apart. To date, twenty-three tests have been
conducted. The twenty-fourth hot site recovery exercise is scheduled for
**Monday and Tuesday, December 4 - 5, 2006**. NIH has scheduled forty
hours test time starting on the 4^th^ at 1:00 am Eastern time for the
mainframe and 9:00 a.m. Eastern time for EOS.

The HST Team will have access to the systems on December 4, 2006 to
restore the system/subsystem software and test the data communication
link prior to the application users' access on the following day.

The twenty-fifth HST is scheduled for Monday and Tuesday, July 17 - 17,
2007. The following are the dates of the previous tests for the
indicated systems:

  --------- --------------------------------------------------------------
  HST1:     May 3, 1994 -- NIH mainframe

  HST2:     March 21, 1995 -- NIH mainframe

  HST3:     September 12, 1995 -- NIH mainframe

  HST4:     March 14, 1996 -- NIH mainframe

  HST5:     October 22,1996 -- NIH mainframe

  HST6:     May 13, 1997 -- NIH mainframe

  HST7:     December 12, 1997 -- NIH mainframe

  HST8:     July 21, 1998 -- North and South (consolidation of NIH and HHS
            mainframes onto two LPARS at NIH)

  HST9:     January 22, 1999 -- North and South

  HST10A:   June 7, 1999 -- EOS

  HST10:    August 30-31, 1999 -- North, South, and EOS

  HST11:    February 22-23, 2000 -- North, South, and EOS

  HST12:    August 14-15, 2000 -- North, South, and EOS

  HST13:    March 26 - 27, 2001 -- North, South, Titan, and EOS

  HST14:    November 01 --02, 2001 -- Titan (standardized system to
            replace North and South; hosting North applications at the
            time of the test), South, and EOS

  HST15:    March 26 -- 27, 2002 -- Titan, South, and EOS

  HST16:    November 12 -- 13, 2002 -- Titan, South, and EOS

  HST17:    July 21 -- 22, 2003 -- Titan, South, and EOS

  HST18:    December 8 -- 9, 2003 -- Titan and EOS

  HST19:    July 19 - 20, 2004 - Titan and EOS

  HST20:    December 6 - 7, 2004 - Titan and EOS

  HST21:    July 18 - 19, 2005 - Titan and EOS

  HST22:    December 5 - 6, 2005 - Titan and EOS

  HST23:    July 17 - 18, 2006 - Titan and EOS
  --------- --------------------------------------------------------------

## Training

In addition to regular testing, team members and managers receive annual
refresher training regarding the emergency alert procedures covered in
Appendix C and the SunGard notification procedures covered in Appendix
D.

+------+---------------------------------------------------------------+
| ###  | #### [Training]{.underline} {#training-1 .unnumbered}         |
| # [D |                                                               |
| ate] |                                                               |
| {.un |                                                               |
| derl |                                                               |
| ine} |                                                               |
|  {#d |                                                               |
| ate  |                                                               |
| .unn |                                                               |
| umbe |                                                               |
| red} |                                                               |
+------+---------------------------------------------------------------+
|      |                                                               |
+------+---------------------------------------------------------------+
|      |                                                               |
+------+---------------------------------------------------------------+

# Maintaining the Plan

The Disaster Recovery Coordinator of the Data Center is responsible for
the maintenance of this document. The plan is updated as needed:

-   in response to events such as office moves, telephone number
    changes, new personnel joining DCSS, retirements, duty changes, and
    additions or deletions of participating applications;

-   after each hot site test to reflect the recommendations resulting
    from the post-test wrap-up debriefings; and

-   after a periodic review of the plan.

As sections of the plan are updated, the revised sections are posted to
the internal DCSS web site to ensure the most current information is
available to DR team members. DR participants are notified of the
changes and are encouraged to produce printouts for their copies of the
disaster recovery plan.

Additionally, the plan will be updated in the event an actual disaster
occurs. The plan will be reviewed and updated at a convenient point
after the initial responses to the disaster have been completed.

***Revision History:***

+----------------+-----------------------------------------------------+
| **[Revision    | **[Summary of Changes]{.underline}**                |
| Date]          |                                                     |
| {.underline}** |                                                     |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| November,      | The *Disaster Recovery Plan*, covering the          |
| 2000:          | mainframe systems and the *Compaq Digital           |
|                | AlphaServer Disaster Recovery Plan* were revised    |
|                | following the August, 2000 disaster recovery tests. |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| July, 2001:    | Major restructuring and revision of the disaster    |
|                | recovery plan was completed. The prior two plans    |
|                | are now combined into one plan.                     |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| October, 2001  | Revised Appendices B, C, D, G, and J due to changes |
|                | in communications support and the Comdisco          |
|                | contract, and in preparation for the November, 2001 |
|                | disaster recovery test.                             |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| Nove           | Revised main body and Appendices A, C and F         |
| mber/December, | following the November, 2001 disaster recovery      |
| 2001           | test.                                               |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| March, 2002    | Revised Appendix J for distribution to customers    |
|                | prior to March, 2002 disaster recovery test.        |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| May 2002       | Revised main body and Appendices A, B, C, D, F, G,  |
|                | H, J, K, and L due to contractual changes, customer |
|                | responses to application surveys, and results of    |
|                | the March, 2002 disaster recovery test.             |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| June, 2002     | Revised Attachments list in table of contents to    |
|                | include Department of the Treasury instructions,    |
|                | and Appendices A, C, D, and, I due to further       |
|                | responses to application surveys, contact           |
|                | information changes, and reviews of procedures.     |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| October, 2002  | Revised sections 1, 2, and 4 to reflect contractual |
|                | changes; Appendix A to reflect changes in           |
|                | applications participating in the Disaster Recovery |
|                | Program; Appendices B and D to reflect the new work |
|                | area recovery location; Appendix C to change format |
|                | and update contact telephone numbers; Appendix F to |
|                | reflect updates to recovery procedures based upon   |
|                | further reviews; Appendix J in preparation for the  |
|                | November hot site test; and Appendix I to reflect   |
|                | the new location of the Information Security and    |
|                | Awareness Office.                                   |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| August, 2003   | Revised section 1 to clarify user responsibilities; |
|                | section 4 to record recent test dates; Appendix A   |
|                | to reflect changes to applications supported;       |
|                | Appendix C to reflect personnel changes and to      |
|                | update telephone numbers; Appendix D to reflect     |
|                | changes in vendor support personnel and to update   |
|                | notification procedures; Appendix F to reflect      |
|                | changes to recovery procedures; Appendix G to       |
|                | reflect new IP addresses and update information     |
|                | regarding the T1 line; and Appendix J in            |
|                | preparation for the July hot site test.             |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| April, 2004    | Revised sections 1 and 2 to eliminate references to |
|                | South which was decommissioned January 12, 2004;    |
|                | section 3 to reflect updates to team                |
|                | responsibilities; section 4 to record recent test   |
|                | dates and to describe plan review process and       |
|                | employee training; section 5 to indicate plan       |
|                | approvals; Appendix A to reflect changes to         |
|                | applications supported; Appendix C to reflect       |
|                | personnel changes and updates to alert procedures;  |
|                | Appendix D to reflect changes in vendor support     |
|                | personnel; Appendix F to reflect changes to         |
|                | recovery procedures; Appendix G to reflect changes  |
|                | to IP addresses and pending relocation of the T-1   |
|                | line; Appendix J in preparation for the December    |
|                | hot site test. Eliminated Appendix L, Hot Site JCL  |
|                | (South) due to the decommissioning of South.        |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| July, 2004     | Revised Appendix J and Appendix F in preparation    |
|                | for the July hot site test.                         |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| February, 2005 | Revised section 2 to update the backup procedures;  |
|                | section 4 to record current test dates; Appendix A  |
|                | to reflect changes to applications supported;       |
|                | Appendix C to reflect personnel changes; Appendix D |
|                | to reflect changes in vendor support personnel;     |
|                | Appendix E to reflect personnel changes; Appendix F |
|                | to reflect changes to recovery procedures; Appendix |
|                | G to reflect changes to IP addresses and T-1 line   |
|                | relocation; Appendix H to reflect changes in        |
|                | products and vendor contacts; Appendix J to reflect |
|                | changes to test instructions prior to the December  |
|                | test.                                               |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| November, 2005 | Revised Section 2 to reflect hot site hardware      |
|                | changes; section 4 to record current test dates;    |
|                | Appendix A to reflect changes to applications       |
|                | supported; Appendices C, D, and E to reflect        |
|                | personnel changes; Appendix F to reflect changes to |
|                | recovery procedures based on July test results;     |
|                | Appendix G to reflect changes to communications     |
|                | architecture; Appendix H to reflect changes to      |
|                | vendor contact information; Appendix J to reflect   |
|                | changes to test instructions prior to the December  |
|                | test; replaced Attachment 4 (3172 Configuration     |
|                | Controls) with Communication Architecture and       |
|                | Configuration detailing the disaster recovery       |
|                | network (the 3172 is no longer used for             |
|                | communications connectivity on the mainframe).      |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| June, 2006     | Revised Appendix J in preparation for the July 17 - |
|                | 18, 2006 DR test.                                   |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| July, 2006     | Revised Section 1 to clarify the Disaster Recovery  |
|                | Program is provided as a paid service open to any   |
|                | Titan or EOS customer; Section 2 to update the      |
|                | mainframe configuration; Section 4 to record the    |
|                | most current tests; and Section 5 to describe the   |
|                | procedures for publishing plan updates on the DCSS  |
|                | internal web site and to indicate recent revisions. |
|                |                                                     |
|                | Revised Appendix D to reflect changes to SunGard    |
|                | contact information and DCSS authorized disaster    |
|                | declarers.                                          |
|                |                                                     |
|                | Revised Appendix F1 to reflect changes to Titan     |
|                | recovery procedures based on July test results.     |
|                |                                                     |
|                | Revised Appendix K to describe Titan communications |
|                | used for DR testing. This replaces the previous     |
|                | Appendix K, VTAM Telecommunications.                |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| September,     | Revised Appendix C to describe mitigation actions   |
| 2006           | to potential accessibility problems to the          |
|                | alternate processing sites, revised team            |
|                | memberships based on personnel changes and updated  |
|                | contact information.                                |
|                |                                                     |
|                | Revised Appendix E to indicate the off-site tape    |
|                | backup storage facility is not susceptible to the   |
|                | same hazards affecting the Data Center and to       |
|                | reflect changes in personnel authorized to request  |
|                | tape deliveries and/or manage backup tape storage   |
|                | procedures.                                         |
+----------------+-----------------------------------------------------+
|                |                                                     |
+----------------+-----------------------------------------------------+
| October, 2006  | Revised Section 4.5, inserted the dates for the     |
|                | July 2007 test.                                     |
|                |                                                     |
|                | Revised Appendix B to include alternate routes to   |
|                | the work area recovery center.                      |
|                |                                                     |
|                | Revised Section 4.6 to include the list of specific |
|                | training activities and frequency.                  |
+----------------+-----------------------------------------------------+

***Plan Approval:***

  ---------------- -------------------------------------- ----------------
  **Revision**     **Signed, Director DCSS**              **Date**

  April, 2004      /s/ John Dickson                       4/12/04
  ---------------- -------------------------------------- ----------------