Contingency Plan Template Appendix I-3

**\<FACILITY/SYSTEM\>**

**CONTINGENCY PLAN**

**Version \<*number*\>**

**\<*Date submitted*\>**

Submitted to:

Submitted By:

\<*Facility name*\>

\<*Facility address*\>

\<*Facility address*\>

\<*Facility address\>*

**Table of Contents**

[1 Executive Summary 1](#executive-summary)

[2 Introduction 1](#introduction)

[2.1 Purpose 3](#purpose)

[2.2 Scope 3](#scope)

[2.3 Plan Information 3](#plan-information)

[3 Contingency Plan Overview 4](#contingency-plan-overview)

[3.1 Applicable Provisions and Directives
4](#applicable-provisions-and-directives)

[3.2 Objectives 4](#objectives)

[3.3 Organization 5](#organization)

[3.4 Contingency Phases 8](#contingency-phases)

[3.4.1 Response Phase 8](#response-phase)

[3.4.2 Resumption Phase 8](#resumption-phase)

[3.4.3 Recovery Phase 8](#recovery-phase)

[3.4.4 Restoration Phase 9](#restoration-phase)

[3.5 Assumptions 9](#assumptions)

[3.6 Critical Success Factors and Issues
9](#critical-success-factors-and-issues)

[3.7 Mission Critical Systems/Applications/Services
10](#mission-critical-systemsapplicationsservices)

[3.8 Threats 10](#threats)

[3.8.1 Probable Threats 11](#probable-threats)

[4 System Description 12](#system-description)

[4.1 Physical Environment 12](#physical-environment)

[4.2 Technical Environment 12](#technical-environment)

[5 Plan 12](#plan)

[5.1 Plan Management 12](#plan-management)

[5.1.1 Contingency Planning Workgroups
12](#contingency-planning-workgroups)

[5.1.2 Contingency Plan Coordinator 12](#contingency-plan-coordinator)

[5.1.3 System Contingency Coordinators
13](#system-contingency-coordinators)

[5.1.4 Incident Notification 13](#incident-notification)

[5.1.5 Internal Personnel Notification
13](#internal-personnel-notification)

[5.1.6 External Contact Notification 13](#external-contact-notification)

[5.1.7 Media Releases 14](#media-releases)

[5.1.8 Alternate Site (s) 14](#alternate-site-s)

[5.2 Teams 14](#teams)

[5.2.1 Damage Assessment Team 14](#damage-assessment-team)

[5.2.2 Operations Team 15](#operations-team)

[5.2.3 Communications Team 15](#communications-team)

[5.2.4 Data Entry and Control Team 15](#data-entry-and-control-team)

[5.2.5 Off-Site Storage Team 15](#off-site-storage-team)

[5.2.6 Administrative Management Team
15](#administrative-management-team)

[5.2.7 Procurement Team 15](#procurement-team)

[5.2.8 Configuration Management Team 16](#configuration-management-team)

[5.2.9 Facilities Team 16](#facilities-team)

[5.2.10 System Software Team 16](#system-software-team)

[5.2.11 Internal Audit Team 16](#internal-audit-team)

[5.2.12 User Assistance Team 16](#user-assistance-team)

[5.3 Data Communications 16](#data-communications)

[5.4 Backups 16](#backups)

[5.4.1 Vital Records/Documentation 17](#vital-recordsdocumentation)

[5.5 Office Equipment, Furniture and Supplies
19](#office-equipment-furniture-and-supplies)

[5.6 Recommended Testing Procedures 19](#recommended-testing-procedures)

[6 Recommended Strategies 20](#recommended-strategies)

[6.1 Critical Issues 20](#critical-issues)

[*6.1.1* *Power* 20](#power)

[*6.1.2* *Diversification of Connectivity*
20](#diversification-of-connectivity)

[*6.1.3* *Offsite Backup Storage* 21](#offsite-backup-storage)

[7 Terms And Definitions 21](#terms-and-definitions)

[8 Appendices 41](#appendices)

[APPENDIX A -- CONTINGENCY PLAN CONTACT INFORMATION
42](#__RefHeading___Toc520775999)

[APPENDIX B -- EMERGENCY PROCEDURES 44](#__RefHeading___Toc520776000)

[APPENDIX C -- TEAM STAFFING AND TASKINGS
46](#__RefHeading___Toc520776001)

[APPENDIX D -- ALTERNATE SITE PROCEDURES
48](#__RefHeading___Toc520776002)

[APPENDIX E -- DOCUMENTATION LIST 50](#__RefHeading___Toc520776003)

[APPENDIX F -- SOFTWARE INVENTORY 52](#__RefHeading___Toc520776004)

[APPENDIX G -- HARDWARE INVENTORY 54](#__RefHeading___Toc520776005)

[APPENDIX H -- COMMUNICATIONS REQUIREMENTS
56](#__RefHeading___Toc520776006)

[APPENDIX I - VENDOR CONTACT LISTS 58](#__RefHeading___Toc520776007)

[APPENDIX J - EXTERNAL SUPPORT AGREEMENTS
60](#__RefHeading___Toc520776008)

[APPENDIX K - DATA CENTER/COMPUTER ROOM
EMERGENCY](#__RefHeading___Toc520776009)

[PROCEDURES AND REQUIREMENTS 62](#__RefHeading___Toc520776009)

[APPENDIX L - PLAN MAINTENANCE PROCEDURES
64](#__RefHeading___Toc520776010)

[APPENDIX M - CONTINGENCY LOG 66](#__RefHeading___Toc520776011)

# Executive Summary

Written upon completion of document. Contains introductory descriptions
from all sections.

# Introduction

*This document contains the Contingency Plan for the
\<Facility/System\>. It is intended to serve as the centralized
repository for the information, tasks, and procedures that would be
necessary to facilitate the \<Facility/System\> management's
decision-making process and its timely response to any disruptive or
extended interruption of the department\'s normal business operations
and services. This is especially important if the cause of the
interruption is such that a prompt resumption of operations cannot be
accomplished by employing only normal daily operating procedures.*

*In terms of personnel and financial resources, the information tasks
and procedures detailed in this plan represent the \<Facility/System\>
management's demonstrated commitment to response, resumption, recovery,
and restoration planning. Therefore, it is essential that the
information and action plans in this plan remain viable and be
maintained in a state of currency in order to ensure the accuracy of its
contents. To that end, this introduction is intended to introduce and
familiarize its readers with the organization of the plan.*

*It is incumbent upon every individual who is in receipt of the
\<Facility/System\> Contingency Plan, or any parts thereof, or who has a
role and/or responsibility for any information or materials contained in
the document, to ensure that adequate and sufficient attention and
resources are committed to the maintenance and security of the document
and its contents.*

*Since the information contained in this document describes
\<Facility/System\> management's planning assumptions and objectives,
the plan should be considered a sensitive document. All of the
information and material contents of this document should be labeled,
"Limited Official use".*

*The \<Facility/System\> management has recognized the potential
financial and operational losses associated with service interruptions
and the importance of maintaining viable emergency response, resumption,
recovery and restoration strategies.*

*The \<Facility/System\> Contingency Plan is intended to provide a
framework for constructing plans to ensure the safety of employees and
the resumption of time-sensitive operations and services in the event of
an emergency (fire, power or communications blackout, tornado,
hurricane, flood, earthquake, civil disturbance, etc.)*

*Although the \<Facility/System\> Contingency Plan provides guidance and
documentation upon which to base emergency response, resumption, and
recovery planning efforts, it is not intended as a substitute for
informed decision-making. Business process managers and accountable
executives must identify services for which disruption will result in
significant financial and/or operational losses. Plans should include
detailed responsibilities and specific tasks for emergency response
activities and business resumption operations based upon pre-defined
time frames.*

Constructing a plan and presenting it to senior management may satisfy
the immediate need of having a documented plan. However, this is not
enough if the goal is to have a viable response, resumption, recovery,
and restoration capability. In order to establish that capability,
plans, and the activities associated with their maintenance (i.e.
training, revision, and exercising) must become an integral part of
\<Name\> operations.

A Contingency Plan is not a one-time commitment and is not a project
with an established start and end date. Instead, a Contingency Plan is
an on-going, funded business activity budgeted to provide resources
required to:

-   *Perform activities required to construct plans*

-   *Train and retrain employees*

-   *Develop and revise policies and standards as the department
    changes*

-   *Exercise strategies, procedures, team and resources requirements*

-   *Re-exercise unattained exercise objectives*

-   *Report on-going continuity planning to senior management*

-   *Research processes and technologies to improve resumption and
    recovery efficiency*

-   *Perform plan maintenance activities*

*Developing a Contingency Plan that encompasses activities required to
maintain a viable continuity capability ensures that a consistent
planning methodology is applied to all of the \<Facility or Systems\>.
Contingency Plan elements necessary to create a viable, repeatable and
verifiable continuity capability include:*

-   *Implementing accurate and continuous vital records, data backup,
    and off-site storage*

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-   *Implementing capabilities for rapid switching of voice and data
    communication circuits to alternate site(s)*

-   *Providing alternate sites for business operations*

-   *Constructing a contingency organization*

-   *Implementing contingency strategies*

## Purpose

*The purpose of this plan is to enable the sustained execution of
mission critical processes and information technology systems for
\<Facility/System\> in the event of an extraordinary event that causes
these systems to fail minimum production requirements. The
\<Facility/System\> Contingency Plan will assess the needs and
requirements so that \<Facility/System\> may be prepared to respond to
the event in order to efficiently regain operation of the systems that
are made inoperable from the event.*

## Scope

*Insert information on the specific systems, locations, Facility
divisions, technical boundaries and physical boundaries of the
\<Facility/System\> Contingency Plan.*

## Plan Information

*The Contingency Plan contains information in two parts related to the
frequency of updates required. The first part contains the plan's
**static** **information** (i.e. the information that will remain
constant and will not be subject to frequent revisions). The second part
contains the plan's **dynamic information** (i.e. the information that
must be maintained regularly to ensure that the plan remains viable and
in a constant state of readiness). This dynamic information is viewed as
the action plan. The action plan should be considered a living document
and will always require continuing review and modification in order to
keep up with the changing \<facility/system\> environment.*

*The static information part of the Contingency Plan is contained in a
MS-Word file and printed as part of this document. This static
information should be read and understood by all employees, users, and
administrators of the \<Facility/System\>, or at least by those
individuals who are involved in any phase of business response,
resumption, recovery, or restoration.*

*The dynamic information resides in the database of the \<System Name\>
and will be printed as output for the appendixes of this document. By
using the database, dynamic information that is vital to the survival of
the \<Facility/System\> will be easy to manage and update. The
web-enabled database is designed for maintenance of personnel contact
lists, emergency procedures, and technical components. It is already in
operation for \<Name\> agencies.*

*For ease of use and reference, the static and dynamic information is
maintained separately. While it is necessary to be familiar with the
static information during resumption, it should not be necessary to read
that information at the time of the event. The completed action plan of
dynamic information provides all of the necessary lists, tasks, and
reports used for response, resumption, or recovery.*

# Contingency Plan Overview

## Applicable Provisions and Directives

*The development of the \<Facility/System\> Contingency Plan is required
by executive decisions and to meet regulatory mandates. The
\<Facility/System\> management must maintain an information assurance
infrastructure that will ensure that its information resources maintain
availability, confidentiality, integrity, and non-repudiation of its
data. Furthermore, \<Facility/System\> management must ensure their
strategic information resources management capabilities. Therefore, the
\<Facility/System\> Contingency Plan is being developed in accordance
with the following executive decisions, regulatory mandates, provisions,
and directives:*

-   *Office of Management and Budget Circular A--130, Revised
    (Transmittal Memorandum No. 4), Appendix III, Security of Federal
    Automated Information Resources, November 2000.*

-   *Computer Security Act of 1987, Public Law 100-235, January 1988.*

-   *Presidential Decision Directive 63, Critical Infrastructure
    Protection, May 1998.*

-   *Presidential Decision Directive 67, Enduring Constitutional
    Government and Continuity of Government Operations, October 1998.*

-   *Executive Order 12656, Assignment of Emergency Preparedness
    Responsibilities, November 1988.*

-   *Federal Information Processing Standards (FIPS) Publication 87,
    Guidelines for ADP Contingency Planning, March 1981.*

-   *DOJ Order 2640.2D, Information Technology Security, July 12, 2001.*

*The \<Facility/System\> Contingency Plan is designed to be in
accordance with the strategic intent of the\<Name\> and the \<Name\>'s
functional and operational mission.*

## Objectives

*The \<Facility\> is dependent on the variety of systems classified as
General Support Systems (GSSs), which provide mission critical functions
of connectivity, Internet access, and email, or Major Applications (MAs)
which are specific software programs written to produce output to
fulfill the \<Facility's\> service to its customers or enable the
\<Facility/System\> to operate. In addition these systems provide the
means to offer electronic government (e-government). Although many
threats and vulnerabilities can be mitigated, some of the threats cannot
be prevented. Therefore, it is important that \<Facility/System\>
develop contingency plans and disaster recovery plans to ensure the
uninterrupted existence of its business functions and continued service
to the\<Name\> and the public.*

The primary focus of a contingency plan revolves around the protection
of the two most important assets of any organization: personnel and
data. All facets of a contingency plan should address the protection and
safety of personnel and the protection and recovery of data. The primary
objective of this plan is to establish policies and procedures to be
used for information systems in the event of a contingency to protect
and ensure functioning of those assets. This includes establishing an
operational capability to process pre-designated critical applications,
recovering data from off-site backup data sets, and restoring the
affected systems to normal operational status. The plan seeks to
accomplish the following additional objectives:

-   *Minimize the number of decisions which must be made during a
    contingency*

-   *Identify the resources needed to execute the actions defined by
    this plan*

-   *Identify actions to be undertaken by pre-designated teams*

-   *Identify critical data in conjunction with customers that will be
    recovered during the Hot Site phase of recovery operations*

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-   *Define the process for testing and maintaining this plan and
    training for contingency teams*

## Organization

*In the event of a disaster or other circumstances which bring about the
need for contingency operations, the normal organization of the
\<Facility\> will shift into that of the contingency organization. The
focus of the \<Facility/System\> will shift from the current structure
and function of "business as usual" to the structure and function of an
\<Facility/System\> working towards the resumption of time-sensitive
business operations. In this plan, the \<Facility/System's\> contingency
organization will operate through phases of response, resumption,
recovery, and restoration. Each phase involves exercising procedures of
the \<Facility/System\> Contingency Plan and the teams executing those
plans. The teams associated with the plan represent functions of a
department or support functions developed to respond, resume, recover,
or restore operations or facilities of the \<Facility/System\> and its
affected systems. Each of the teams is comprised of individuals with
specific responsibilities or tasks, which must be completed to fully
execute the plan. Primary and alternate team leaders, who are
responsible to the plan owner, lead each team.*

*Each team becomes a sub-unit of the \<Facility's\> contingency
organization. Coordination teams may be singular for the \<Facility\>,
whereas technical teams will likely be system specific. Figure 3-1,
Contingency Planning Organizational Chart, shows the base organizational
structure. The teams are structured to provide dedicated, focused
support in the areas of their particular experience and expertise for
specific response, resumption and recovery tasks, responsibilities, and
objectives. A high degree of interaction among all teams will be
required to execute the corporate plan. Each team's eventual goal is the
resumption/recovery and the return to stable and normal business
operations and technology environments. Status and progress updates will
be reported by each team leader to the plan owner. Close coordination
must be maintained with \<system\> and \<Name\> management and each of
the teams throughout the resumption and recovery operations.*

*The \<Facility/System\> contingency organization's primary duties are:*

-   *To protect employees and information assets until normal business
    operations are resumed.*

-   *To ensure that a viable capability exists to respond to an
    incident.*

-   *To manage all response, resumption, recovery, and restoration
    activities.*

-   *To support and communicate with employees, system administrators,
    security officers, and managers.*

-   *To accomplish rapid and efficient resumption of time-sensitive
    business operations, technology, and functional support areas.*

-   *To ensure regulatory requirements are satisfied.*

-   *To exercise resumption and recovery expenditure decisions.*

-   *To streamline the reporting of resumption and recovery progress
    between the teams and management of each system.*

**Figure 3-1 Contingency Planning Organizational Chart**

## Contingency Phases

The \<*Facility/System*\> Contingency Plan Coordinator, in conjunction
with \<*Facility/System*\> and *\<Name\> management will determine which
Teams/Team members are responsible for each function during each phase.
As tasking is assigned, additional responsibilities, teams, and task
lists need to be created to address specific functions during a specific
phase.*

### Response Phase

-   *To establish an immediate and controlled \<system\> presence at the
    incident site.*

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-   *To conduct a preliminary assessment of incident impact, known
    injuries, extent of damage, and disruption to the \<system's\>
    services and business operations.*

-   *To find and disseminate information on if or when access to the
    \<system's\> facility will be allowed.*

-   *To provide \<system\> management with the facts necessary to make
    informed decisions regarding subsequent resumption and recovery
    activity*.

### Resumption Phase

-   *To establish and organize a management control center and
    headquarters for the resumption operations.*

-   *To mobilize and activate the support teams necessary to facilitate
    and support the resumption process.*

-   *To notify and appraise time-sensitive business operation resumption
    team leaders of the situation.*

-   *To alert employees, vendors and other internal and external
    individuals and organizations.*

### Recovery Phase

-   *To prepare and implement procedures necessary to facilitate and
    support the recovery of time-sensitive business operations.*

-   *To coordinate with higher headquarters to discern responsibilities
    that will fall upon \<system\> Business Operations Recovery Teams
    and Technology Recovery Teams*

-   *To coordinate with employees, vendors, and other internal and
    external individuals and organizations.*

### Restoration Phase

-   *To prepare procedures necessary to facilitate the relocation and
    migration of business operations to the new or repaired facility.*

-   *Implement procedures necessary to mobilize operations, support and
    technology department relocation or migration.*

-   *Manage the relocation/migration effort as well as perform employee,
    vendor, and customer notification before, during, and after
    relocation or migration.*

## Assumptions

Include any assumptions that the Contingency Plan will hinge on. This
could range from absolutely necessary conditions to helpful information
in support of the contingency plan phases.

-   *Telecommunications connectivity and fiber optic cabling will be
    intact and provided by General Services Administration (GSA).*

-   *That all necessary Memorandums of Agreement (MOAs) and Memorandums
    of Understanding (MOUs) have been executed.*

## Critical Success Factors and Issues

This section addresses the factors and issues that specifically apply to
the \<Facility/System\> Contingency Plan project that have been
identified to be critical to the successful implementation of the
Contingency Plan. These factors are as follows:

-   *Absolute commitment by senior management to Contingency Planning
    and Disaster Recovery.*

-   *Budgetary commitment to Disaster Recovery.*

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-   *Modifications and improvements to the current scheduling procedures
    for the retention and transportation of back up files to the offsite
    storage facility.*

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-   *Development and execution of the necessary Memorandums of Agreement
    (MOAs), Memorandums of Understanding (MOUs), and Service Level
    Agreements (SLAs).*

-   *Completion of requirement assessment for, and then completion of
    the procurement of a diesel generated alternate power source.*

## Mission Critical Systems/Applications/Services

The following essential mission critical systems/applications/services
that must be recovered at the time of disaster in the following order
due to critical interdependencies:

\<*Facility/System*\> *has identified the applications and services
shown in Figure 1.2 as mission critical:*

  -------------------------- --------------------------------------------
  **SYSTEMS ACRONYM**        **SYSTEM NAME**

  *Exchange Mail*            *Microsoft E-mail system*

  *Internet Connectivity*    *UUNet*

                             

  []{.mark}                  []{.mark}

                             

                             

                             

                             

                             

                             
  -------------------------- --------------------------------------------

**Figure 3-2 Mission Critical Systems**

## Threats

When developing strategies for a contingency plan, it is helpful to
consider the entire range of probable and possible threats that present
a risk to an organization. From that range of threats, likely scenarios
can be developed and appropriate strategies applied. A disaster recovery
plan should be designed to be flexible enough to respond to extended
business interruptions, as well as major disasters.

*The best way to achieve this goal is to design a contingency plan that
could be used to address a major disaster, but is divided into sections
that can be used to address extended business interruptions. While each
of the identified threats could result in a disaster by itself, in a
major disaster several of the threats might be present concurrently or
occur sequentially, depending on the circumstances.*

*As a result, it is advisable to develop several levels of strategies
that can be applied as needed. For example, a localized fire in the
computing center may render some of that space unusable. An appropriate
strategy for that event may be temporary relocation of personnel to
another office within \<Name\> headquarters or in other suitable local
office space in another office building or hotel. An event that required
temporary evacuation of the computer center, such as a truck accident in
the tunnel and a chemical spill that may require several days to
resolve, may necessitate switchover capabilities and possible regional
mirrored redundancy capabilities that would be transparent to the users.
An event of greater magnitude, such as an explosion, may render the
\<Name of headquarters or national office\> unusable for an extended
duration of time and might necessitate a strategy based on mirrored
redundancy as well as a secondary strategy involving a commercial hot
site. Time sensitivity and mission criticality in conjunction with
budgetary limitations, level of threat and degree of risk will be major
factors in the development of recommended strategies. (See § 6 for
Recommended Strategies)*

### Probable Threats

*The table depicts the threats most likely to impact the \<Facility\>
and components of \<systems\> and their management. The specific threats
that are represented by (XX) are considered the most likely to occur
within the \<system\> environment.*

  ---------------------------- -------------- -------------- --------------
  **PROBABILITY OF THREATS**                                 

  **Probability of             **High**       **Medium**     **Low**
  Occurrence:**                                              

  **Air Conditioning Failure**                ***X***        

  **Aircraft Accident**                                      ***X***

  **Blackmail**                               ***X***        

  **Bomb Threats**                            ***X***        

  **Chemical Spills / HazMat** ***X***                       

  **Cold / Frost / Snow**                                    ***X***

  **Communications Loss**                     ***X***        

  **Data Destruction**                        ***X***        

  **Earthquakes**                                            ***X***

  **Fire**                     ***XX***                      

  **Flooding / Water Damage**                                ***X***

  **Nuclear Mishaps**                                        ***X***

  **Power Loss / Outage**      ***XX***                      

  **Sabotage / Terrorism**                    ***X***        

  **Storms / Hurricanes**                                    ***X***

  **Vandalism / Rioting**                     ***X***        
  ---------------------------- -------------- -------------- --------------

**Figure 3-3 \<*System*\>: Risk Analysis Matrix**

# System Description

In this section include information for each system under ownership or
controlling authority of the \<Facility/System\>. Controlling authority
assumes that a function or mission element of a Facility/System has been
contracted to an outside entity that provides the facilities, hardware,
and software and personnel required to perform that task. \<Name\> and
the Facility retain the oversight of that operation and therefore are
the controlling activity for that system.

## Physical Environment

Include the building location, internal facilities, entry security
measures, alarms, and access control.

## Technical Environment

Include accurate description of hardware (processors, memory, media
storage) and system software (operating system, applications). Include
number of users, interconnected systems, and operational constraints.

Put specific software and hardware inventories, SLAs, vendor contacts in
appendixes.

# Plan

## Plan Management

### Contingency Planning Workgroups

The development of recovery strategies and work-arounds require
technical input, creativity, and pragmatism. The best way to create
workable strategies and cohesive teams that leverage out-of-the-box
thinking is to involve management and information resource management
personnel in an ongoing informative dialogue. The \<Facility/System
Name\> management has developed and is facilitating Contingency Planning
workgroups to assist in the development and review of strategies, teams,
and tasks.

### Contingency Plan Coordinator

*A coordinator and an alternate should be appointed by \<Facility\>
management and system owners to monitor and coordinate the
\<Facility/System\> Contingency Plan, training and awareness, exercises,
and testing. Additionally, this person will coordinate strategy
development with Contingency Planning Workgroups, System Contingency
Coordinator, Team Leaders, Business Process Owners, and Management. The
Contingency Planning Coordinator should work closely with system
technical managers to ensure the viability of the \<Facility/System\>
Contingency Plan. The Contingency Plan Coordinator will manage
contingency teams that are not system specific (see section 5.2). It is
recommended that the individual(s) appointment(s) be documented in
writing, and that specific responsibilities be identified and included
in their job descriptions.*

### System Contingency Coordinators

*A coordinator and an alternate should be appointed for EACH SYSTEM
under ownership or controlling authority of the \<Facility/System\> by
\<Facility\> management and system owners. Their primary task will be to
monitor and coordinate the \<Facility/System\> contingency planning,
training and awareness, exercises, and testing. Additionally, this
person will manage contingency teams (see Section 5.2) that are assigned
specifically to their system and report directly to the Contingency Plan
Coordinator. It is recommended that the individual(s) appointment(s) be
documented in writing, and that specific responsibilities be identified
and included in their job descriptions.*

### Incident Notification

*The facilities managers for the locations where the critical components
of the \<Facility's\> systems are located should be provided with the
telephone numbers of \<Facility/System\> Emergency Response Team
members. Upon notification, the team will meet in (TBD) for the purpose
of conducting initial incident assessment and issuing advisory reports
of status to the \<Facility/System\> and \<Name\> management. If the
facilities manager, emergency response personnel, or \<Facility\>
Emergency Response Team Leader has determined that the building cannot
be entered, the alternate meeting place will be the (TBD).*

### Internal Personnel Notification

*The \<Facility/System's\> "Emergency Notification" procedure, or a
modified version thereof, should be developed and used for notification
of the Crisis Management Team and other Disaster Recovery Teams
regarding specific response actions taken during response operations.
Within the "personal contact" database, a single source personal
information table should readily available that includes home addresses,
contact telephone phone numbers, and emergency contact information. In
the event of a disaster, a lack of specific personal data, including
home addresses, cell phone numbers, pager numbers, and alternate contact
information, could result in the inability to locate and contact key
personnel and team members. This automated personnel database should be
maintained and updated continuously. This database may be maintained
internally or somewhere else within the department, as long as the
information contained therein remains current and accessible.*

### External Contact Notification 

*The \<Facility/System's\> "Emergency Notification" procedure, or a
modified version thereof, should be developed and used for notification
of its Contingency Plan service providers, \<Name\> agencies, external
contacts, vendors, suppliers, etc.*

### Media Releases 

All incident related information (printed or spoken), concerning the
\<Name\> will be coordinated and issued through the Department or
Component Office of Public Affairs (OPA).

### Alternate Site (s) 

Include location of pre-positioned Information Technology Assets for
activation in a contingency operation mode. It is suggested that local
sites for facility-/system-specific contingencies be maintained, such as
a "Tech Hotel," where the contingency planner rents space and
information technology equipment.

Additional local alternatives could be in the form of reciprocating MOAs
and/or MOUs with *\<Name\>* or other Federal agencies for the
utilization of space for the installation of equipment, connectivity
infrastructure and personnel accommodations should the need arise.

An alternate site with a distance of at least 100 miles should be
considered. Should a regional event take place that renders Facility
systems ineffective and the inability for physical access, a relocation
site would serve the needs for contingency operations.

## Teams

*The following are suggested teams that will be assigned to execute the
contingency plan:* Some teams may not be necessary depending on the
system. If this is the case you should simply remove the heading and
table. Certain teams will be replicated for each system and placed under
the System Contingency Coordinator given the vast differences in
hardware, software, and external communications for each system. Each
team will have a roster and task list of actions and responsibilities
generated by the IMS database to be included in an appendix.

### Damage Assessment Team

*The Damage Assessment Team is a technical group responsible for
assessing damage to the Facility/System and its components. It is
composed of personnel with a thorough understanding of hardware and
equipment and the authority to make decisions regarding the procurement
and disposition of hardware and other assets. This team is primarily
responsible for initial damage assessment, accounting of damage
assessment, loss minimization, salvage and procurement of necessary
replacement equipment and interfaces. This team should include vendor
representatives.*

*The Damage Assessment Team will enter the facility as soon as they have
received permission to do so from emergency services. A written detailed
account should be made of the general status of the work area, with
specific attention to the condition of hardware, software, furnishings,
and fixtures. Recommendations should be made that all damaged equipment,
media, and documentation be routed immediately to disaster recovery and
restoration experts for a determination as to its ability to be salvaged
or restored.*

### Operations Team

*The Operations Team consists of operators responsible for running
emergency production for critical systems, coordinating with Backup Team
to ensure that applications system data and operating instructions are
correct, and with the Liaison Team to advise of the production status
and any unusual problems requiring assistance. Data Input/Control Teams
could be separate groups or subgroups of the Operations Team. Also, the
PC Support Team under the Operations Recovery Team is responsible for
re-establishing microcomputer operations at the backup site or remote
sites and for assisting with reinstating PC applications.*

### Communications Team

The Communications Team is composed of \<Facility/System's\>
communications specialists responsible for restoring voice, data, and
video communications links between users and the computers, regardless
of location in the event of a loss or outage. Communication vendor
(carrier) input in designing and implementing the recovery plan is very
important. Influential factors in developing recovery procedures for
this team include: the type of network, the time requirement for
restoration, percentage of the network to be recovered, and budget
considerations.

### Data Entry and Control Team

The Data Entry and Control Team is responsible for entering data as it
is restored. They ensure that the data is the best available backup and
meets validation for the system.

### Off-Site Storage Team

The Off-site Storage Team is responsible for retrieving backup copies of
operating systems applications, systems, applications data, and ensuring
security of the data, backup facilities, and original facilities. The
team is composed of members of \<Facility/System\> familiar with vital
records archival and retrieval.

### Administrative Management Team

The Administrative Management Team coordinates Primary and Alternate
Site security and specialized clerical and administrative support for
the Contingency Plan Coordinator and all other teams during disaster
contingency proceedings. The Administrative Team may also assist groups
outside the information resources area as needed. The Administrative
Team is responsible for reassembling all documentation for standards,
procedures, applications, programs, systems, and forms, as required at
the backup site. The Administrative Team is responsible for arranging
for transportation of staff, equipment, supplies, and other necessary
items between sites.

### Procurement Team

The Procurement Team consists of persons knowledgeable of the
information resources and supplies inventory and the budgetary, funding,
and acquisition processes responsible for expediting acquisition of
necessary resources.

### Configuration Management Team

The Configuration Management Team is composed of individuals with
teleprocessing skills. They work closely with the Communications Teams
in establishing voice and data communication capabilities.

### Facilities Team

The Facilities Team is responsible for arranging for the primary and
backup facilities and all components.

### System Software Team

The System Software Team consists of system software programmers
responsible for providing the system software support necessary for
production of critical applications systems during recovery.

### Internal Audit Team

The Internal Audit Team is responsible for observation and oversight
participation in the recovery effort.

### User Assistance Team

The User Assistance team is composed of individuals with application use
knowledge. The team is made up of major user area managers, production
control, and applications lead analysts responsible for coordination and
liaison, with the information resources staff for applications recovery
and restoration of data files and databases. Under the general
leadership of the User Assistance Team, technical applications
specialist and database administration sub-teams perform necessary
application restoration activities. Setting priorities for applications
recovery is a primary influence on procedures for this team and its
subgroups.

## Data Communications

*Depending on the location of the cabling, a cable cut by a backhoe
could render an \<Facility/System\> and associated buildings without
connectivity. Oftentimes, "redundant cabling" can mean two fiber optic
cables laid in the same trench for failover connectivity. While this may
be adequate for routine telecommunication interruptions, it represents a
single point of failure for communications and connectivity.*

*The level of data connectivity required will be determined pending the
final decision regarding the disaster declaration. Data communications
specifications should be documented in APPENDIX \<H\> , Communication
Requirements, in this plan and should be stored in the secure offsite
storage location or \<Name\>, in the event that a permanent replacement
facility is required.*

## Backups

*The most important physical asset in any Facility/System is its data
and information. Data and information processing are a major reason for
the existence of \<Name\>. Moreover, all of the \<Name\> systems are
dependent on the preservation of data, including software manuals and
documentation. In order to minimize the impact of a disaster, it is
extremely important to protect the sensitivity or confidentiality of
data; to preserve the authenticity and accuracy of data, and to maintain
the availability of data. These three goals are commonly defined as
"Confidentiality, Integrity, and Availability". The protection of the
confidentiality, integrity, and availability of data is of singular
importance in information security and disaster recovery planning.
Confidentiality, integrity, and availability of data are intrinsic to
disaster recovery planning.*

*Effective procedures to perform full data back ups on a regular weekly
basis must be implemented. A copy of the weekly back ups should be
securely transported on a weekly basis and stored off site in an
environmentally controlled storage facility, preferably outside the
immediate regional area. Frequent backups should be implemented to
ensure the recovery of the most current data version and to increase the
likelihood of usable media in a post-event scenario.*

### Vital Records/Documentation 

*Vital records and important documentation should be backed up and
stored off site. Vital records are any documents or documentation that
is essential to the operations of an organization, such as personnel
records, software documentation, legal documentation, legislative
documentation, benefits documentation, etc.*

*Documentation of all aspects of computer support and operations is
important to ensure continuity and consistency. Formalizing operational
practices and procedures in detail helps to eliminate security lapses
and oversights, gives new personnel detailed instructions on how to
operate equipment or do a particular task, and provides a quality
assurance function to help ensure that operations will be performed
correctly and efficiently every time.*

*Security documentation should be developed to fulfill the needs of
those who use it. For this reason, many organizations separate
documentation into policy and procedures for each user level. For
example, a functional security procedures manual should be written to
inform end users how to do their jobs securely while a technical and
operational security procedures manual should be written for systems
operations and support staff focusing on system administrations concerns
in considerable detail.*

*There should be at least two copies of current system security
documentation. One copy should be stored on site and be immediately
accessible. A back up copy must be stored off site and should include
documents such as system security plans (SSP), contingency plans, risk
analyses, and security policies and procedures. Additional copies may be
necessary for some documentation, such as contingency plans, which
should be easily accessible in the event of a disaster. It is
recommended that copies of the Contingency Plan be distributed to the
\<Facility/System\> Contingency Plan Coordinator, Executive Management,
and Team Leaders for safekeeping.*

*Documentation should be duplicated either in hard copy or compatible
media format and stored at the off-site storage or the (recovery site)
location. The original primary on-site unit retains the original copies
of all information. Updates to documentation should be rotated on an
as-required basis, under the control of the responsible team. Off-site
documentation should include technical and operational documentation.*

Many of the below listed documents may be found in the completed
certification and accreditation package (the System Security
Authorization Agreement (SSAA) and Appendices). If the information is in
the SSAA, keep it current and maintain a copy off-site.

*The following documentation should be maintained off site:*

-   *Security related Information Technology (IT) policy & procedure
    memorandum, circulars, publications*

-   *Department or component mission statement*

-   *Letters of delegation for key Information System security
    personnel*

-   *Complete hardware and software listings*

-   *Internal security, Information System audits*

-   *Detailed IT architecture schematics (logical/physical, network,
    devices)*

-   *Network cable routing schematics (on floor overlay)*

-   *System testing plans/procedures*

-   *Review and approval of plans/procedures*

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-   *System Configuration*

-   *Review and approval of proposed configuration*

-   *Changes made to the system configuration*

-   *Evaluation of changes for security implications*

-   *Technical standards for system design, testing and maintenance to
    reflect security objectives*

-   *Contingency plans for incident response procedures and backup
    operations*

-   *Data backup/restoration procedures and procedures for storage,
    transportation and handling of backup tapes*

-   *Reports of security related incidents*

-   *Sensitivity and criticality determination*

-   *Baseline security checklist for each system*

-   *Software licensing information*

*Additionally, it is recommended that \<Facility/System\> management
personnel develop detailed procedural manuals specifying how their
functional responsibilities are to be discharged in the event of their
unavailability. This is especially important for key personnel. Copies
of these manuals should be kept off-site with other documentation.*

## Office Equipment, Furniture and Supplies

*Although the current strategy is for office equipment, furniture, and
supplies to be ordered on an "emergency as required" basis at the time
of the disaster, it is recommended that \<Facility/System\> management
review supply needs and coordinate with the local procurement office to
develop a revolving emergency inventory of workspace and survival
supplies for immediate use in the event of a disaster. The revolving
inventory of workspace supplies should include not only basic essential
workspace supplies like pens, pencils, note pads, and paper, but also
\<Facility and System\> specific forms and templates. Additionally, a
revolving inventory of survival supplies should be maintained, including
bottled drinking water, personal products, and food rations, in the
event personnel cannot be evacuated or are temporarily prevented from
leaving the confines of the building due to weather conditions.*

## Recommended Testing Procedures

*The \<Facility/System\> Contingency Plan should be maintained routinely
and exercised/tested at least annually. Contingency procedures must be
tested periodically to ensure the effectiveness of the plan. The scope,
objective, and measurement criteria of each exercise will be determined
and coordinated by the \<Facility or System\> Contingency Plan
Coordinator on a "per event" basis. The purpose of exercising and
testing the plan is to continually refine resumption and recovery
procedures to reduce the potential for failure.*

*There are two categories of testing: announced and unannounced. In an
announced test, personnel are instructed when testing will occur, what
the objectives of the test are, and what the scenario will be for the
test. Announced testing is helpful for the initial test of procedures.
It gives teams the time to prepare for the test and allows them to
practice their skills. Once the team has had an opportunity to run
through the procedures, practice, and coordinate their skills,
unannounced testing may be used to test the completeness of the
procedures and sharpen the team's abilities. Unannounced testing
consists of testing without prior notification. The use of unannounced
testing is extremely helpful in preparing a team for disaster
preparation because it focuses on the adequacy of in-place procedures
and the readiness of the team. Unannounced testing, combined with
closely monitored restrictions, will help to create a simulated scenario
that might exist in a disaster. This more closely measures the teams'
ability to function under the pressure and limitations of a disaster.
Once it has been determined whether a test will be announced or
unannounced, the actual objective(s) of the test must be determined.
There are several different types of tests that are useful for measuring
different objectives.*

*A recommended schedule for testing is as follows:*

-   *Desktop testing on a quarterly basis*

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-   *One structured walk-through per year*

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-   *One integrated business operations/information systems exercise per
    year*

*The Contingency Plan Coordinator, Contingency System Coordinators, and
Team Leaders, together with the \<Facility\> Office Management and
\<System Owners\>, will determine end-user participation.*

# Recommended Strategies

*The following information represents potential recommendations to the
\<Facility/System\> Director, and other technical management positions
as appropriate. These should be considered as solutions that potentially
may assist in the continued development of their recovery capabilities
in a post-disaster situation.*

## Critical Issues

### *Power*

*The \<Facility\> technology director should work to develop power
requirements necessary to provide uninterrupted service for the
\<Facility or System\> data center. After the determination of power
requirements has been developed for the continuous operability of the
\<System\> the \<Facility\> should follow the standard procurement
process to obtain, install, test, and maintain such a system. It should
be noted that the standard life cycle for the amortization of a diesel
powered backup generator is 20 years.*

### *Diversification of Connectivity*

*As it stands, the current connectivity configuration represents a
single point of failure to the entire \<System\>. The dedicated
connectivity from all the regional offices converges in the \<System\>
data center. A single occurrence of fire, power failure, terrorist act,
or civil unrest could completely disrupt email and Internet based
connectivity between the building and the regions. Additionally,
\<System\> users rely upon Internet connectivity to provide outside
email availability to the Department and the regions therefore, based
upon any of the aforementioned scenarios that function, would also cease
to function.*

### *Offsite Backup Storage*

*The current schedule implemented for the transfer of backup tapes to
the offsite storage facility is inconsistent with the objectives of
Contingency Planning. The schedule has the \<System\> staff maintaining
the most current backup tapes onsite in the building for a 30 day period
prior to transfer to the offsite storage facility. Thus, all data
extracted from office backup tapes will be more than 30 days old. In
today's data intensive environment this provides stale information to
the \<System\> end users. This is especially critical in view of the
fact that the only time a staff must rely on the offsite backup media is
when the system has failed and any incremental backups are ineffective
and/or inefficient to resolve the situation. The loss of thirty (30)
days of work and data based on the impact of a disaster is not
acceptable.*

The schedule controlling this process should be re-visited and modified
to reflect a more frequent transfer timeline. The accepted standard is
the transfer of backup media to the offsite storage on a weekly basis to
establish a continuously current flow of data into the backup copies.
This will allow the staff to execute restorations utilizing the most
updated information available. This is particularly true regarding the
e-mail systems.

# Terms And Definitions 

The following is a comprehensive list of terms that are important in
contingency planning and recovery operations. Add any Facility specific
and system specific terms with definitions relevant to the Contingency
Plan in the appropriate alphabetical positions.

**ABC Fire Extinguisher -** Chemically based devices used to eliminate
ordinary combustible, flammable liquid, and electrical fires.

**Acceptable Level of Risk** - typically refers to the point at which
the level of risk is more acceptable than the cost to mitigate the risk
(in dollars or affect on computer system function).

**Access** - the ability to do something with a computer resource. This
usually refers to a technical ability (e.g., read, create, modify, or
delete a file, execute a program, or use an external connection);
admission; entrance.

**Access control** - the process of limiting access to the resources of
an IT system only to authorized users, programs, processes, or other IT
systems.

**Accountability** - the property that enables activities on a system to
be traced to individuals, who may then be held responsible for their
actions.

**Actuator -** A mechanical assembly that positions the read/write head
assembly over the appropriate tracks.

**Activation -** When all or a portion of the recovery plan has been put
into motion.

**Adequate security** - security commensurate with the risk and
magnitude of the harm resulting from the loss, misuse, or unauthorized
access to, or modification of information. This includes assuring that
systems and applications used by *\<Name\>* operate effectively and
provide appropriate confidentiality, integrity, and availability,
through the use of cost-effective management, personnel, operational,
and technical controls.

**Alert -** Notification that a disaster situation has occurred - stand
by for possible activation of disaster recovery plan.

**Alternate Site -** A location, other than the normal facility, used to
process data and/or conduct critical business functions in the event of
a disaster. *Similar Terms: Alternate Processing Facility, Alternate
Office Facility, Alternate Communication Facility.*

**Application** - the use of information resources (information and
information technology) to satisfy specific set of user requirements.

**Application program** - A software program comprising a set of
statements, defining certain tasks.

**Application Recovery -** The component of Disaster Recovery that deals
specifically with the restoration of business system software and data,
after the processing platform has been restored or replaced. Similar
Terms: Business System Recovery.

**Array -** An arrangement of two or more disk drives: may be in
Redundant Array of Inexpensive Disks (RAID) or daisy-chain fashion.

**Asset** -- a value placed on goods owned by an organization

**Assumptions -** Basic understandings about unknown disaster situations
that the disaster recovery plan is based on.

**Assurance** - a measure of confidence that the security features and
architecture of an automated information system accurately mediate and
enforce the security policy.

**Asynchronous Transfer Mode (ATM) -** A network architecture that
divides messages into fixed-size units (cells) and establishes a
switched connection between the originating and receiving stations;
enables transmission of various types of data (video, audio, etc.) over
the same line without one data type dominating the transmission

**Audit system** - an independent review, examination of the records,
and activities to access the adequacy of system controls; to ensure
compliance with established policies and operational procedures. The
audit system is an essential tool for the determination and
recommendation of necessary changes in controls, policies, or
procedures.

**Audit trail** - a series of records of computer events about an
operating system, an application, or user activities.

**Auditing** - the review and analysis of management, operational, and
technical controls.

**Authentication** - proving (to some reasonable degree) a user's
identity. It can also be a measure designed to provide protection
against fraudulent transmission by establishing the validity of a
transmission, message, station, or originator.

**Authorization** - the permission to use a computer resource.
Permission is granted, directly or indirectly, by the application or
system owner.

**Automated** -- means computerized for the purpose of this document.

**Availability** - the property of being accessible and usable, upon
demand by an authorized entity, to complete a function. The information
technology system or installation contains information or provides
services that must be available on a timely basis, to meet mission
requirements or to avoid substantial losses. Controls to protect the
availability of information are required, if the information is critical
to the *\<Name\>*'s activity's functions. Access to some information
requires *\<Name\>* to ensure the availability of that information
within a short period of time.

**Back Office Location -** An office or building, used by the
organization to conduct support activities, that is not located within
an organization\'s headquarters or main location.

**Backbone -** the underlying network communication conduit or line by
which all main servers and devices are connected; backbone devices are
typically servers, routers, hubs, and bridges; client computers are not
connected directly to the backbone.

**Backup** - means either procedures or standby equipment that are
available for use in the event of a failure or inaccessibility of
normally used equipment or procedures or to make a copy of data or a
program in case the original is lost, damaged, or otherwise unavailable.

**Backup Agreement -** A contract to provide a service that includes the
method of performance, the fees, the duration, the services provided,
and the extent of security and confidentiality maintained.

**Backup Position Listing -** A list of alternative personnel who can
fill a recovery team position when the primary person is not available.

**Backup Strategies (Recovery Strategies) -** Alternative operating
method (i.e., platform, location, etc.) for facilities and system
operations in the event of a disaster.

**Bandwidth -** the amount of data that can be transmitted via a given
communications channel (e.g., between a hard drive and the host PC) in a
given unit of time.

**Block -** a portion of a volume usually 512 bytes in size; often
referred to as a \"logical block.\"

**Burst mode -** a temporary, high-speed data transfer mode that can
transfer data at significantly higher rates than would normally be
achieved with non-burst technology; the maximum throughput a device is
capable of transferring data.

**Bus -** the main communication avenue in a computer; an electrical
pathway along which signals are sent from one part of the computer to
another.

**Business Continuity Planning (BCP):** An all encompassing,
\"umbrella\" term covering both disaster recovery planning and business
resumption planning. *Also see disaster recovery planning and business
resumption planning*

**Business Impact Analysis (BIA) -** The process of analyzing all
business functions and the effect that a specific disaster may have upon
them.

**Business Interruption -** Any event, whether anticipated (i.e., public
service strike) or unanticipated (i.e., blackout) which disrupts the
normal course of business operations at a corporate location.

**Business Interruption Costs -** The costs or lost revenue associated
with an interruption in normal business operations.

**Business Recovery Coordinator -** *See Disaster Recovery Coordinator.*

**Business Recovery Process -** The common critical path that all
companies follow during a recovery effort. There are major nodes along
the path that are followed regardless of the organization. The process
has seven stages: 1) Immediate response, 2) Environmental restoration,
3) Functional restoration, 4) Data synchronization, 5) Restore business
functions, 6) Interim site, and 7) Return home.

**Business Recovery Team -** A group of individuals responsible for
maintaining and coordinating the recovery process. *Similar Terms:
Recovery Team*

**Business Resumption Planning (BRP):** The operations piece of business
continuity planning. *Also see: Disaster Recovery Planning*

**Business Unit Recovery -** The component of Disaster Recovery which
deals specifically with the relocation of key organization personnel in
the event of a disaster, and the provision of essential records,
equipment supplies, work space, communication facilities, computer
processing capability, etc. *Similar Terms: Work Group Recovery.*

**Byte -** The fundamental data unit for personal computers, comprising
8 contiguous bits.

**Cache -** A large bank of random access memory used for temporary
storage of information.

**Computer-Aided Design (CAD) -**; the use of a computer in industrial
design applications such as architecture, engineering, and
manufacturing.

**Call back** - a procedure for identifying a remote terminal. In a call
back, the host system disconnects the caller and then dials the
authorized telephone number of the remote terminal to reestablish the
connection. Synonymous with dial back.

**Central Office -** a secure, self-contained telecommunications
equipment building that houses servers, storage systems, switching
equipment, emergency power systems, and related devices that are used to
run telephone systems.

**Certified Disaster Recovery Planner (CDRP):** CDRP\'s are certified by
the Disaster Recovery Institute, a not-for-profit corporation, which
promotes the credibility and professionalism in the DR industry.

**Checklist Test -** A method used to test a completed disaster recovery
plan. This test is used to determine if the information such as phone
numbers, manuals, equipment, etc. in the plan is accurate and current.

**Clustered servers -** The concept of combining multiple host computers
together through a private communication line, such as Ethernet
backbone, to form a ring of host computers; this ring of host computers
act as a single entity, capable of performing multiple complex
instructions by distributing the workload across all members of the
ring.

**Clustered storage -** the concept of combining multiple storage
servers together to form a redundant ring of storage devices; clustered
storage systems typically perform multiple read and write requests
through parallel access lines to the requesting computer.

**Cold Site -** An alternate facility that is void of any resources or
equipment except air-conditioning and raised flooring. Equipment and
resources must be installed in such a facility to duplicate the critical
business functions of an organization. Cold-sites have many variations
depending on their communication facilities, Uninterruptible Power
Source (UPS) systems, or mobility (Relocatable-Shell). *Similar Terms:
Shell-site; Backup site; Recovery site; Alternative site.*

**Command And/Or Control Center (CAC/CNC/CCC) -** A centrally located
facility having adequate phone lines to begin recovery operations.
Typically it is a temporary facility used by the management team to
begin coordinating the recovery process and used until the alternate
sites are functional.

**Commerce service provider (CSP) -** A company that provides e-commerce
solutions for retailers.

**Competitive local exchange carrier (CLEC) -** a long distance carrier,
cable company, or small startup local exchange carrier that competes for
business in a local telephone market; many CLECs also offer Internet
services.

**Computer virus** - A program that "infects" computer systems in much
the same way, as a biological virus infects humans. The typical virus
"reproduces" by making copies of itself and inserting them into the code
of other programs---either in systems software or in application
programs.

**Communications Failure -** An unplanned interruption in electronic
communication between a terminal and a computer processor, or between
processors, as a result of a failure of any of the hardware, software,
or telecommunications components comprising the link. (Also refer to
Network Outage.)

**Communications Recovery -** The component of Disaster Recovery which
deals with the restoration or rerouting of an organization\'s
telecommunication network, or its components, in the event of loss.
*Similar Terms: (Telecommunication Recovery, Data Communications
Recovery)*

**Computer Recovery Team (CRT) -** A group of individuals responsible
for assessing damage to the original system, processing data in the
interim, and setting up the new system.

**Confidentiality** - the assurance that information is not disclosed to
unauthorized entities or processes. The information technology system or
installation contains information that requires protection from
unauthorized or inappropriate disclosure. Some information must be
protected from unauthorized or accidental disclosure. *\<Name\>* is
required to prevent some information from release to persons without the
proper qualifications. Information requiring protection from
unauthorized disclosure includes classified information, information
related to military operations and equipment, confidential commercial
business information, confidential *\<Name\>* business information,
Privacy Act information, law enforcement confidential information,
procurement-sensitive information, budgetary information prior to OMB
release, and information exempt from disclosure under the Freedom of
Information Act (FOIA).

**Configuration control** - the process of controlling modifications to
the system's hardware, software, and documentation that provide
sufficient assurance that the system is protected against the
introduction of improper modifications before, during, and after system
implementation.

**Configuration management (CM)** - The management of changes made to a
system's hardware, software, firmware, documentation, tests, test
fixtures, and test documentation throughout the development and
operational life of the system.

**Consortium Agreement -** An agreement made by a group of organizations
to share processing facilities and/or office facilities, if one member
of the group suffers a disaster. *Similar Terms: Reciprocal Agreement.*

**Contingency plan** - a plan for emergency response, back-up
operations, and post-disaster recovery for information technology
systems and installations in the event normal operations are
interrupted. The contingency plan should ensure minimal impact upon data
processing operations in the event the information technology system or
facility is damaged or destroyed.

**Contingency planning** - a plan that addresses how to keep an
organization's critical functions operating in the event of any kind of
disruptions. *See Disaster Recovery Plan*

**Contingency Planning -** *See also Disaster Recovery Planning.*

**Controller -** a unit or circuitry that manages the information flow
between storage disks and the computer.

**Cooperative Hot sites -** A hot site owned by a group of organizations
available to a group member should a disaster strike. *Also See
Hot-Site.*

**Cost Benefit Analysis** - the assessment of the costs of providing
data protection for a system versus the cost of losing or compromising a
system.

**Cost of ownership -** the purchase price of equipment plus the cost of
operating this equipment over its projected life span.

**Commercial Off-the-Shelf (COTS) -**; Commercially available products
that can be purchased and integrated with little or no customization,
thus facilitating customer infrastructure expansion and reducing costs.

**Countermeasure** - any action, device, procedure, technique, or other
measure that reduces the vulnerability of, or threat to a system.

**Crate & Ship -** A strategy for providing alternate processing
capability in a disaster, via contractual arrangements with an equipment
supplier to ship replacement hardware within a specified time period.
*Similar Terms: Guaranteed Replacement, Quick Ship.*

**Crisis -** A critical event, which, if not handled in an appropriate
manner, may dramatically impact an organization\'s profitability,
reputation, or ability to operate.

**Crisis Management -** The overall coordination of an organization\'s
response to a crisis, in an effective, timely manner, with the goal of
avoiding or minimizing damage to the organization\'s profitability,
reputation, or ability to operate.

**Crisis Simulation -** The process of testing an organization\'s
ability to respond to a crisis in a coordinated, timely, and effective
manner, by simulating the occurrence of a specific crisis.

**Critical Functions -** Business activities or information, which could
not be interrupted or unavailable for several business days without
significantly jeopardizing operation of the organization.

**Critical Records -** Records or documents, which, if damaged or
destroyed, would cause considerable inconvenience and/or require
replacement or recreation at considerable expense.

**Cryptography** - the principles, means, and methods for rendering
information unintelligible and for restoring encrypted information to
intelligible form.

**Computer Telephony Integration (CTI) -** Providing a link between
telephone systems and computers to facilitate incoming and outgoing call
handling and control; the physical link between a telephone and server.

**Digital Audio Tape (DAT**) - A digital magnetic tape format originally
developed for audio recording and now used for computer backup tape; the
latest DAT storage format is DDS (Digital Data Storage).

**Damage Assessment -** The process of assessing damage, following a
disaster, to computer hardware, vital records, office facilities, etc.
and determining what can be salvaged or restored and what must be
replaced.\
**Data Center Recovery -** The component of Disaster Recovery that deals
with the restoration, at an alternate location, of data centers services
and computer processing capabilities. *Similar Terms: Mainframe
Recovery.*

**Data Center Relocation -** The relocation of an organization\'s entire
data processing operation.

**Declaration Fee -** A one-time fee, charged by an Alternate Facility
provider, to a customer who declares a disaster. *Similar Terms:
Notification Fee. [NOTE:]{.underline} Some recovery vendors apply the
declaration fee against the first few days of recovery.*

**Decryption** - the process of taking an encrypted file and
reconstructing the original file. This is the opposite of encryption.

**Dedicated Line -** A pre-established point-to-point communication link
between computer terminals and a computer processor, or between
distributed processors, that does not require dial-up access.

**Departmental Recovery Team -** A group of individuals responsible for
performing recovery procedures specific to their department.

**Dynamic Growth and Reconfiguration (DGR) -** A Dot Hill technology
that allows the system administrator to quickly and easily add capacity
or change RAID levels while the system is in use.

**Dial Backup -** The use of dial-up communication lines as a backup to
dedicated lines.

**Dial-Up Line -** A communication link between computer terminals and a
computer processor, which is established on demand by dialing a specific
telephone number.

**Disaster -** Any event that creates an inability on an organizations
part to provide critical business functions for some predetermined
period of time. *Similar Terms: Business Interruption; Outage;
Catastrophe.*

**Disaster Prevention -** Measures employed to prevent, detect, or
contain incidents that, if unchecked, could result in disaster.

**Disaster Prevention Checklist -** A questionnaire used to assess
preventative measures in areas of operations such as overall security,
software, data files, data entry reports, microcomputers, and personnel.

**Disaster Recovery -** The ability to respond to an interruption in
services by implementing a disaster recovery plan to restore an
organization\'s critical business functions.

**Disaster Recovery Administrator -** The individual responsible for
documenting recovery activities and tracking recovery progress.

**Disaster Recovery Coordinator -** The Disaster Recovery Coordinator
may be responsible for overall recovery of an organization or unit(s).
*Similar Terms: Business Recovery Coordinator.*

**Disaster Recovery Period -** The time period between a disaster and a
return to normal functions, during which the disaster recovery plan is
employed.

**Disaster Recovery Plan (DRP) -** The document that defines the
resources, actions, tasks and data required to manage the business
recovery process in the event of a business interruption. The plan is
designed to assist in restoring the business process within the stated
disaster recovery goals.

**Disaster Recovery Planning -** The technological aspect of business
continuity planning. The advance planning and preparations that are
necessary to minimize loss and ensure continuity of the critical
business functions of an organization in the event of disaster. *Similar
Terms: Contingency planning; business resumption planning; corporate
contingency planning; business interruption planning; disaster
preparedness.*

**Disaster Recovery Software -** An application program developed to
assist an organization in writing a comprehensive disaster recovery
plan.

**Disaster Recovery Teams (Business Recovery Teams):** A structured
group of teams ready to take control of the recovery operations if a
disaster should occur.

**Disk array (see array) -** an arrangement of two or more hard disks,
in RAID or daisy-chain configuration, organized to improve speed and
provide protection of data against loss.

**Distributed computing environment -** A set of middleware standards
that defines the method of communication between clients and servers in
a cross-platform computing environment; enables a client program to
initiate a request that can be processed by a program written in a
different computer language and housed on a different computer platform.

**Digital Linear Tape (DLT) -** A serpentine technology first introduced
by Digital Equipment Corporation and later developed by Quantum for tape
backup/archive of networks and servers; DLT technology addresses
midrange to high-end tape backup requirements.

**Electronic Industries Association (EIA) -** A trade association that
establishes electrical and electronics-oriented standards.

**Electronic Vaulting -** Transfer of data to an offsite storage
facility via a communication link rather than via portable media.
Typically used for batch/journaled updates to critical files to
supplement full backups taken periodically.

**Emergency -** A sudden, unexpected event requiring immediate action
due to potential threat to health and safety, the environment, or
property.

**Emergency Preparedness -** The discipline which ensures an
organization, or community\'s readiness to respond to an emergency in a
coordinated, timely, and effective manner.

**Emergency Procedures -** A plan of action to commence immediately to
prevent the loss of life and minimize injury and property damage.

**Electro Magnetic Interference (EMI) --**; What occurs when
electromagnetic fields from one device interfere with the operation of
some other device.

**Employee Relief Center (ERC) -** A predetermined location for
employees and their families to obtain food, supplies, financial
assistance, etc., in the event of a catastrophic disaster.

**Encryption** - The process of coding a message to make it
unintelligible.

**Enterprise storage network (ESN) -** an integrated suite of products
and services designed to maximize heterogeneous connectivity and
management of enterprise storage devices and servers; a dedicated,
high-speed network connected to the enterprise\'s storage systems,
enabling files and data to be transferred between storage devices and
client mainframes and servers.

**Environment** - the aggregate of external procedures, conditions, and
objects that affect the development, operation, and maintenance of a
system.

**Ethernet -** a local area network standard for hardware,
communication, and cabling.

**Extended Outage -** A lengthy, unplanned interruption in system
availability due to computer hardware or software problems, or
communication failures.

**Extra Expense Coverage -** Insurance coverage for disaster related
expenses that may be incurred until operations are fully recovered after
a disaster.

**Facilities -** A location containing the equipment, supplies, voice
and data communication lines, to conduct transactions required to
conduct business under normal conditions. *Similar Terms: Primary Site,
Primary Processing Facility, Primary Office Facility.*

**Failover -** the transfer of operation from a failed component (e.g.,
controller, disk drive) to a similar, redundant component to ensure
uninterrupted data flow and operability.\
**Fault tolerance** - the ability of a system to cope with internal
hardware problems (e.g., a disk drive failure) and still continue to
operate with minimal impact, such as by bringing a backup system online.

**Fiber Channel-Arbitrated Loop (FC-AL) -** A fast serial bus interface
standard intended to replace SCSI on high-end servers. A Fibre Channel
implementation in which users are attached to a network via a one-way
ring (loop) cabling scheme.

**Fiber Channel Community (FCC) -**; An international non-profit
organization whose members include manufacturers of servers, disk
drives, RAID storage systems, switches, hubs, adapter cards, test
equipment, cables and connectors, and software solutions.

**Fiber Channel -** A high-speed storage/networking interface that
offers higher performance, greater capacity and cabling distance,
increased system configuration flexibility and scalability, and
simplified cabling.

**Fiber Distributed Data Interface (FDDI)** - A 100 Mbit/s ANSI standard
LAN architecture, defined in X3T9.5. The underlying medium is optical
fiber (though it can be copper cable, in which case it may be called
CDDI) and the topology is a dual-attached, counter-rotating token ring.

**File Backup -** The practice of dumping (copying) a file stored on
disk or tape to another disk or tape. This is done for protection case
the active file gets damaged.

**File Recovery -** The restoration of computer files using backup
copies.

**File Server -** The central repository of shared files and
applications in a computer network (LAN).

**Footprint -** the amount of floor space that a piece of equipment
(e.g., a rackmount enclosure) occupies.

**Form factor -** the physical size and shape of a device; often used to
describe the size of disk arrays in a rack mount enclosure.

**Forward Recovery -**The process of recovering a data base to the point
of failure by applying active journal or log data to the current backup
files of the database.

**Full Recovery Test** An exercise in which all recovery procedures and
strategies are tested (as opposed to a Partial Recovery Test.)

**Generator -** An independent source of power usually fueled by diesel
or natural gas.

**Gigabyte -** approximately one billion bytes, 1,024 megabytes.

**Host Bus Adapter (HBA) -**; a hardware card that resides on the PC bus
and provides an interface connection between a SCSI device (such as a
hard drive) and the host PC.

**Halon -** A gas used to extinguish fires effective only in closed
areas.

**High Priority Tasks -** Activities vital to the operation of the
organization. Currently being phased out due to environmental concerns.
*Similar Terms: Critical Functions*

**Home page -** The main page on a Web site that serves as the primary
point of entry to related pages within the site and may have links to
other sites as well.

**Host-attached storage -** A storage system that is connected directly
to the network server; also referred to as server-attached storage.

**Hot site -**An alternate facility that has the equipment and resources
to recover the business functions affected by the occurrence of a
disaster. Hot-sites may vary in type of facilities offered (such as data
processing, communication, or any other critical business functions
needing duplication). Location and size of the hot-site will be
proportional to the equipment and resources needed. *Similar Terms:
Backup site; Recovery site; Recovery Center; Alternate processing site.*

**Hot spare -** a backup component (e.g., disk or controller) that is
online and available should the primary component go down.

**Hot swappable -** the ability to replace a component (e.g., disk
drive, controller, fan, power source) while the system is on line,
without having to power down; also referred to as hot-plug removable.

**Hierarchical Storage Management (HSM) -**; a storage system in which
new, frequently used data is stored on the fastest, most accessible (and
generally more expensive) media (e.g., RAID) and older, less frequently
used data is stored on slower (less expensive) media (e.g., tape).

**Hub -** A device that splits one network cable into a set of separate
cables, each connecting to a different computer; used in a local area
network to create a small-scale network by connecting several computers
together.

**Human Threats -** Possible disruptions in operations resulting from
human actions (i.e., disgruntled employee, terrorism, etc.).

**Heat, Ventilation, and Air Conditioning (HVAC) --** The system that
provides and maintains a controlled environment with conditions
conducive to continuous and uninterrupted computer operations.

**Identification** - The process that enables, generally by the use of
unique machine-readable names, recognition of users or resources, as
indistinguishable, to those previously described to the automated
information system.

**Institute of Electrical and Electronics Engineers (IEEE) -** The
largest technical society in the world, consisting of engineers,
scientists, and students; has declared standards for computers and
communications.

**Initiator-** A Small Computer System Interface (SCSI) device that
requests another SCSI device (a target) to perform an operation; usually
a host computer acts as an initiator and a peripheral device acts as a
target.

**Information system** - The organized collection, processing,
transmission, and dissemination of information in accordance with
defined procedures, whether automated or manual.

**Information technology system** - an information system that is
automated or is an assembly of computer hardware and software configured
for the purpose of classifying, sorting, calculating, computing,
summarizing, transmitting and receiving, storing and retrieving data
with a minimum of human intervention. The term includes single
application programs, which operate independently of other program
applications. A "sensitive information technology system" means an
information technology system that contains sensitive information.

**Information technology installation** - one or more computer or office
automation systems, including related telecommunications, peripheral and
storage units, central processing units, and operating and support
system software. Information technology installations may range from
information technology installations, such as large centralized computer
centers, to individual stand-alone microprocessors, such as personal
computers. A "sensitive information technology installation" means an
information technology installation, which contains or provides
processing for a sensitive information technology system.

**Infrastructure --**(1) the physical equipment (computers, cases,
racks, cabling, etc.) that comprises a computer system; (2) the
foundational basis that supports the information management
capabilities, including the telecommunications and network connectivity.

**Integrity, data** - That attribute of data relating to the
preservation of (1) its meaning and completeness, (2) the consistency of
its representation(s), and (3) its correspondence to what it represents.
The information technology system or installation contains information
that must be protected from unauthorized, unanticipated, or
unintentional modification or destruction, including detection of such
activities. Integrity is important to all information because inaccuracy
compromises the value of the information system. Law enforcement,
mission and life critical, and financial information are examples of
information requiring protection to preserve integrity.

**Integrity, system** - That attribute of a system when it performs its
intended function in an unimpaired manner, free from deliberate or
inadvertent unauthorized manipulation of the system.

**InterFacility Contingency Planning Regulation** A regulation written
and imposed by the Federal Financial Institutions Examination Council
concerning the need for financial institutions to maintain a working
disaster recovery plan.

**Interface -** A connection between hardware devices, applications, or
different sections of a computer network.

**Interim Organizational Structure -** An alternate organization
structure that will be used during recovery from a disaster. This
temporary structure will typically streamline chains of command and
increase decision-making autonomy.

**Internal Hot sites -** A fully equipped alternate processing site
owned and operated by the organization.

**Internet -** A worldwide system of linked computer networks.

**Internet Service Provider (ISP) -** A company that provides Internet
access services to consumers and businesses; ISPs lease connections from
Internet backbone providers; while most ISPs are small companies that
service a local area, there are also regional and national ISPs (such as
America Online).

**Interoperability -** The ability of one computer system to control
another, even though the two systems are made by different
manufacturers.

**Interruption -** An outage caused by the failure of one or more
communications links with entities outside of the local facility.

**Intranet -** a computer network, based on Internet technology, which
is designed to meet the internal needs for sharing information within a
single organization or company.

**Input/Output (I/O) -**; Reception (read) or transmission (write) of
computer signals; the entire connection path between the CPU bus and the
disk drives.

**I/Os Per Second (IOPS) -** A measure of performance for a
host-attached storage device or RAID controller.

**Just A Bunch Of Disks (JBOD) -** A disk array without a controller.

**Kernel -** The core of an operating system such as Windows 98, Windows
NT, Mac OS or Unix; provides basic services for the other parts of the
operating system, making it possible for it to run several programs at
once (multitasking), read and write files and connect to networks and
peripherals.

**Local Area Network (LAN) -** A LAN consists of personal computers that
are connected together through various means, so that they can
communicate with each other. A network of computers, within a limited
area (e.g., a company or organization); Computing equipment, in close
proximity to each other, connected to a server which houses software
that can be access by the users. This method does not utilize a public
carrier. *See Also WAN.*

**LAN Recovery -** The component of Disaster Recovery which deals
specifically with the replacement of LAN equipment in the event of a
disaster, and the restoration of essential data and software *Similar
Terms: Client/Server Recovery*

**Leased Line -** Usually synonymous with dedicated line.

**Legacy -** A computer, system, or software that was created for a
specific purpose but is now outdated; anything left over from a previous
version of the hardware or software.

**Line Rerouting -** A service offered by many regional telephone
companies allowing the computer center to quickly reroute the network of
dedicated lines to a backup site.

**Line Voltage Regulators -** Also known as surge protectors. These
protectors/regulators distribute electricity evenly.

**Logic Bomb** - A computer code that is preset to cause a malfunction,
at a later time, when a specified set of logical conditions occurs. For
example, a specific social security number in a payroll system is
processed and the logic bomb is activated, causing an improper amount of
money to be printed on the check.

**Loss -** The unrecoverable business resources that are redirected or
removed as a result of a disaster. Such losses may be loss of life,
revenue, market share, competitive stature, public image, facilities, or
operational capability.

**Loss Reduction -** The technique of instituting mechanisms to lessen
the exposure to a particular risk. Loss reduction is intended to react
to an event and limit its effect. Examples of Loss Reduction include
sprinkler systems.

**Linear Tape Open (LTO) -**; A new standard tape format developed by
HP, IBM, and Seagate; expected availability in 2000.

**Logical Unit Number (LUN) -** An addressing scheme used to define SCSI
devices on a single SCSI bus.

**Machine-readable Media** - Media that can convey data to a given
sensing device, e.g., diskettes, disks, tapes, computer memory.

**Mainframe Computer -** A high-end computer processor, with related
peripheral devices, capable of supporting large volumes of batch
processing, high performance on-line transaction processing systems, and
extensive data storage and retrieval. *Similar Terms: Host Computer.*

**Malicious Software** - Any of a family of computer programs developed
with the sole purpose of doing harm. Malicious code is usually embedded
in software programs that appear to provide useful functions but, when
activated by a user, cause undesirable results.

**Media Transportation Coverage -** An insurance policy designed to
cover transportation of items to and from an EDP center, the cost of
reconstruction and the tracing of lost items. Coverage is usually
extended to transportation and dishonesty or collusion by delivery
employees.

**Megabyte -** Approximately one million bytes, 1,024 kilobytes

**Magnetic Ink Character Reader (MICR) Equipment -** Equipment used to
imprint machine-readable code. Generally, financial institutions use
this equipment to prepare paper data for processing, encoding
(imprinting) items such as routing and transit numbers, account numbers,
and dollar amounts.

**Mirroring -** A method of storage in which data from one disk is
duplicated on another disk so that both drives contain the same
information, thus providing data redundancy.

**Mission critical -** Any computer process that cannot fail during
normal business hours; some computer processes (e.g., telephone systems)
must run all day long and require 100 percent uptime.

**Mobile Hot Site -** A large trailer containing backup equipment and
peripheral devices delivered to the scene of the disaster. It is then
hooked up to existing communication lines.

**Modulator Demodulator Unit (MODEM) -** Device that converts data from
analog to digital and back again.

**Monitoring** - An ongoing activity that checks on the system, its
users, or the environment.

**Mean Swaps Between Failure (MSBF) -**A statistical calculation used to
predict the average usefulness of a robotic device (e.g., a tape
library) with any interruption of service.

**Mean Time Between Failure (MTBF) -** A statistical calculation used to
predict the average usefulness of a device without any interruption of
service.

**Mean Time To Repair (MTTR) -** The average amount of time required to
resolve most hardware or software problems with a given device.

**Multi-platform -** .The ability of a product or network to support a
variety of computer platforms (e.g. IBM, Sun, Macintosh); also referred
to as cross-platform.

**Natural Threats -** Events caused by nature causing disruptions to an
organization.

**Network** - The Open Systems Interconnect (OSI) seven-layer model
attempts to provide a way of partitioning any computer network into
independent modules from the lowest (physical) layer to the highest
(application) layer. Many different specifications exist at each of
these layers. The network is composed of a communications medium and all
components attached to that medium whose responsibility is the
transference of information.

**Network Architecture -** The basic layout of a computer and its
attached systems, such as terminals and the paths between them.

**Network-Attached Storage (NAS) -** A disk array storage system that is
attached directly to a network rather than to the network server (i.e.,
host attached); functions as a server in a client/server relationship,
has a processor, an operating system or micro-kernel, and processes file
I/O protocols such as SMB and NFS.

**Network Service Provider (NSP) -** a company that provides the
national or international packet-switching networks that carry Internet
traffic; also called a backbone operator.

**Network Outage -** An interruption in system availability as a result
of a communication failure affecting a network of computer terminals,
processors, or workstations.

**Node (or network node) -** Any device that is directly connected to
the network, usually through Ethernet cable; nodes include file servers
and shared peripherals; the name used to designate a part of a network.
This may be used to describe one of the links in the network, or a type
of link in the network (for example, Host Node or Intercept Node).

**Nonessential Function/Data -** Business activities or information that
could be interrupted or unavailable indefinitely without significantly
jeopardizing critical functions of an organization.

**Nonessential Records -** Records or documents, which, if irretrievably
lost or damaged, will not materially impair the organization\'s ability
to conduct business.

**NT (Microsoft Windows NT) -** An operating system developed by
Microsoft for high-performance processors and networked systems.

**Original Equipment Manufacturer (OEM) -** A company that manufactures
a given piece of hardware (unlike a value-added reseller, which changes
and repackages the hardware).

**Off-Host Processing -** A backup mode of operation in which processing
can continue throughout a network despite loss of communication with the
mainframe computer.

**Off-Line Processing -** A backup mode of operation in which processing
can continue manually or in batch mode if the on-line systems are
unavailable.

**Off-Site Storage Facility -** A secure location, remote from the
primary location, at which backup hardware, software, data files,
documents, equipment, or supplies are stored.

**On-Line Systems -** An interactive computer system supporting users
over a network of computer terminals.

**Open systems network -** A network comprised of equipment that
conforms to industry standards of interoperability between different
operating systems (e.g., Unix, Windows NT).

**Operating Software -** A type of system software supervising and
directing all of the other software components plus the computer
hardware.

**Operating System -** The master control program (e.g., Windows) that
manages a computer\'s internal functions and provides a means of control
to the computer\'s operations and file system.

**Organization Chart -** A diagram representative of the hierarchy of an
organization\'s personnel.

**Organization-Wide -** A policy or function applicable to the entire
organization.

**Outage -** *See Systems Outage.*

**Outsourcing -** The transfer of data processing functions to an
independent third party.

**Owner** - The individual designated as being responsible for the
protection of IT resources. The owner generally falls into two broad
categories: custodial and owner. For example, the "owner" of the
resources, may be the manager of that facility. Resources located within
user areas may be "owned" by the manager of those areas. To assist with
the determination of ownership, individual system boundaries must be
established. A system is identified by logical boundaries being drawn
around the various processing, communications, storage, and related
resources. They must be under the same direct management control with
essentially the same function, reside in the same environment, and have
the same characteristics and security needs. Ownership of information
and/or information processing resources may be assigned to an
organization, subordinate functional element, a position, or a specific
individual. When ownership is assigned to an organizational or
functional element, the head of the unit so designated will be
considered the resource owner. Some, but not necessarily all factors to
be considered in the determination of ownership are:

**1.**The originator or creator of data.

**2.**The organization or individual with the greatest functional
interest.

**3.**Physical possession of the resource.

**Parallel Test-** A test of recovery procedures in which the objective
is to parallel an actual business cycle.

**Parity data -** A block of information mathematically created from
several blocks of user data to allow recovery of user data contained on
a drive that has failed in an array; used in RAID levels 3 and 5.

**Password** - A string of alphanumeric characters chosen by an
individual to help ensure that their computer access is protected.
Passwords are changed frequently to minimize the risk of unauthorized
disclosure. Additional passwords may be assigned by the user to
particular files or data sets.

**Personal Computer Interconnect (PCI) -** An industry-standard bus used
in servers, workstations, and PCs.

**Peripheral Equipment-** Devices connected to a computer processor that
perform such auxiliary functions as communications, data storage,
printing, etc.

**Petabyte -** 1,024 terabytes.

**Physical Safeguards -** Physical measures taken to prevent a disaster,
such as fire suppression systems, alarm systems, power backup and
conditioning systems, access control systems, etc.

**Platform -** A hardware standard, such as IBM, Sun, or Macintosh.

**Portable Shell -** An environmentally protected and readied structure
that can be transported to a disaster site so equipment can be obtained
and installed near the original location.

**Procedural Safeguards -** Procedural measures taken to prevent a
disaster, such as safety inspections, fire drills, security awareness
programs, records retention programs, etc.

**Proprietary -** Privately developed and owned technology.

**Protocol -** A standard that specifies the format of data and rules to
be followed in data communication and network environments.

**RAID Advisory Board (RAB) -**; an organization of storage system
manufacturers and integrators dedicated to advancing the use and
awareness of RAID and associated storage technologies; started in 1992,
RAB states its main goals as education, standardization and
certification.

**Rackmount -** The cabinet that houses a server/storage workstation
(also referred to as a server rack); to mount equipment into a cabinet.

**Redundant Array of Independent (or inexpensive) Disks (RAID) -** A
collection of storage disks with a controller (or controllers) to manage
the storage of data on the disks.

**Redundant Data Path (RDP) -** Dot Hill\'s software technology that
creates an alternate data path between the server and the storage system
in the event of system component failures to ensure continuous access to
data.

**Real-time -** Immediate processing of input or notification of status.

**Reciprocal Agreement -** An agreement between two organizations with
compatible computer configurations allowing either organization to
utilize the other\'s excess processing capacity in the event of a
disaster.

**Record Retention -** Storing historical documentation for a set period
of time, usually mandated by state and federal law or the Internal
Revenue Service.

**Recovery Action Plan -** The comprehensive set of documented tasks to
be carried out during recovery operations.

**Recovery Alternative -** The method selected to recover the critical
business functions following a disaster. In data processing, some
possible alternatives would be manual processing, use of service
bureaus, or a backup site (hot or cold-site). A recovery alternative is
usually selected following a Risk Analysis, Business Impact Analysis, or
both. *Similar Terms: Backup site, backup alternative.*

**Recovery Capability -**This defines all of the components necessary to
perform recovery. These components can include a plan, an alternate
site, change control process, network rerouting, and others.

**Recovery Management Team -** A group of individuals responsible for
directing the development and on-going maintenance of a disaster
recovery plan. Also responsible for declaring a disaster and providing
direction during the recovery process.

**Recovery Planning Team -** A group of individuals appointed to oversee
the development and implementation of a disaster recovery plan.

**Recovery Point Objective (RPO) -** The point in time to which data
must be restored in order to resume processing transactions. RPO is the
basis on which a data projection strategy is developed.

**Recovery Team -** *See Business Recovery Team.*

**Recovery Time -** The period from the disaster declaration to the
recovery of the critical functions.

**Relocatable Shell -** *See Portable Shell*

**Recovery procedures** - the actions necessary to restore a system's
processing capability and data files after a system failure.

**Risk** - A combination of the likelihood that a threat will occur, the
likelihood that a threat occurrence will result in an adverse impact,
and the severity of the resulting adverse impact.

**Risk analysis** - A formal systematic approach to assessing the
vulnerability of an information technology system or installation. Risk
analysis is the process of analyzing threats to and vulnerabilities of
an information system to determine the risks (potential for losses). The
resulting data is then analyzed. The analysis is used as a basis for
identifying appropriate and cost-effective measures to counter the
identified threats and vulnerabilities. The risk analysis identifies
threats, quantifies the potential losses from threat realization,
examines the cost benefit of applying alternative measures to counter
the identified threats and reduces potential loss, and defines or
documents the degree of acceptable risk. *Similar Terms: Risk
assessment; impact assessment; corporate loss analysis; risk
identification; exposure analysis; exposure assessment.*

**Risk** **management** - The process of the identification,
measurement, control, and minimization of security risk in information
systems. Also, it means to assess risk, take actions to reduce risk to
an acceptable level, and maintain risk at that level. Inherent in this
definition are the concepts that risk cannot be completely eliminated
and the most secure computer system is the one that no one uses.

**Router -** An electronic device that connects two or more networks and
routes incoming data packets to the appropriate network.

**Safeguards** - The protective measures and controls that are
prescribed to meet the security requirements specified for a system.

**Salvage & Restoration** - The process of reclaiming or refurbishing
computer hardware, vital records, office facilities, etc. following a
disaster.

**Salvage Procedures** - Specified procedures to be activated if
equipment or a facility should suffer any destruction.

**Sample Plan -** A generic disaster recovery plan that can be tailored
to fit a particular organization.

**Storage Area Network (SAN) -** A network infrastructure of shared
multi-host storage, linking all storage devices as well as
interconnecting remote sites.

**Satellite Communication** - Data communications via satellite. For
geographically dispersed organizations, may be viable alternative to
ground-based communications in the event of a disaster.

**Scalable -** The ability of a product or network to accommodate
growth.

**Scan** - To examine computer coding/programs sequentially, part by
part. For viruses, scans are made for virus signatures or potentially
unsafe practices. (E.g., changes to an executable file, direct writes to
specific disk sectors, et al.).

**Scope -** Predefined areas of operation for which a disaster recovery
plan is developed.

**Small Computer System Interface (SCSI) -** An interface that serves as
an expansion bus that can be used to connect hard disk drives, tape
drives, and other hardware components.

**Secure** - In terminology, such as e.g., secure LAN or secure device,
means that the routing addresses on the network are monitored and
allowed to proceed only for authorized users. This network traffic
monitoring and authorization process is referred to as *\<Name\>*'s
"firewalls". Systems and devices, not being monitored, are referred to
as being outside of *\<Name\>*'s secure firewall and the term
"non-secure" is applied.

**Security features** - Are controls that protect against the identified
vulnerabilities, i.e. fire and water alarms, passwords and other access
protection, use of removable media for data storage, data validation
controls, audit trails, un-interruptible power sources (UPS) to protect
against electrical outages, personnel screening, computer security
awareness training of users, etc.

**Security infraction** - The failure to follow applicable laws and
regulations and established *\<Name\>* policies and procedures
pertaining to the protection of *\<Name\>* information and computer
resources. Henceforth, infraction and violation are to be used
interchangeably throughout this document.

**Security policy** - The set of laws, rules, and practices that
regulate how an organization manages, protects, and distributes
sensitive information.

**Security specification** - A detailed description of the security
requirements and specifications necessary to protect an information
technology system or installation.

**Sensitive information** - Information that requires a degree of
protection due to its nature, magnitude of loss, or harm that could
result from inadvertent or deliberate disclosure, modification, or
destruction. This includes information that is

> **1.**Mission critical (i.e., loss or harm would be such that an
> *\<Name\>* office could not perform essential functions).
>
> **2.**Should not be disclosed under the Freedom of Information Act,
> such as proprietary data and economic forecasts. Proprietary data
> includes trade secrets, commercial, or financial data obtained in the
> course of Government business, from or relating to a person or persons
> outside the government, not generally available to the public, and
> which is privileged, would cause competitive harm if released, or
> impair the ability of the government to obtain data in the future.
>
> **3.**Complies with OMB Circular A-127 Financial Management Systems.
>
> **4.**Complies with the Privacy Act of 1974. Data, which pertains to a
> specific individual by name, Social Security Number or by some other
> identifying means, and is part of a system of records as defined in
> the Privacy Act of 1974.
>
> **5.**Classified.

**Server -** A computer that stores application and data files for all
workstations on a network; also referred to as a file server.

**Shadow File Processing** - An approach to data backup in which
real-time duplicates of critical files are maintained at a remote
processing site. *Similar Terms: Remote Mirroring*

**Simulation Test** - A test of recovery procedures under conditions
approximating a specific disaster scenario. This may involve designated
units of the organization actually ceasing normal operations while
exercising their procedures.

**Skills Inventory** - A listing of employees that lists their skills
that apply to recovery.

**Spindle -** Mechanism inside a hard disk drive that moves the heads
into place; the axle on which a disk turns.

**Serial Storage Architecture (SSA) -** A high-speed method of
connecting disk, tape, and CD-ROM drives, printers, scanners, and other
devices to a computer.

**Stand-Alone Processing** - Processing, typically on a PC or mid-range
computer, which does not require any communication link with a mainframe
or other processor.

**Striping -** A method of storage in which a unit of data is
distributed and stored across several hard disks, which improves access
speed but does not provide redundancy.

**Structured Walk-Through Test** - Team members walk through the plan to
identify and correct weaknesses.

**Subscription -** Contract commitment providing an organization with
the right to utilize a vendor recovery facility for recovery of their
mainframe processing capability.

**Super-user** - A system account that has full system-wide
administrative privileges. Most UNIX machines have a log on account
called "**root**", which acts as the super-user.

**Sustained mode -** The measured transfer rate of a given device during
normal operation.

**Switch -** A network traffic-monitoring device that controls the flow
of traffic between multiple network nodes.

**System** - A generic term used for its brevity to mean either a major
application or a general support system. A system is identified by
logical boundaries drawn around the various processing communications,
storage, and related resources. They must be under same direct
management control (not responsibility), perform essentially the same
function, reside in the same environment, and have the same
characteristics and security needs. A system does not have to be
physically connected.

**Systems Downtime** - A planned interruption in system availability for
scheduled system maintenance.

**Systems integrator -** An individual or company that combines various
components and programs into a functioning system, customized for a
particular customer\'s needs.

**System Outage** - An unplanned interruption in system availability as
a result of computer hardware or software problems, or operational
problems.

**System Security Plan (SSP)** - A plan to be developed by *\<Name\>* in
accordance with OMB and NIST guidelines implementing the Computer
Security Act of 1987, to safeguard the security of its information
technology systems and installations.

**Target -** a SCSI device that performs an operation requested by an
initiator.

**TCQ -** Tag command queuing; a feature introduced in the SCSI-2
specification that permits each initiator to issue commands accompanied
by instructions for how the target should handle the command; the
initiator can either request the command to be executed at the first
available opportunity, in the order in which the command was received,
or at a time deemed appropriate by the target.

**Technical Threats** - A disaster causing event that may occur
regardless of any human elements.

**Telco -** Abbreviation for a \"telecommunications company.\"

**Temporary Operating Procedures** - Predetermined procedures, which
streamline operations while maintaining an acceptable level of control
and auditability during a disaster situation.

**Terabyte -** Approximately one trillion bytes, 1,024 gigabytes.

**Test Plan** - The recovery plans and procedures that are used in a
systems test to ensure viability. A test plan is designed to exercise
specific action tasks and procedures that would be encountered in a real
disaster.

**Test scenarios** - Are descriptions of the tests to be performed to
check the effectiveness of the security features. They may include
validation of password constraints, such as length and composition of
the password, entry of erroneous data to check data validation controls,
review of audit information produced by the system, review of
contingency plans and risk analyses, etc.

**Threat** - Any circumstance or event with the potential to cause harm
to a system in the destruction, disclosure, modification of data, and/or
denial of service.

**Throughput -** Measures the number of service requests on the I/O
channel per unit of time.

**Time Bomb** - Computer code that is preset to cause a later
malfunction after a specific date, time, or a specific number of
operations. The "Friday the 13^th^" computer virus is an example. This
virus infects the system several days or even months before and lies
dormant until the date reaches Friday the 13^th^.

**Topology -** Geometric arrangement of nodes and cable links in a local
area network; may be either centralized or decentralized.

**Transfer rate -** The number of megabytes of data that can be
transferred from the read/write heads to the disk controller in one
second.

**Trap Door** - A set of instruction codes embedded in a computer
operating system that permits access, while bypassing security controls.

**Trojan Horse** - A program that causes unexpected (and usually
undesirable) effects when willingly installed or run by an unsuspecting
user. A Trojan horse is commonly disguised as a game, a utility, or an
application. A person can either create or gain access to the source
code of a common, frequently used program and then add code, so that the
program performs a harmful function, in addition to its normal function.
These programs are generally deeply buried in the code of the target
program, lie dormant for a pre-selected period, and are triggered in the
same manner as a logic bomb. A Trojan horse can alter, destroy, disclose
data, or delete files.

**Turnkey -** A product or system that can be plugged in, turned on, and
operated with little or no additional configuring.

**Uninterruptible Power Supply (UPS)** - A backup power supply with
enough power to allow a safe and orderly shutdown of the central
processing unit should there be a disruption or shutdown of electricity.

**UNIX -** An operating system that supports multitasking and is ideally
suited to multi-user applications (such as networks).

**Uploading -** Connecting to another computer and sending a copy of
program or file to that computer. *SEE ALSO Downloading*

**Useful Records** - Records that are helpful but not required on a
daily basis for continued operations.

**User** - A person or a process accessing an automated information
system, either by direct or indirect connection.

**User Contingency Procedures** - Manual procedures to be implemented
during a computer system outage.

**User ID** - A group of characters and/or numbers that uniquely
identify an individual and are used to gain valid access to a computer
system. A user id is normally coupled with a password that is set by the
owner of the user id.

**Value-Added Reseller (VAR) -** A business that repackages and improves
hardware manufactured by an original equipment manufacturer.

**Virus** - A code segment that replicates by attaching copies of itself
to existing executable programs. This is usually done in such a manner
that the copies will be executed when the file is loaded into memory,
allowing them to infect still other files, and so on. The new copy of
the virus is executed when a user executes the new host program. The
virus may include any additional "payload" that is triggered when
specific conditions are met. For example, some viruses display a text
string on a particular date. There are many types of viruses including
variants, overwriting, resident, stealth, and polymorphic. Viruses often
have damaging side effects, sometimes intentionally, sometimes not.

**Virus detection software** - Software written to scan machine‑readable
media on computer systems. There are a growing number of reputable
software packages available that are designed to detect and/or remove
viruses. In addition, many utility programs can search text files for
virus signatures or potentially unsafe practices.

**Virus signature** - A unique set of characters, which identify a
particular virus. This may also be referred to as a virus marker.

**Vital Records** - Records or documents, for legal, regulatory, or
operational reasons, cannot be irretrievably lost or damaged without
materially impairing the organization\'s ability to conduct business.

**Voice Recovery** - The restoration of an organization\'s voice
communications system.

**Vulnerability** - A weakness in an information system or component
(e.g., security procedures, hardware design, internal controls) that
could be exploited, attacked or fail. Vulnerabilities include
susceptibility to physical dangers, such as fire or water, unauthorized
access to sensitive data, entry of erroneous data, denial of timely
service, fraud, etc.

**Wide Area Network (WAN) -** A network that uses high-speed,
long-distance communications technology (e.g., phone lines and
satellites) to connect computers over long distances. Similar to a LAN,
except that parts of a WAN are geographically dispersed, possible in
different cities or even on different continents. Public carriers like
telecommunications carriers are included in most WANs; very large WANs
may have incorporate satellite stations or microwave towers.

**Warm Site -** An alternate processing site which is only partially
equipped (As compared to Hot Site which is fully equipped).

**Web cache -** A Web cache fills requests from the Web server, stores
the requested information locally, and sends the information to the
client; the next time the web cache gets a request for the same
information, it simply returns the locally cached data instead of
searching over the Internet, thus reducing Internet traffic and response
time.

**Web site -** A location on the World Wide Web that is owned and
managed by an individual, company or organization; usually contains a
home page and additional pages that include information provided by the
site\'s owner, and may include links to other relevant sites.

**World Wide Web (WWW) -** A global hypertext system operating on the
Internet that enables electronic communication of text, graphics, audio,
and video.

**Worm** - A complete program that propagates itself from system to
system, usually through a network or other communication facility. A
worm is similar to a virus. It is able to infect other systems and
programs usually by spawning copies of itself in each computer's memory.
A worm differs from a virus, in that a virus replicates itself, while a
worm does not. A worm copies itself to a person's workstation over a
network or through a host computer and then spreads to other
workstations. A worm might duplicate itself in one computer so often
that it causes the computer to crash. Sometimes written in separate
segments, a worm is introduced surreptitiously into a host system,
either for fun or with intent to damage or destroy information. It can
easily take over a network, as the "internet" worm did. The "internet"
worm was intentionally released into the ARPANET (predecessor to the
internet) by Robert Morris in 1976, as an experiment. Unlike a trojan
horse, a worm enters a system uninvited.

**XOR engine:** Process or set of instructions that calculates data bit
relationships in a RAID subsystem.

# Appendices

All the items in this section should receive a separate appendix. In
many cases information will be generated from the IMS database. Frequent
updates and reviews should be made for this data. A printed copy should
be made for inclusion in the Contingency Plan. However, as this is the
dynamic information, the official record should be the IMS. Access to
the IMS should be available from outside the \<*Facility's*\> normal
operation location. IMS data should be stored in a location
geographically separate from \<*Facility's*\> offices. A means to access
this data from alternate locations should be in place and tested.

##   {#section .unnumbered}

[]{#__RefHeading___Toc520775999 .anchor}APPENDIX A -- CONTINGENCY PLAN
CONTACT INFORMATION

This appendix should include all points of contact of positions
described in the Contingency Plan and key organizational personnel.
Include home and mobile telephone numbers. Include emergency location
assignments. Include a telephone tree, which lists the order of contact
when a contingency situation or disaster is declared.

The contact list should indicate the system and organization within the
*\<Facility\>* that each individual is associated with.

A reference list of emergency services and public utilities should be
included.

[]{#__RefHeading___Toc520776000 .anchor}APPENDIX B -- EMERGENCY
PROCEDURES

Include Emergency Procedures for *\<Name\>* and the Facility. Describe
actions to be taken by employees emphasizing personnel safety. Address
potential scenarios including fire, bomb threat or event, and civil
disorders. Include evacuation procedures.

[]{#__RefHeading___Toc520776001 .anchor}APPENDIX C -- TEAM STAFFING AND
TASKINGS

##  {#section-1 .unnumbered}

Include a roster and list of actions and responsibilities for each team
created by \<*Facility*\> in Section 5.2. The following is an example of
two tables for each team:

  ------------------------------------- ---------------------------------
  ***Role***                            ***Name***

  *Contingency Plan Coordinator (Team   
  Leader)*                              

  *Facilities Representative (To        
  coordinate closely with Facility      
  Engineer)*                            

  *Technical Representative (s)*        
  ------------------------------------- ---------------------------------

  -----------------------------------------------------------------------
  ***Pre-Contingency***

  *Action 1*

  *Action 2*

  ***Disaster Contingency Immediate Response***

  *Action 1*

  *Action 2*

  ***Post-Contingency***

  *Action 1*

  *Action 2*

  -----------------------------------------------------------------------

[]{#__RefHeading___Toc520776002 .anchor}APPENDIX D -- ALTERNATE SITE
PROCEDURES

This appendix should include detailed procedures on standing up the
selected alternate site(s). Include contact individuals and numbers,
maps for reaching the facility, equipment on site that should be brought
on line, equipment required for procurement, telecommunications
providers for contact. There should be separate procedures based on the
\<*Facility's*\> maintained availability of a hot site and a cold site.

[]{#__RefHeading___Toc520776003 .anchor}APPENDIX E -- DOCUMENTATION LIST

Include a list of all *\<Name\>*, *\<Facility\>,* and system
documentation pertinent to the operation and maintenance of each system.
This list should include but is not limited to system architecture,
operating manuals, system security plans, risk assessments, MOUs, MOAs,
SLAs, testing procedures and results, system interdependencies, asset
inventory, hardware inventory, software inventory, backup procedures,
configuration guidelines, alternate site status and inventory, and
standard operating procedures.

Documentation must be developed, updated and/or modified to reflect the
most current information and then entered into an automated DRP
relational database. A copy should then be stored at the offsite storage
facility. This data should be reviewed and modified as changes occur
within the environment.

[]{#__RefHeading___Toc520776004 .anchor}APPENDIX F -- SOFTWARE INVENTORY

##  {#section-2 .unnumbered}

This appendix should be populated with the most current data that
directly reflects the current software, being tested and evaluated,
operational in the acceptance environment pending final review,
implemented in production, owned whether onsite or offsite ,and deployed
by the \<*Facility*\>. This should include the licensing agreements. A
copy of this data should be stored at the offsite storage facility along
with the Contingency Plan. An automated tool could assist with the
development and implementation of this type of product.

[]{#__RefHeading___Toc520776005 .anchor}APPENDIX G -- HARDWARE INVENTORY

This appendix should be populated with the most accurate data reflective
of the hardware assets currently owned and deployed by the
\<*Facility*\>. In addition the inventory of the alternate site hardware
assets should be included as well. The purchase and implementation of an
automated tool could assist in this effort.

[]{#__RefHeading___Toc520776006 .anchor}APPENDIX H -- COMMUNICATIONS
REQUIREMENTS

This appendix should include the most accurate data associated with the
data and voice communications in place for *\<Facility\>*. It should
include an inventory of all communications equipment, diagrams and
uniquely identified data WAN and LAN circuits, data network backup
alternatives, and voice network specifications.

[]{#__RefHeading___Toc520776007 .anchor}APPENDIX I ­­-VENDOR CONTACT LISTS

This appendix should be populated with the listing of all vendors and
contractors that currently provide support or will provide support in a
post-disaster environment. Additionally, any Service Level Agreements
(SLAs) that have been executed and all subsequent modifications should
be included with accurate Points of Contact (POCs) and emergency contact
information.

[]{#__RefHeading___Toc520776008 .anchor}APPENDIX J - EXTERNAL SUPPORT
AGREEMENTS

This appendix should include documentation for service and emergency
maintenance agreements with manufacturers, data storage facilities,
telecommunications providers, and staff transportation providers. It
should include points of contact and authorization procedures for
delivery of services.

[]{#__RefHeading___Toc520776009 .anchor}APPENDIX K - DATA
CENTER/COMPUTER ROOM EMERGENCY PROCEDURES AND REQUIREMENTS

This appendix should include additional emergency procedures for all
secured data center or computer room facilities hosting *\<Facility\>*
systems. Information on fire, smoke, water, and intrusion alarms should
be included. Power down procedures should be included. Facility layout,
power requirements, cable diagrams, and media connection outlets should
be included. A Data Center inventory should be extracted from Appendixes
F, G, and H and included in this appendix.

[]{#__RefHeading___Toc520776010 .anchor}APPENDIX L - PLAN MAINTENANCE
PROCEDURES

This appendix should include the frequency of review for the plan. It
can be divided into static information and dynamic information. This
responsibility should be assigned to an individual associated with the
Contingency Plan and included in their official job description.

[]{#__RefHeading___Toc520776011 .anchor}APPENDIX M - CONTINGENCY LOG

This appendix should include the assessments and results of any exercise
or real contingency operations. It should be written from available
documentation after recovery and restoration. Include a comprehensive
lessons learned documenting unanticipated difficulties, staff
participation, restoration of system backups, permanent lost data and
equipment, and shut down of temporary equipment used for the resumption,
recovery, and restoration.