Information Technology Services - Disaster Recovery Plan by iqz74974

VIEWS: 94 PAGES: 64

									                            COMPANY X

                  Information Technology Services –
                        Disaster Recovery Plan




Revision: Draft
                                                          Table of Contents

1   EXECUTIVE SUMMARY ................................................................................................................... 6 
2   INTRODUCTION................................................................................................................................ 7 
  2.1  Introduction to Disaster Recovery Plans ...................................................................................... 7 
  2.2  Company X – Background Information ........................................................................................ 8 
  2.3  Company X - Information Technology Background ...................................................................... 8 
  2.4  Mission and Objectives ................................................................................................................ 8 
  2.5  Scope ........................................................................................................................................... 9 
  2.6  Authorization ................................................................................................................................ 9 
  2.7  Responsibility ............................................................................................................................... 9 
  2.8  Key Plan Assumptions ................................................................................................................. 9 
  2.9  Disaster Definition ........................................................................................................................ 9 
3  BUSINESS IMPACT ANALYSIS ..................................................................................................... 10 
  3.1  Scope ......................................................................................................................................... 10 
  3.2  Objectives .................................................................................................................................. 10 
  3.3  Critical Time Frame .................................................................................................................... 10 
  3.4  Application System Impact Statements ...................................................................................... 10 
    Essential (critical impact) ................................................................................................................. 11 
    Delayed (moderate impact) .............................................................................................................. 11 
    Suspended (minimum impact) ......................................................................................................... 11 
  3.5  Business Impact Analysis Summary .......................................................................................... 11 
  3.6  Critical Systems ......................................................................................................................... 11 
4  VULNERABILITY ASSESSMENT ................................................................................................... 13 
  4.1  Vulnerability to Sabotage, and Ways to Protect Against It ......................................................... 13 
  4.2  Vulnerability to Natural Disasters, and Ways to Protect Against Them ...................................... 13 
  4.3  Vulnerability to Human Errors, and Ways to Protect Against Them ........................................... 14 
5  BACKUP STRATEGY ..................................................................................................................... 15 
    Incremental Backups........................................................................................................................ 15 
    Full Backups .................................................................................................................................... 15 
    Software Backups ............................................................................................................................ 15 
    Backup Hardware and Software ...................................................................................................... 15 
    Access to Backups ........................................................................................................................... 15 
    Quality Assurance of Backups ......................................................................................................... 15 
    Tape Rotation and Labelling ............................................................................................................ 15 
    Tape Retirement Methodology ......................................................................................................... 15 
  5.1  Departmental File Servers ......................................................................................................... 15 
  5.2  Data at Outsourced Sites (including ISP’s) ................................................................................ 15 
  5.3  Desktop Workstations, Laptops and PDA’s ................................................................................ 15 
6  DISASTER RECOVERY STRATEGY ............................................................................................. 16 
  6.1  Approach .................................................................................................................................... 16 
  6.2  Escalation Plans......................................................................................................................... 16 
    Escalation Plan 1 (Impact of 72 hours or Less) ................................................................................ 16 
       Other Circumstantial Considerations: ........................................................................................... 16 
    Escalation Plan 2 (Impact of 4-7 Business Days) ............................................................................ 16 
    Escalation Plan 3 (Impact of More than 7 Business Days)............................................................... 17 
7  DISASTER RECOVERY ORGANIZATION STRUCTURE .............................................................. 18 
  7.1  Disaster Recovery Team Organization Chart ............................................................................. 18 
Company X,                                                                                                                                    Page 2
Disaster Recovery Plan
  7.2  Disaster Recovery Team ............................................................................................................ 19 
  7.3  Disaster Recovery Team Responsibilities .................................................................................. 19 
    General - Damage Assessment Procedures .................................................................................... 19 
    Administration Team ........................................................................................................................ 19 
    Business Application and Data Team .............................................................................................. 19 
    Disaster Recovery Manager ............................................................................................................. 19 
    Network Team .................................................................................................................................. 19 
    Physical Environment Team ............................................................................................................ 20 
    Public Relations Team ..................................................................................................................... 20 
    Server and Operating System Team ................................................................................................ 20 
    User and Desktop Recovery Team .................................................................................................. 20 
  7.4  Disaster Recovery Team Call-out List ........................................................................................ 20 
  7.5  Other Emergency Contacts Call-out List .................................................................................... 21 
8  DISASTER RECOVERY EMERGENCY PROCEDURES ................................................................ 22 
  8.1  Detection and Reaction .............................................................................................................. 22 
  8.2  Identifying the Problem; Notifying the Authorities ....................................................................... 22 
      Emergency services ..................................................................................................................... 23 
      Environment ................................................................................................................................. 23 
      Physical security ........................................................................................................................... 23 
  8.3  Reducing the Exposure .............................................................................................................. 23 
      Air-conditioner failure .................................................................................................................... 23 
      Fire alarm procedure .................................................................................................................... 23 
      Electrical-failure procedures ......................................................................................................... 23 
      Flood and water damage .............................................................................................................. 23 
  8.4  Advising the Disaster Recovery Manager of the Situation ......................................................... 23 
9  DISASTER RECOVERY PLAN ADMINISTRATION AND COORDINATION ................................. 24 
  9.1  General Procedures ................................................................................................................... 24 
  9.2  Disaster Recovery Manager ....................................................................................................... 24 
  9.3  Disaster Planning Coordinator ................................................................................................... 25 
  9.4  Distribution of the Disaster Recovery Plan ................................................................................. 25 
  9.5  Maintenance of the Business Impact Analysis ........................................................................... 26 
  9.6  Training of the Disaster Recovery Team .................................................................................... 26 
  9.7  Testing of the Disaster Recovery Plan ....................................................................................... 26 
  9.8  Evaluation of the Disaster Recovery Plan Tests ........................................................................ 28 
  9.9  Maintenance of the Disaster Recovery Plan .............................................................................. 28 
  9.10  Protection of “Soft” Assets ...................................................................................................... 29 
10    DATA CENTER REQUIREMENTS .............................................................................................. 30 
  10.1  Technology Architecture ......................................................................................................... 30 
    Computer Equipment ....................................................................................................................... 30 
    Workstations .................................................................................................................................... 30 
      Servers – Cluster 1 ....................................................................................................................... 30 
      Servers - Cluster 2........................................................................................................................ 30 
      Other Servers ............................................................................................................................... 30 
      Network Printers (approximate numbers) ..................................................................................... 30 
      Storage Area Network Devices..................................................................................................... 30 
      Firewall ......................................................................................................................................... 30 
      Power Backup – ........................................................................................................................... 30 
      Host System ................................................................................................................................. 30 
      Host System Printers .................................................................................................................... 30 
    Network ............................................................................................................................................ 30 
Company X,                                                                                                                                     Page 3
Disaster Recovery Plan
      Active Network Hardware ............................................................................................................. 30 
      Cabling ......................................................................................................................................... 31 
      Network Protocol .......................................................................................................................... 31 
    Operating Systems and Related Software ....................................................................................... 31 
      Network Operating System ........................................................................................................... 31 
      Back Office Solutions ................................................................................................................... 31 
      Mail Server ................................................................................................................................... 31 
      Desktop Operating System ........................................................................................................... 31 
11    COMPUTER ROOM OPERATION PROCEDURES .................................................................... 32 
  11.1  Power-Down Procedures ........................................................................................................ 32 
  11.2  Power-Up Procedures............................................................................................................. 32 
12    PHYSICAL SECURITY AND ACCESS CONTROL ..................................................................... 32 
13    BACKUP FACILITY ..................................................................................................................... 32 
14    INSURANCE PROTECTION ........................................................................................................ 32 
15    RECOMMENDATIONS ................................................................................................................ 32 
16    CONCLUSION ............................................................................................................................. 32 
17    APPENDIX A - PLAN REVISIONS .............................................................................................. 33 
18    APPENDIX B - PLAN DISTRIBUTION ........................................................................................ 34 
19    APPENDIX C - COMPANY X FACILITIES .................................................................................. 35 
20    APPENDIX D - VENDOR PHONE/ADDRESS LIST .................................................................... 36 
  20.1  Hardware Suppliers ................................................................................................................ 36 
  20.2  Application Suppliers .............................................................................................................. 36 
  20.3  Communications Suppliers ..................................................................................................... 44 
  20.4  Computer Suppliers ................................................................................................................ 45 
21    APPENDIX E - APPLICATION SYSTEMS IMPACT STATEMENTS .......................................... 46 
22    APPENDIX F – Data Centre Schematics ................................................................................... 47 
23    APPENDIX G – BUSINESS IMPACT ANALYSIS QUESTIONNAIRE ......................................... 51 
24    REFERENCES ............................................................................................................................. 64 




Company X,                                                                                                                                    Page 4
Disaster Recovery Plan
                                               List of Tables and Figures
Table 1 - Business Impact Analysis Matrix .............................................................................................. 11
Table 2 - Critical Applications and Time Frames ..................................................................................... 12
Table 3 - Potential Threats and Countermeasures of Sabotage ............................................................. 13
Table 4 - Potential Threats and Countermeasures of Natural Disasters ................................................. 13
Table 5 - Potential Threats and Countermeasures of Human Errors ...................................................... 14
Table 6 - Network and AS/400 Backups.................................................... Error! Bookmark not defined.
Table 7 - Departmental File Servers ......................................................... Error! Bookmark not defined.
Table 8 - Outsourced File Servers ............................................................ Error! Bookmark not defined.
Table 9 - Backup Facility Location and Contact Information ..................... Error! Bookmark not defined.
Table 10 – Escalation Plan 1 and Time of Year Considerations ............... Error! Bookmark not defined.
Table 11 - Escalation Plan1 and Other Circumstantial Considerations ................................................... 16
Table 12 - Damage Assessment Checklist.............................................................................................. 19
Table 13 - Disaster Recovery Team Call-out List .................................................................................... 21
Table 14 - Other Emergency Contacts Call-Out List ............................................................................... 21
Table 15 - Data Center Network Hardware Summary ............................................................................. 31
Table 16 – Plan Distribution List .............................................................................................................. 34

Figure 1 - Company X Organizational Chart ............................................................................................. 8
Figure 2 - Company X Internet Portal ........................................................ Error! Bookmark not defined.
Figure 3 - Disaster Recovery Team Organizational Chart ...................................................................... 19
Figure 4 - Network Diagram .................................................................................................................... 31
Figure 5 - Server Room Data/Telecom/Security Layout .......................................................................... 47
Figure 6 - Server Room Power and Auxiliary Layout .............................................................................. 48
Figure 7 - Server Room HVAC System ................................................................................................... 49
Figure 8 - Power/Data/Telecom/Fire/Security Layout .............................................................................. 50




Company X,                                                                                                                             Page 5
Disaster Recovery Plan
1 EXECUTIVE SUMMARY
The Importance of Information Technology within Company X

Research Findings

How the IT Disaster Recovery Plan Will Work

Next Steps

Role of the Corporate Leadership Team (CLT)




Company X,                                                  Page 6
Disaster Recovery Plan
2 INTRODUCTION
The basic approach, general assumptions, and sequence of events that need to be followed will be
stated in the Disaster Recovery Plan (DRP). It outlines specific preparations prior to a disaster and
emergency procedures immediately after a disaster. This disaster recovery plan is Company X’s
roadmap from disaster to recovery.

This plan is distributed to all key personnel who will receive periodic updates. The general approach is
to make the plan as threat-independent as possible. This means that it should be functional regardless
of what type of disaster occurs. In order to limit Company X’s loss, it must provide for the logical
restoring of all critical systems to a production status after the equipment is operational at either the
home location or a backup site.

For the recovery process to be effective the disaster recovery plan is organized around the team
concept. Each team has specific duties and responsibilities once the decision is made to invoke the
disaster recovery plan. The captains of each team and their alternates are key Information Technology
Services (staff, and senior management. The disaster plan contains the phone numbers of the team
members and represents a dynamic process that is kept up-to-date through updates, testing, and
reviews. As recommendations are completed or as new areas of concern are recognized, the disaster
plan will be updated reflecting the current status.

The intent of this disaster recovery plan is provide a written and tested plan directing the computer
system recovery process in the event of an interruption in continuous service resulting from an
unplanned and unexpected disaster.

The disaster recovery plan preparation process includes the following major steps:

   •   Identify Systems and Applications currently in use
   •   Analyze Business Impact of computer impact and determination of critical recovery time frames
   •   Determine Recovery Strategy
   •   Document Recovery Team Organization
   •   Document Recovery Team Responsibilities
   •   Develop and Document Emergency Procedures
   •   Document Training & Maintenance Procedures

These steps were conducted and this document represents the completed effort in the preparation of the
Company X’s Disaster Recovery Plan.

2.1 Introduction to Disaster Recovery Plans
Research indicates that less than fifty percent of large enterprises have a comprehensive disaster
recovery plan, and those that do not have a program in place are on a direct path for devastation.

Planning for business continuity as a result of a disaster is a complex task for any organization.
Preparation for, response to, and recovery from a disaster, affecting the critical systems, functions, and
processes of any organization, requires cooperative efforts by all stakeholders, and the functional areas
supporting the business. A Disaster Recovery Plan helps to mitigate the impact of potential disasters,
and outlines and coordinates the efforts required to maintain business continuity.


Company X,                                                                                         Page 7
Disaster Recovery Plan
Organizations of the new digital economy have come to depend on the ability of information technology,
to support    business operations, information processing and telecommunications, in achieving
competitive advantage. Preliminary research indicates that this trend of dependency will grow, and
therefore presents a risk in the loss of these capabilities that could seriously impair the overall
performance of an organization.

A Disaster Recovery Plan identifies the critical functions of an organization, and the resources required
to support them. The plan provides guidelines for ensuring that needed personnel and resources are
available for both disaster preparedness, response, and the appropriate steps to be carried out to permit
timely restoration of services.

2.2 Company X – Background Information

Figure 1 - Company X Organizational Chart


“Core” business functions are those functions and processes that are fundamental to Company X’s
operation, they consist of the following:

2.3 Company X - Information Technology Background


2.4 Mission and Objectives
The mission of the Disaster Recovery Plan is to establish defined responsibilities, actions and
procedures to recover Company X’s computer, communication and network environment in the event of
an unexpected and unscheduled interruption. To minimize the effect a disaster will have upon on-going
operations. This Plan responds to the most severe disaster, the kind that requires moving off site to a
backup facility. Occurrences of a less severe nature are controlled at the appropriate management level
as a part of the total Disaster Recovery Plan. The plan is structured to attain the following objectives:

   •   Recover the physical network within the Critical Time Frames established and accepted by the
       user community
   •   Recover the applications within the Critical Time Frames established and accepted by the user
       community
   •   Minimize the impact on the business with respect to dollar losses and operational interference

The overall objectives of the IT Disaster Recovery Plan are to protect and safeguard Company X’s vital
records of which the data center has become the custodian, and to guarantee the continued availability
of essential technology services. The role of this Plan in these objectives is to document the pre-agreed
decisions and to design and implement a sufficient set of procedures for responding to a disaster that
involves the data center and services.

A major objective of this Plan is to define procedures for a disaster recovery plan for recovery from
disruption of computer and/or network services. These disruptions may result from total destruction of
the data centre or from minor disruptive incidents. There is a great similarity in the procedures to deal
with the different types of incidents affecting Company X’s operations. Special attention is paid to

Company X,                                                                                        Page 8
Disaster Recovery Plan
orderly recovery and resumption of those operations that concern the critical business operations of
Company X.

Most major computing systems that are critical to the daily operation of the municipality are maintained
under service contracts with software and equipment vendors. There are a minor number of major
systems that are developed and maintained in-house and these systems are supported by software
vendors on a time and material and priority basis.

2.5 Scope

2.6 Authorization

2.7 Responsibility

2.8 Key Plan Assumptions

2.9 Disaster Definition
Organizations are becoming more dependent on the service and record-keeping of their technology
departments. The Disaster Recovery Team is charged with assessing the damage to the data center
and reporting to the Disaster Recovery Manager. Their objective is to report the assessment of damage
within four hours of the interruption.

The Disaster Recovery Manager makes a decision whether to stay and repair the damage, or move
computer operations to the off-site recovery location. Therefore, the definition of a disaster is:

    A disaster is defined as the occurrence of any event that causes a significant disruption in
    information technology capabilities. Interruptions can include the loss of infrastructures that are not
    the property of municipality but ones that City depends on. This can include: power grids, telephone
    switching centers, microwave towers, and cell and wireless transmission sites.




Company X,                                                                                          Page 9
Disaster Recovery Plan
3 BUSINESS IMPACT ANALYSIS
The Business Impact Analysis section of this applied project identifies the scope of the BIA, the BIA
objectives, the critical time frames for this plan, the classification criteria of the business applications, a
summary of the business impact analysis, and the identified critical systems and corresponding priority
for recovery.

The Business Impact Analysis drives the Disaster Recovery Plan by identifying and substantiating the
applications and systems with the greatest impact on the business in the event of a disaster. A
Business Impact Analysis (BIA) was conducted to ascertain the impact of a disaster on the operations of
each department within the Company X. In turn, this provides for the determination of the most cost
effective recovery time period for each system and application. Recovery times are established and
accepted by the user community.

The BIA results feed into the recovery strategy and process. Enterprises that have never instituted a
BIA into their application life cycle processes typically initiate a project to develop a BIA for critical
business processes and use their findings to ensure that current recovery strategies meet business
process requirements (Gartner Inc., 2004).

3.1 Scope

3.2 Objectives
The Business Impact Analysis was completed to determine the Critical Time Frame in which the
application system capabilities and functionality must be available after an interruption in service to
minimize the operational loss of control and potential loss of revenue. In addition, the Business Impact
Analysis assists in identifying alternative manual procedures which may be used during an interruption in
service. Therefore, the objectives of the Business Impact Analysis are:

   •   Educate users on the need for a disaster recovery plan
   •   Identify the Critical Time Frames for each application by the user
   •   Identify alternative manual procedures which may temporarily minimize impact due to an
       interruption in computer services
   •   Identify the shortest Critical Time Frame for each application

3.3 Critical Time Frame
The purpose of the Business Impact Analysis is to determine the maximum time frame that each City
and Company X department can be without the functionality of the system and without incurring material
operational interference in the event of a disaster. This time frame will be referred to as the Critical Time
Frame.

The Critical Time Frame is defined in business days as the elapsed time between the points of the
interruption up to the point where the system must be functional.

3.4 Application System Impact Statements
The result of the interviews with Company X and Company X departments is a narrative of the effect of a
system outage or interruption assuming a worst case scenario. There is a narrative for each utilized
application by operational department located in Appendix E – Application System Impact Statements.


Company X,                                                                                             Page 10
Disaster Recovery Plan
The narrative indicates the operational department’s dependency on computer support and indicates the
Critical Time Frame that the operational department can be without the applications functionality.

Application System Impact Statements which are the output of the Business Impact Analysis, are used
to classify each application into the categories of essential, delayed or suspended.

Essential (critical impact)
An application is considered “essential” if loss could greatly affect Company X and Company X’s
financial position or impart a serious loss of operational control.

Delayed (moderate impact)
An application is classified as “delayed” when the function can survive without computer processing
support for a period of time. Resumption of computer processing begins only when resources are
available in excess of the requirements for the essential category; however, the passage of time can
escalate the criticality of the application.

Suspended (minimum impact)
Some business functions may have computer support "suspended" or discontinued indefinitely.
Resumption of processing begins again when full computer capability is restored. Typically, the
passage of time does not cause the escalation of the criticality of suspended systems; however, they
may be processed using any available resources when the requirements of the essential and delayed
systems are satisfied.

3.5 Business Impact Analysis Summary
A summary of the Application System Impact Statements outlining the period of time before an
application’s loss becomes critical and classifying each application as essential, delayed or suspended
is illustrated in Table 1 - Business Impact Analysis Matrix below.

Table 1 - Business Impact Analysis Matrix


         Enterprise Business Applications            1-2  3-5 6-10          11- Two          Category
                                                    days days days          14 Weeks
                                                                           days




The results of the application system impact statements indicates that there a no business applications
that have a critical impact. The major of the business applications have minimal impact and therefore
are categorized as suspended. The critical systems that are identified with moderate impact or a
delayed category are addressed below.

3.6 Critical Systems
Critical systems include but are not limited to the following, and are rated in order of priority for recovery:


Company X,                                                                                             Page 11
Disaster Recovery Plan
The Business Impact Analysis as indicated in Table 2 – Critical Applications and Time Frames, indicates
a phased recovery strategy with associated critical time frames for each system:

Table 2 - Critical Applications and Time Frames

      Application                                      Critical Time Frame
                                                          •




Company X,                                                                                     Page 12
Disaster Recovery Plan
4 VULNERABILITY ASSESSMENT
This section addresses Company X’s vulnerability to a number of threats and provides countermeasures
to mitigate the potential impact of these threats. Threats reviewed include the possibility of sabotage,
natural disasters and human error. In addition, an overview of existing security measures is provided in
review of the current backup policy, physical security and access control, and insurance protection.

Disaster Recovery consultants recommend that a formal risk analysis process be undertaken early in the
disaster recovery planning project. An assessment should be made of the impact of unplanned
interruption events on the business as a whole – including a detailed assessment of the tangible and
intangible costs accrued to the unplanned interruption of each automated application that support a
mission-critical business process (Toigo, J.W., 2004).

A major part of the disaster recovery planning process is the assessment of the potential risks to the
organization which could result in the disasters or emergency situations themselves. It is necessary to
consider all the possible incident types, as well as and the impact each may have on the organization’s
ability to continue to deliver normal business services (The Disaster Recovery Guide, 2002).

The purpose of this vulnerability assessment is to identify threats and vulnerabilities and to identify
countermeasures that may mitigate them. To understand potential threats, their likelihood of occurring,
and possible ways to mitigate these risks, a vulnerability assessment was completed. This section
addresses vulnerabilities including: 1.) Sabotage; 2.) Natural Disasters; and 3.) Human Error.

4.1 Vulnerability to Sabotage, and Ways to Protect Against It
Potential threats and vulnerabilities to sabotage are identified and listed in descending order of severity
in Table 3 – Potential Threats and Countermeasures of Sabotage below. For each threat, one or more
corrective measures were suggested.

Table 3 - Potential Threats and Countermeasures of Sabotage

                      Threat                                           Countermeasure
•                                                     •



4.2 Vulnerability to Natural Disasters, and Ways to Protect Against Them
Potential threats and vulnerabilities to natural disasters are identified and listed in descending order of
severity in Table 4 - Potential Threats and Countermeasures of Natural Disasters below. For each
threat, one or more corrective measures were suggested.

Table 4 - Potential Threats and Countermeasures of Natural Disasters

                      Threat                                           Countermeasure
•                                                     •


Company X,                                                                                         Page 13
Disaster Recovery Plan
4.3 Vulnerability to Human Errors, and Ways to Protect Against Them
Potential threats and vulnerabilities to human errors are identified and listed in descending order of
severity in Table 5 - Potential Threats and Countermeasures of Human Errors below. For each threat,
one or more corrective measures were suggested.

Table 5 - Potential Threats and Countermeasures of Human Errors

                     Threat                                         Countermeasure
•                                                  •




Company X,                                                                                    Page 14
Disaster Recovery Plan
5 BACKUP STRATEGY

Incremental Backups

Full Backups

Software Backups

Backup Hardware and Software

Access to Backups

Quality Assurance of Backups

Tape Rotation and Labelling

Tape Retirement Methodology

5.1 Departmental File Servers

5.2 Data at Outsourced Sites (including ISP’s)

5.3 Desktop Workstations, Laptops and PDA’s
As businesses continue to face rising storage management costs and increasingly stringent regulations
for data protection and accessibility, the value of outsourced data protection is going to continue to grow.
In turn, the mass exodus of data now underway is only just beginning. It’s likely that off-site backups
and outsourced data protection services will become the cornerstone of a new generation of business
continuity and disaster recovery plans that promise cost-effectiveness and convenience. For companies
that have already tapped into services for offsite data protection, it is proving to reduce costs, improve
data availability, increase security levels, and reduce restore times (Brick 2004).




Company X,                                                                                          Page 15
Disaster Recovery Plan
6 DISASTER RECOVERY STRATEGY
This section reviews the Disaster Recovery Strategy that the author of this applied project has
researched. The strategy takes into consideration the Critical Time Frame of this plan, as identified from
the results of the Business Impact Analysis; the available backup facilities; the association of potential
damage assessment results and time of recovery. Three plans are devised that consider impact to
business applications of 72 hours or less, 4-7 business days, and more than 7 business days.

Many experts believe that successful business recovery comes down to a simple axiom: shorten the
time to data. For the company experiencing an unplanned interruption in time-sensitive, mission-critical
business processes, the primary objective is to reestablish access to application data quickly and by
whatever means possible (Toigo, J.W., 2004).

The Recovery Strategy developed is based upon the results of the Business Impact Analysis, including
the Critical Time Frames and available alternative manual procedures in the event of an extended
computer outage. The Recovery Strategy will be discussed in two sections as follows:

   •   Approach
   •   Escalation Plans

6.1 Approach
The Critical Time Frame is the basis for selecting an alternate site in the worst case scenario. The
alternative site indicated by the Disaster Recovery Manager’s escalation plan provides immediate
access to a networked facility where recovery servers and technical facilities can be setup to assist in
the recovery process. Contacts and the address of the alternate sites are indicated in Table 9 – Backup
Facility Location and Contract Information below.


The Disaster Recovery Manager’s decision to utilize an alternative site is dependent upon two factors:
   • The length of the anticipated outage
   • The portion of the business cycle the Company X is in at the time of the outage.

Therefore, based upon these two factors, three escalation plans have been devised to drive the recovery
process.

6.2 Escalation Plans

Escalation Plan 1 (Impact of 72 hours or Less)


Other Circumstantial Considerations:


Table 6 - Escalation Plan1 and Other Circumstantial Considerations


Escalation Plan 2 (Impact of 4-7 Business Days)


Company X,                                                                                        Page 16
Disaster Recovery Plan
Escalation Plan 3 (Impact of More than 7 Business Days)




Company X,                                                Page 17
Disaster Recovery Plan
7 DISASTER RECOVERY ORGANIZATION STRUCTURE
This section of the applied project identifies the Disaster Recovery Team, the team responsibilities, the
team members, and call-out lists for the immediate team and other emergency contacts.

The effectiveness and operability of the Disaster Recovery Plan is dependent on the knowledge and
expertise of the personnel who develop and execute the plan. It is essential to determine which talents
are required and to assign personnel who meet those requirements.

One of the first steps in emergency management planning is to identify where personnel resources will
be needed in order to implement the strategies that have been developed for business recovery. Teams
should be created to support a critical recovery process – defined as a set of tasks for achieving a plan
objective (Toigo, J.W., 2004).

A recovery from a disaster is best conducted by teams of personnel that are formed to perform specific
functions (e.g., hardware acquisition, hardware installation, operations). The number and types of teams
are dictated by the size and type of computer processing capabilities and facility the plan is being
developed to recover.

The organization of the staff to recover the system is designed for the worst case situation. The worst
case, requiring a move to the alternative site, must be executed by a coordinated team to minimize the
operational impacts to end-users, senior management and the Company X as a whole.

The Disaster Recovery Team Organization, therefore, is set up to accomplish:

   •   Expeditious and efficient recovery of computer processing;
   •   Intermediate and minor impact/expenditure decisions within the Information Technology
       personnel during the recovery process;
   •   Major impact/expenditure decisions at the management level; and
   •   Streamline reporting of recovery progress from recovery teams upward to senior management
       and end-users.
   •   Assess the requirement for physical security; minimize possible injury, unauthorized persons
       entering the facility, and elimination of the potential for vandalism to Company X assets.
       • Minor Damage - Processing can be restarted in a short time with no special recall of
           personnel. Anticipated downtime is less than one day. Damage could be to hardware,
           software, mechanical equipment, electrical equipment, or the facility.
       • Major Damage - Selected teams will be called to direct restoration of normal operations at
           current site. Estimated downtime is two to six days. Major damage to hardware or facility.
       • Catastrophe - Damage is extensive. Restoration will take upwards from one week. Computer
           room or facility could be completely destroyed. All team leaders will be called to begin a total
           implementation of the Disaster Recovery Plan.


7.1 Disaster Recovery Team Organization Chart
The structure of the Disaster Recovery Team is illustrated in Figure 3 – Disaster Recovery Team
Organizational Chart, below.


Company X,                                                                                         Page 18
Disaster Recovery Plan
Figure 2 - Disaster Recovery Team Organizational Chart



7.2 Disaster Recovery Team


7.3 Disaster Recovery Team Responsibilities
The responsibilities below highlight the roles of each Disaster Recovery Team, the members of each
Team, and the disaster recovery functions are responsible for.


General - Damage Assessment Procedures


Table 7 - Damage Assessment Checklist


Administration Team

Team Captain:
Alternate:


Responsibilities:


Business Application and Data Team

Team Captain:
Alternate:

Responsibilities:


Disaster Recovery Manager

Team Captain:
Alternate:

Responsibilities:


Network Team




Company X,                                                                                Page 19
Disaster Recovery Plan
Team Captain:
Alternate:

Responsibilities:


Physical Environment Team


Team Captain:
Alternate:

Responsibilities:


Public Relations Team


Team Captain:
Alternate:

Responsibilities:


Server and Operating System Team


Team Captain:
Alternate:

Responsibilities:


User and Desktop Recovery Team


Team Captain:
Alternate:

Responsibilities:


7.4 Disaster Recovery Team Call-out List

Table 13- Disaster Recovery Team Call-Out List below is the call out list for the Disaster Recovery
Team identified previously.

Company X,                                                                                 Page 20
Disaster Recovery Plan
Table 8 - Disaster Recovery Team Call-out List




7.5 Other Emergency Contacts Call-out List

Table 14 – Other Emergency Contacts Call-Out List below is the call out list for other emergency
contacts outside of the Disaster Recovery Team.

Table 9 - Other Emergency Contacts Call-Out List




Company X,                                                                                         Page 21
Disaster Recovery Plan
8 DISASTER RECOVERY EMERGENCY PROCEDURES
The Disaster Recovery Emergency Procedures addressed in this section cover the detection and
reaction procedures, action items to take when identifying a problem, and appropriate methods to notify
authorities. Also included are preventative measures to reduce the exposure to loss and the basis of
damage assessment criteria to be reported to the Disaster Recovery Manager.

The primary purpose of a Disaster Recovery Plan is to establish written roles and emergency
procedures which the Recovery Team can follow to expedite the recovery process. The procedures are
in a structured step by step format. This format, during conditions of a disaster results in minimal
confusion thereby expediting the recovery process.

These written procedures are dynamic in that as business requirements and environments change so
will the emergency procedures. It is imperative each Team Member fully understands his/her role and
responsibilities during a disaster and that the emergency procedures are tested on a recurring basis
(see Plan Administration).

The emergency procedures have been structured to provide the individual recovery steps required and
serve as a log of the recovery process. The objectives of the emergency procedures are to:
   • Minimize injury to personnel
   • Minimize damage to equipment and facilities
   • Achieve a report of injury to personnel and damage assessment within four hours of the
      interruption
   • Recover the system and SAN capabilities and functionality within the Critical Time Frames
      specified earlier

As the first objective indicates, the safety of every Company X employee in the event of an emergency is
of top priority. In an emergency situation where your life is threatened or you are in danger of physical
harm, immediately leave the facility. Never place yourself in a dangerous situation or take unnecessary
risks.

The emergency procedures to be discussed are follows:
   • Detection and Reaction
   • Identifying the Problem
   • Reducing the Exposure
   • Advising the Management

8.1 Detection and Reaction
As soon as an emergency situation happens, the on-site personnel should contact the appropriate
emergency authorities and take the necessary steps to minimize property damage and injury to people
in the vicinity. Following these procedures, they will then contact the Disaster Recovery Manager so that
the team can make an on-site evaluation of the disaster.

8.2 Identifying the Problem; Notifying the Authorities
The following procedures should be used for situations involving the physical environment and security
of the data centre.



Company X,                                                                                       Page 22
Disaster Recovery Plan
Emergency services

Environment
If a problem is detected concerning the computer room environment, such as electrical, water damage,
excessive heat, cold, or humidity, contact the following authorities:

                                               Office                  After Hours




Physical security
If you are aware that an unauthorized person is in a secured area of the computer complex, notify the
following:

                                                            Office


8.3 Reducing the Exposure
Following the procedures below will help to reduce Company X’s exposure to additional losses because
of actions not taken by on-site personnel. These actions are targeted at emergencies concerning air-
conditioning, fire, or electrical or water damage.

Air-conditioner failure

Fire alarm procedure

Electrical-failure procedures

Flood and water damage

8.4 Advising the Disaster Recovery Manager of the Situation




Company X,                                                                                   Page 23
Disaster Recovery Plan
9 DISASTER RECOVERY PLAN ADMINISTRATION AND COORDINATION
This section on the Plan Administration and Coordination is critical to the success of this plan. The
author will briefly describe the researched requirements to support the life of this plan. These
requirements include the general procedures and action items necessary to mitigate the risk of disaster,
and the updating of this plan.

Also included in this section are detailed roles of the Disaster Recovery Manager and the Disaster
Recovery Coordinator. Procedures are also provided for the distribution of this plan, ongoing
maintenance of the BIAs, team training programs, testing plans, evaluation of the test plans, an overall
plan maintenance checklist, and preventative measures to reduce the potential of a computer disaster.

Disaster recovery plans are living documents that must grow and change as the businesses they are to
safeguard grow and change. In short, plans must be tested frequently and maintained in a state that is
consistent with the requirements of changing business processes (Toigo, J.W., 2004).

This section contains the minimum steps necessary to prepare for a disaster and as preparation for
implementing the recovery procedures. An important part of these procedures is to ensure that the off-
site storage facility contains adequate and timely backup tapes, and documentation for applications
systems, operations systems, support packages, and operating procedures.

Administrative procedures are for the purpose of maintaining the Disaster Recovery Plan in a consistent
state of readiness. The procedures specify direct Information Technology administrative responsibilities
and coordination responsibilities with users of the data centre.

These procedures apply to the continued maintenance, testing and training requirements of the Disaster
Recovery Plan. They apply to Information Technology management and user management as a whole
to promote awareness of the Disaster Recovery Plan and the need for disaster recovery preparedness.
The procedures also apply to specific functional areas within Information Technology that have direct
responsibility for maintaining the plan current and accurate.

The coordination of the Disaster Recovery Plan is the responsibility of the Disaster Planning
Coordinator.

9.1 General Procedures
Responsibilities have been given for ensuring each of the following actions has been taken and that any
updating requirements are continued.


9.2 Disaster Recovery Manager
The function of the Disaster Recovery Manager is key to maintaining the plan in a consistent state of
readiness. The Recovery Manager’s role is multifaceted. Not only does the Disaster Recovery Manager
assume a lead position in the ongoing maintenance of the plan, but is a member of the Disaster
Recovery Team in the event of a computer disaster. The areas in which the Manager assumes a lead
position and conducts reviews of effectiveness in the plan administration are as follows:

   1. Distribution of the Disaster Recovery Plan

Company X,                                                                                      Page 24
Disaster Recovery Plan
   2.   Maintenance of the Business Impact Analysis
   3.   Training of the Disaster Recovery Team
   4.   Testing of the Disaster Recovery Plan
   5.   Evaluation of the Disaster Recovery Plan Tests
   6.   Review, change and update of the Disaster Recovery Plan

9.3 Disaster Planning Coordinator
The Disaster Recovery Manager has assumed the role of Disaster Planning Coordinator and will
coordinate the activities stated in this Plan.

Copies of this plan are made and distributed to team captains and their alternates (see Appendix B –
Plan Distribution). Copies are also secured at all locations named in the Plan. The copies are to be
kept at the employees’ homes and not in their desks at the office. If a major disaster occurs, their offices
may be destroyed.

All activities in the Plan need to be tested. This not only ensures that the procedures work, but also acts
as a training exercise for the various teams. The Coordinator schedules testing and documents the
success or failure. The Coordinator prepares reports for management. When tests fail, the Coordinator
will work with the team captain to resolve the problem and schedule another test.

The Disaster Recovery Plan Coordinator will stay current with state-of-the-art information and
procedures and will present this information to the organization. As hardware, software, and
communications are updated the Coordinator will communicate with the backup site to ensure that it can
adequately support all critical systems.

9.4 Distribution of the Disaster Recovery Plan
The Disaster Recovery Manager is responsible for the authorized distribution of the plan and the location
of each plan copy. As this document is confidential, the authorized distribution list is developed on a
need-to-know basis. The original and all copies of the Disaster Recovery Plan should be maintained in
a secure location.

The concept of disaster planning is to minimize the likelihood of a disaster ever occurring and further, to
minimize injury to personnel and damage to equipment and facilities if a disaster does occur. The Plan
reveals in great detail the essence of Company X’s recovery strategy, personnel, addresses, locations
and inventories which should not be for general publication to non-participating employees or outsiders.

Copies of the Disaster Recovery Plan will be assigned a sequential number. The Disaster Recovery
Manager must maintain a log to track the number of copies produced and/or distributed and their
location. The original Disaster Recovery Plan must be kept in a secure place to avoid unauthorized
duplication or misuse.

The distribution transmittal cover page should contain instructions regarding the proper handling and
safekeeping of issued plan copies and the requirement for return upon removal as the Disaster
Recovery Manager. Disaster Recovery Team members will be assigned one copy of the Disaster
Recovery Plan. Each Disaster Recovery Team member must be informed and signify their recognition
of the confidential nature of the plan and maintain their copy in a secure location off-site, primarily in



Company X,                                                                                          Page 25
Disaster Recovery Plan
their principal place of residence. This will allow access to the plan by each Team member in the event
access to the Company X office is deemed unsafe or not permitted as a result of a disaster.

In addition to the Data Centre, one copy of the plan is maintained in a container at the off-site storage
facility as well as one copy at the alternative site. Additional copies of the Disaster Recovery Plan will be
assigned to personnel on an as-required basis and as approved by the Disaster Recovery Manager.

9.5 Maintenance of the Business Impact Analysis
As the Company X’s business and systems environment changes, so does the dependency on the
computer systems used to support the business. Therefore, no less than every two years, the Disaster
Recovery Manager shall conduct an Application Inventory and Business Impact (Risk) Analysis to
update the Priority List and Critical Time Frames for the systems recovery process. This analysis will
provide insight as to required plan modifications and whether a change in the overall recovery strategy is
warranted.

9.6 Training of the Disaster Recovery Team
Before a disaster recovery plan can be implemented, whether in a test situation or in an actual crisis,
those who will be called upon to implement the plan must understand their roles (Toigo 2004).

The Disaster Recovery Manager is responsible for the coordination of training relating to the Disaster
Recovery Plan. The purpose of disaster recovery training is twofold:

       •      To train Recovery Team participants who are required to execute plan segments in
              the event of a disaster.
       •      To train Company X management and key employees in disaster prevention and
              awareness and the need for disaster recovery planning.

Initially the acceptance of the Disaster Recovery Plan, training of Company X management in disaster
recovery planning benef and objectives is crucial. A Disaster Recovery Plan must have the continued
support from Company X’s key user management to ensure future effective participation in plan testing
and updating. As discussed later, it is not solely the responsibility of the Disaster Recovery Manager to
initiate updates to the Disaster Recovery Plan.

User management must be aware of the basic recovery strategy; how the plan provides for rapid
recovery of their information systems support structure. In addition, they must know how the plans
effectiveness may be compromised without notification to the Disaster Recovery Manager as their
business operations evolve and expand significantly.

It is the responsibility of each Recovery Team participant to fully read and comprehend the entire plan,
with specific emphasis on their role and responsibilities as part of the Recovery Team. On-going training
of the Recovery Team participants will continue through plan tests and review of the plan contents and
updates provided by the Disaster Recovery Manager.

9.7 Testing of the Disaster Recovery Plan
Plan testing is an important component of plan maintenance activity as tests are the crucibles in which
the plan’s validity is demonstrated. The central purpose of testing is to ensure that plans can be
successfully applied to recover the business processes that they have been developed to safeguard


Company X,                                                                                           Page 26
Disaster Recovery Plan
(Toigo 2004). Other purposes of testing a plan include: 1.) Testing as an audit tool; 2.) Testing as
benchmarking; and 3.) Testing as rehearsal.

The Disaster Recovery Manager is responsible for testing the Disaster Recovery Plan not less than once
every year to ensure the viability of the plan and recovery of computing capabilities will be within the
Critical Time Frames established by the Business Impact Analysis. On an on-going basis this frequency
appears to be adequate considering the systems involved. Special tests are to be given consideration
whenever there has been a major revision to the plan or significant changes in the software, hardware or
data communications have occurred.

The objectives of testing the Disaster Recovery Plan are as follows:

   1. To determine the effectiveness of the Plan procedures;
   2. To determine the state of readiness and ability of designated Recovery Team personnel to
      perform their assigned recovery responsibilities;
   3. To determine if sufficient recovery inventories are stored off-site to support the recovery
      process; and
   4. To determine if the disaster recovery plan requires modifications or updates to ensure
      recovery within the Critical Time Frames established and accepted buy the users.

Plan testing is normally accomplished when there is less demand for information technology services to
end-users as IT personnel and time will be committed to the test process. Costs to conduct such tests
and availability of personnel are prime considerations in determining the scope and timing of the test(s).

The initial test of the plan will be in the form of a structured walk-through and should occur within two
months of the Disaster Recovery Plan’s acceptance. Subsequent tests should be to the extent
determined by the Disaster Recovery Manager that are cost effective and meet the benef and objectives
desired.

The Disaster Planning Coordinator is responsible for making recommendations to the Disaster Recovery
Manager concerning the test scenarios and frequency of tests for the Disaster Recovery Plan. Such
recommendations include sufficient rationale concerning the benef expected from the test and the
specific objectives to be accomplished. Wide latitude is employed in developing test scenarios. Some
considerations in development of the test scenario employed and test frequency are:

   1. Significant modifications to the recovery strategy or emergency procedures;
   2. Inclusion of Recovery Teams requiring more involvement to sustain familiarity with their
      respective functions;
   3. Different severity damage levels to files, documents, materials, and equipment required in support
      of the recovery process;
   4. Critical applications that are new or have not been previously tested;
   5. Re-testing plan segments which were determined to be deficient in past tests; and
   6. Additions or changes to Recovery Team personnel.

Planning for the test is a two to six week process depending on the complexity of the tests employed
and the number of individuals involved. However, without sufficient planning, achievable benef and
objectives from the testing process may never materialize. The steps in planning for the Disaster
Recovery Test in checklist format are:

Company X,                                                                                          Page 27
Disaster Recovery Plan
   •   Determine Objectives of the Test
   •   Determine Scope of the Test
   •   Determine Announced or Unannounced Test
   •   Determine Personnel Resource Requirements
   •   Establish Test Date and Duration
   •   Determine Anticipated Test Costs
   •   Obtain Test Schedule and Cost Approval
   •   Schedule Test with Participants
   •   Schedule Test with Alternative Site
   •   Schedule Delivery with Off-site Storage
   •   Make Required Hotel or Travel Arrangements
   •   Develop Detailed Test Work Plan
   •   Ensure Recovery Material and Equipment Availability
   •   Notify Users of Test
   •   Review Work Plan with Participants

9.8 Evaluation of the Disaster Recovery Plan Tests
The Disaster Recovery Manager is responsible for coordinating the review and analysis of the test
results and updating the plan accordingly. A Test Coordination Team is appointed and headed by the
Disaster Recovery Manager for each test conducted. This team is charged with the following
responsibilities:

   1. To be familiar with the entire plan;
   2. To understand thoroughly the objectives of the tests to be conducted;
   3. To organize elf to be able to monitor and observe all the activities of the Recovery Teams
      involved in the test;
   4. To inspect and review the results of the test from the point of view of the Information Technology
      personnel and the users; and
   5. To document their findings related to the strengths and weaknesses observed during the test.

The Recovery and Test Coordination Team documents the test results immediately after the plan test.
The Disaster Recovery Manager reviews the test results with the Recovery and Test Coordination
Teams during a postmortem meeting to discuss weaknesses and resolve problem areas. The Disaster
Recovery Manager chairs the meeting and makes changes and updates to the plan accordingly.

9.9 Maintenance of the Disaster Recovery Plan
The Disaster Recovery Manager is responsible for ensuring that the plan is maintained current and in a
state of readiness. The purpose of a plan review is to determine whether updates to the plan or
additional training of Recovery Team personnel is required based on the occurrence of an event or
action affecting the plan.

Business requirements change over time, resulting in the need to reassess recovery capabilities
frequently to ensure that they meet the business requirements. Sometimes this reassessment is a
formal process (such as a mini-BIA). Often, a failed disaster recovery test will propel an enterprise into



Company X,                                                                                        Page 28
Disaster Recovery Plan
doing a more detailed analysis (Gartner 2004). Therefore, there are two primary responsibilities of the
Disaster Recovery Manager that will drive revisions to the Disaster Recovery Plan:
   1. Updates to the Business Impact Analysis
   2. Testing of the Disaster Recovery Plan.

It is also the responsibility of all Company X management to initiate a plan review when an event or
action affecting the plan has occurred.

The following paragraphs incorporate checklists for Disaster Recovery Manager which could prompt a
review and subsequent update of the plan:



9.10 Protection of “Soft” Assets
A Disaster Recovery Plan is an essential document to ensure continued computer operations in the
event of a disaster. It is also essential for preventative measures be taken to reduce the possible
likelihood of a disaster ever occurring. It is critical that protection of Company X’s “soft” assets are
ensured. “Soft” assets consist of corporate data resident on computer files within the Data Centre and
software (operating system and applications software).

Corporate data is far more important than the software. Copies of software can easily be obtained from
vendors, installed, and then quickly set up (configured) for operation. Corporate data on the other hand,
has taken years to accumulate; if lost, it can almost never adequately be re-created from paper
documents.

Following are several preventative measures that when implemented and monitored on a regular basis
will reduce the chance of a computer disaster ever occurring or minimize impact. (This does not imply
these procedures are not currently being followed).

Organizations that have tried to develop disaster recovery and business resumption plans without
dedicating the required resources to the effort have been largely unsuccessful in implementing
effectively recovery plans. Some organizations, after spending time and money developing recovery
plans, have failed in maintaining their recovery capability. This is mostly due to a lack of commitment to
keep their plans current or to do regular testing of recovery capabilities (University of Toronto 2002).

This section of the plan attempts to mitigate the risk identified above by the University of Toronto. By
managing the administration and coordination of this plan, there is increased chance of the overall
success for recovery capability of the data centre.




Company X,                                                                                        Page 29
Disaster Recovery Plan
10 DATA CENTER REQUIREMENTS
For details on the Data Centre’s data, telecommunication, security, power, and HVAC systems, please
refer to Appendix F – Data Centre Schematics, for detailed schematic diagrams.

10.1 Technology Architecture
This section describes Company X’s computer equipment and organization.

Computer Equipment


Workstations

Servers – Cluster 1


Servers - Cluster 2


Other Servers


Network Printers (approximate numbers)


Storage Area Network Devices

Firewall

Power Backup –


Host System


Host System Printers



Network
The Company X has implemented a high speed enterprise-wide network with the following capabilities
and features:


Active Network Hardware




Company X,                                                                                 Page 30
Disaster Recovery Plan
Cabling


Network Protocol


Operating Systems and Related Software
Below is a listing of the operating systems and related software to support Company X’s network:


Network Operating System


Back Office Solutions


Mail Server


Desktop Operating System

Table 15 – Data Center Network Hardware Summary, provides a comprehensive list of Company X’s
present server information for the data center.

Table 10 - Data Center Network Hardware Summary




Figure 4 – Network Diagram below shows the existing Company X network architecture.

Figure 3 - Network Diagram




Company X,                                                                                         Page 31
Disaster Recovery Plan
11 COMPUTER ROOM OPERATION PROCEDURES
The following procedures are provided for the data center.

11.1 Power-Down Procedures


11.2 Power-Up Procedures



12 PHYSICAL SECURITY AND ACCESS CONTROL

13 BACKUP FACILITY

14 INSURANCE PROTECTION

15 RECOMMENDATIONS

16 CONCLUSION




Company X,                                                   Page 32
Disaster Recovery Plan
17 APPENDIX A - PLAN REVISIONS
Below is the log of all revisions to this plan.

                  Date              Issue         Description   Author




Company X,                                                               Page 33
Disaster Recovery Plan
18 APPENDIX B - PLAN DISTRIBUTION
The Disaster Recovery Manager is responsible for the distribution of the Disaster Recovery Plan and for
tracking the version of the plans that are in distribution. Table 16 – Plan Distribution List identifies all
copies of this plan and who has copies of it.

Table 11 – Plan Distribution List

   Plan Number            Name             Location          Date          Date         Date    Version
                                            Phone          Provided       Trained      Tested




Company X,                                                                                          Page 34
Disaster Recovery Plan
19 APPENDIX C - COMPANY X FACILITIES
Below is a list of Company X facilities that are integrated to Company X’s network infrastructure.

                      Facility                                      Location




Company X,                                                                                           Page 35
Disaster Recovery Plan
20 APPENDIX D - VENDOR PHONE/ADDRESS LIST
Not all of the suppliers that Company X works with in normal business environment will be listed in this section. This section is designed to
identify only those specific vendors who need to be contacted to repair or replace equipment or supplies critical to the operation of the data
center and required as part of the recovery effort.

20.1 Hardware Suppliers
                                                                         Province
 Application                                                                                                        Email
               Vendor Type   Vendor Name      Address         City         State       Phone           Fax                        Contact
   Name                                                                                                            Address
                                                                         Country




20.2 Application Suppliers
                                                                         Province
 Application                   Vendor                                                                               Email
               Vendor Type                   Address         City          State        Phone          Fax                        Contact
   Name                         Name                                                                               Address
                                                                         Country




Company X,                                                                                                                          Page 36
Disaster Recovery Plan
                                                       Province
 Application                 Vendor                                              Email
               Vendor Type            Address   City     State    Phone   Fax             Contact
   Name                       Name                                              Address
                                                       Country




Company X,                                                                                 Page 37
Disaster Recovery Plan
                                                       Province
 Application                 Vendor                                              Email
               Vendor Type            Address   City     State    Phone   Fax             Contact
   Name                       Name                                              Address
                                                       Country




Company X,                                                                                 Page 38
Disaster Recovery Plan
                                                       Province
 Application                 Vendor                                              Email
               Vendor Type            Address   City     State    Phone   Fax             Contact
   Name                       Name                                              Address
                                                       Country




Company X,                                                                                 Page 39
Disaster Recovery Plan
                                                       Province
 Application                 Vendor                                              Email
               Vendor Type            Address   City     State    Phone   Fax             Contact
   Name                       Name                                              Address
                                                       Country




Company X,                                                                                 Page 40
Disaster Recovery Plan
                                                       Province
 Application                 Vendor                                              Email
               Vendor Type            Address   City     State    Phone   Fax             Contact
   Name                       Name                                              Address
                                                       Country




Company X,                                                                                 Page 41
Disaster Recovery Plan
                                                       Province
 Application                 Vendor                                              Email
               Vendor Type            Address   City     State    Phone   Fax             Contact
   Name                       Name                                              Address
                                                       Country




Company X,                                                                                 Page 42
Disaster Recovery Plan
                                                       Province
 Application                 Vendor                                              Email
               Vendor Type            Address   City     State    Phone   Fax             Contact
   Name                       Name                                              Address
                                                       Country




Company X,                                                                                 Page 43
Disaster Recovery Plan
                                                                       Province
 Application                     Vendor                                                                   Email
                Vendor Type                  Address        City         State        Phone     Fax                   Contact
   Name                           Name                                                                   Address
                                                                       Country




20.3 Communications Suppliers
                                                                   Province
  Application
                   Vendor Type      Vendor Name   Address   City     State        Phone       Fax     Email Address   Contact
    Name
                                                                   Country




Company X,                                                                                                             Page 44
Disaster Recovery Plan
                                                                  Province
  Application
                   Vendor Type     Vendor Name   Address   City     State        Phone     Fax    Email Address   Contact
    Name
                                                                  Country




20.4 Computer Suppliers
                                                                      Province
 Application                                                                                          Email
                Vendor Type   Vendor Name   Address        City         State      Phone    Fax                   Contact
   Name                                                                                              Address
                                                                      Country




Company X,                                                                                                         Page 45
Disaster Recovery Plan
21 APPENDIX E - APPLICATION SYSTEMS IMPACT STATEMENTS
Below are the application systems impact statements. The numbering corresponds directly to the
question numbers in the BIA questionnaire that can be found in Appendix G Business Impact Analysis
Questionnaire.


Date:
Dept:
Who:
Application:



1. Information about the application


2. User environment

3. System availability


4. Historical information


5. Operating environment


6. Application “criticality”


7. Documentation


8. Security


9. Equipment Requirements




Observations



Company X,                                                                                Page 46
Disaster Recovery Plan
22 APPENDIX F – Data Centre Schematics

Figure 4 - Server Room Data/Telecom/Security Layout




Company X,                                            Page 47
Disaster Recovery Plan
Figure 5 - Server Room Power and Auxiliary Layout




Company X,                                          Page 48
Disaster Recovery Plan
Figure 6 - Server Room HVAC System




Company X,                           Page 49
Disaster Recovery Plan
Figure 7 - Power/Data/Telecom/Fire/Security Layout




Company X,                                           Page 50
Disaster Recovery Plan
23 APPENDIX G – BUSINESS IMPACT ANALYSIS QUESTIONNAIRE
                                                  Disaster Recovery Planning
                               Application Inventory and Business Impact Analysis Questionnaire

The purpose of this questionnaire is to determine the criticality of the applications used at the Company X. The information
provided will be used to develop a Application Inventory that can be used in the Disaster Recovery Plan that minimizes the
impact of the loss of this application in the event of a disaster. (PLEASE USE ADDITIONAL BLANK PAPER OR
ATTACHMENTS WHEREVER NECESSARY)

Application

Application name:

Provide a brief description/purpose of application:




What are the main functions of this application:




Was this application developed in-house or purchased from a vendor? If purchased from a vendor, do you hold the
source code:




If the application is a purchased package, are there extensive modifications to this application (briefly describe modifications):




What programming language was used to create the application?



How old is this application (maturity):

Who is the owner of this application (i.e. Joe Smith of Accounting):




User Environment

Provide the following information for each department that uses the application:

•Department name

Company X,                                                                                                               Page 51
Disaster Recovery Plan
•How the application is used (example: Department A inputs patient information, Department B enters billing information
etc.)
•Primary contact (i.e. primary user or department head name)
•Number of people in department that use the application
•What attribute best describes the users that have access to this application:
Public
Customers and Employees
Groups of Employees
Specific Employees
Other __________



Department Name                 Purpose or Use                  Primary Contact       Number         User Attribute
                                                                                      of Users




Company X,                                                                                                         Page 52
Disaster Recovery Plan
User Environment Continued


How would the data generated by this application be classified?

  Sensitive
  Confidential
  Internal Use
  Public

Describe the ownership to the data:

  Not defined
  Multiple owners _______________________________________________________________________

  Group owners _________________________________________________________________________

  Individual owner ______________________________________________________________________


Describe the Environment: ____________________________________________________________________________




Company X,                                                                                      Page 53
Disaster Recovery Plan
Processing Information

What is the estimated volume of transactions processed by this application (example: 10,000 transactions per hour)



Is this a batch or on-line real time application?

If application processes in batch mode, what is the length of processing time per batch?

Average:

Maximum:

How often is the application scheduled to run (daily, weekly, and as required):




 Does the application have a standard scheduled run-time. If so, when (i.e. 1st Saturday of the month at 3:00 p.m.):




What is the estimated run-time of the application:




What time of day must the application be available to users:




Historical Information


Has this application had processing problems in the last twelve months?

Company X,                                                                                                             Page 54
Disaster Recovery Plan
What is the frequency of these processing problems?

Have the processing problems lead to significant application down-time:

What was the impact of this down-time (example: loss of patients, delay in sending bills etc.):




Did user departments have fall-back procedures during these down-times:




(Note: This segment of information would be helpful if provided by each user department)



What additional resources did the departments need (example: additional temporary people to clear backlog):




How long did it take to clear the backlog:




(Note: This segment of information would be helpful if provided by each user department)




Company X,                                                                                                    Page 55
Disaster Recovery Plan
Operating Environment


What platform(s) does this application use (i.e. SAN, Internet, IBM Servers etc.)

Platform 1

Platform 2

Platform 3

What Operating system(s) does this application run on (i.e. Novell, VM, VSE, UNIX etc.):




What sub-systems does the application run under (i.e. CICS, TSO, Windows, UNIX (Version) etc.):




What applications and business functions feed this application (i.e. what provides input to this application):




Company X,                                                                                                       Page 56
Disaster Recovery Plan
Operating Environment Continued

What applications and Business Functions use the output from this application?




What are the other applications and Business Functions impacted by the failure of this application:




What is the file structure of the data (example: SQL, Oracle, VSAM, Relational DBMS, etc.):



What is the communication access to this application?
 Internet
 Intranet
 Public Telephone
 Network
 Leased Lines
 No Communication
 Other

How is the application information data stored:
  In one Database _______________________________________________________________________
  In many Databases at one location ________________________________________________________

  Many Databases at many locations ________________________________________________________
  Disk files
  Tape files
  Other




Company X,                                                                                            Page 57
Disaster Recovery Plan
Criticality of Application


Are there any particular aspects of this system's operation or function that should be considered in determining the system's
criticality to the organization?




If a disaster occurred and normal processing capabilities were unavailable, in which of the following categories would you
classify this system?

Category I           Must be processed in normal mode, no degradation is acceptable.

Category II          Only high priority (i.e., high dollar item) transactions or critical reports would be processed.

Category III         Processed would be carried out on a "Time Availability" only basis.

Category IV          Processing would be suspended, but data collection would continue.

Category V           No processing or data collection would be carried out until normal computer capacity was re-established.

How long can application be down before having a significant business impact on the organization:

 0 - 8 Hours 8 - 24 Hours 24 - 48 Hours

 3 - 5 Days 5 - 10 Days Greater Than 10 Days

What would be the first major affect if system were to go down (i.e. Patients would not receive medicine:




How long until the next impact(i.e. monthly processing could not be performed):




Company X,                                                                                                              Page 58
Disaster Recovery Plan
Criticality of Application Continued


Could you accept input without processing (i.e. data input is stored in a holding file and processed at night):

 If so, how long can data be stored without processing before having a significant business impact?




Provide the following information for each department that uses the application:

•Department name
•If down-time procedures exist for manual processing
•If a training program for down-time procedures exist
•Number of days the department can function without this application
•Additional resources required for manual processing (i.e. personnel, equipment, etc.)




 Department Name          Down-time         Training       Number of                    Additional Resources
                          Procedures        Program          Days
                             (Y/N)            (Y/N)




Company X,                                                                                                        Page 59
Disaster Recovery Plan
Database / File Names

Please provide on this form or attach a list of relevant files associated with this application with locations:
Include:
•Database / Filename
•Job Procedures and Job Control library
•Source library
•Object library
•Data library
•Disk pack
•Drive
•Other




Company X,                                                                                                        Page 60
Disaster Recovery Plan
Documentation


Does User Functional Documentation exist (location):

    Last Reviewed by and date:

Does Application Documentation exist: (location):

    Last Reviewed by and date:

Does IT Operation’s Documentation exist: (location):

    Last Reviewed by and date:



Security


Is there application level security:

Administrator for application level security:

Is there system-wide security software:

Administrator for system-wide security:



Application Support and Maintenance


Programmers or project groups responsible for maintenance:




What is the average Programmer experience on this application:



What training and/or background is required by the support staff:




Resource Usage



Company X,                                                          Page 61
Disaster Recovery Plan
What are the disk storage requirements?




What are the tape storage (and other media) requirements?




Equipment Requirements by Department


How many workstations (A) does each department have that can access this application:


What is the minimum number of workstations (B) that each department will need in the event of a disaster:

    Department                 Business Function                Primary Contact       Number         User Function
      Name                                                                             A/B




Company X,                                                                                                      Page 62
Disaster Recovery Plan
Backups


How often is this application Backed-Up (daily, weekly, monthly, yearly, etc.):




Who performs the backup?




Where is the Back-ups stored (example: fire-proof vault on premises, off-site, etc.):




How and where are the non-electronic (paper) files stored?




If the function was moved what non-electronic (paper) would be required?




Company X,                                                                              Page 63
Disaster Recovery Plan
24 REFERENCES




Company X,               Page 64
Disaster Recovery Plan

								
To top