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Federal Reserve Bank
OF DALLAS
TO N Y J . SA LVA G G IO
F IR S T V IC E P R E S ID E N T

July 3 0 , 1993

dallas,texas 7 5 2 2 2

Notice 93-70
TO:

The Chief Operating Officer of
each financial institution in the
Eleventh Federal Reserve District
SUBJECT
Operating Circular 18
(Disaster Recovery)
DETAILS

The Federal Reserve Bank of Dallas
has begun renaming and reissuing
its Bulletins as Operating Circulars in order to conform to the language used
in the Uniform Commercial Code. Accordingly, Bulletin 18 is being reissued as
Operating Circular 18 (Disaster Recovery).
In connection with this reissue, changes have been made to include
FR 2900 reporting and Treasury Tax and Loan as applications covered by our
contingency arrangements for quick recovery.
ENCLOSURE
Circulars

Enclosed is Operating Circular 18.
Please file it in
your Operating
(Bulletins) binder and discard the
old
version.
MORE INFORMATION

For more information, please contact Larry Ripley at (214) 922-6430.
For additional copies of this B a n k ’s notice or Operating Circular 18, please
contact the Public Affairs Department at (214) 922-5254.
Sincerely,

For additional copies, bankers and others are encouraged to use one of the following toll-free numbers in contacting the Federal Reserve Bank of Dallas:
Dallas Office (800) 333-4460; El Paso Branch Intrastate (800) 592-1631, Interstate (800) 351-1012; Houston Branch Intrastate (800) 392-4162,
Interstate (800) 221-0363; San Antonio Branch Intrastate (800) 292-5810.

This publication was digitized and made available by the Federal Reserve Bank of Dallas' Historical Library (FedHistory@dal.frb.org)

O e tin Circular
p ra g
F e d e r a l

R e s e r v e

B a n k

of

D a l l a s

18

Disaster Recovery

Scope
Operating Circular 18 addresses the services provided by the Federal Reserve Bank of Dallas in the
event of a disaster and the conditions for access to and use of those services. This Operating
Circular covers disaster situations affecting the Dallas Office only.

F e d e ra l R e s e rv e B a n k of D allas

06-93

M ie of Conteats¥
DISASTER RECOVERY
Paragraphs
G eneral...............................................................................................
Purpose of this Operating Circular
Disaster recovery operations

1-2

Definitions..........................................................................................
Disaster situation
Disaster recovery operations
Critical services
Disaster relocation center

3-6

Notification of Disaster.....................................................................
Notification of service loss
Status of recovery efforts
Contact points

7-9

Reestablishing Electronic C onnections........................................... 10-16
Reestablishing dial-up connections
Reconciliation and resumption of Wire Transfer Service
Reconciliation and resumption of Securities
Transfer Service
Reconciliation and resumption of ACH Service
Provision of reserve and clearing account statements
Reconciliation and resumption of Treasury Tax
and Loan Service
Resumption of statistical reporting
Exchange of Physical Item s...............................................................

17

Data Security in a D isaster................................................................ 18-19
Encryption key
Terminal and operator security

06-93

F e d e ra l R e s e rv e B a n k of D allas

iii

H ie of Contents¥
DISASTER RECOVERY
(continued)
Paragraphs
Depository Institution Responsibilities in a Disaster..................... 20-28
Depository institution responsibility for determining if
a disaster has been declared
Reestablishing electronic connections
Financial institution requirements for the resumption
of Transfer of Funds Service
Financial institution requirements for the resumption
of Securities Transfer Service
Financial institution requirements for the resumption
of ACH Service
Financial institution responsibility for reconciling
ACH files
Exchange of physical items
Financial institution requirements for the resumption
of Treasury Tax and Loan Service
Financial institution requirements for the resumption
of statistical reporting
Liability: Authority to Defer Critical Services..................................

29

Miscellaneous..................................................................................... 30-31
Right to amend
Termination
Appendix 1: Contact Numbers for Critical Services
Appendix 2: Disaster Recovery Procedures for Transfer of Funds
Appendix 3: Disaster Recovery Procedures for Securities Transfers

iv

F e d e ra l R e s e rv e B a n k of D allas

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W e of Contests¥
DISASTER RECOVERY
(continued)

Appendix 4: Disaster Recovery Procedures for Automated Clearinghouse
Appendix 5: Disaster Recovery Procedures for Accounting Information
Appendix 6: Disaster Recovery Procedures for Treasury Tax and
Loan Services
Appendix 7: Disaster Recovery Procedures for Statistical Reporting
Appendix 8: Dallas Office Auxiliary Mail Room Address

06-93

F e d e ra l R e s e rv e B a n k of D allas

v

General

Circular covers disaster situations affecting the
Dallas Office only.

Operating
Circular

18

Purpose o f This Operating Circular
Disaster Recovery Operations
1. This Operating Circular addresses the
services provided by the Federal Reserve Bank of
Dallas in the event of a disaster— “critical
services”— and the conditions for access to and
use of those services. This Operating Circular
also states the requirements placed on depository
institutions for reconnection to critical services
provided by the Bank and covered by this
Operating Circular. This Operating Circular
applies to all parties to which the Bank provides
critical services pursuant to this Operating
Circular, including their successors, represen­
tatives, and assigns.
Disaster Recovery Operations
2. The Bank operates four main computer
centers at its offices in Dallas, Houston, El Paso,
and San Antonio. If one of these centers is
severely damaged, we will continue our criticalservice operations at one of the other offices or at
the Federal Reserve System’s disaster recovery
center in Culpeper, Virginia (“Culpeper Cen­
ter”). Services provided by the Bank may be
disrupted in many ways, such as by a software or
equipment failure, fire or water damage, or a
disruption in the telecommunications network.
We will endeavor to address each possible failure
in such a way that financial institutions can rely
on receiving an appropriate level of service on a
consistent basis. In the event of a disaster
requiring relocation of the Bank’s critical-service
operations, the Bank requests that depository
institutions execute a set of specified procedures
and be prepared to provide specified data to
effect resumption of critical services provided by
the Bank.

D e f in it io n s

Critical Services
5. Critical services are defined to be the Wire
Transfer Service, the Securities Transfer Service,
the Automated Clearinghouse Service, the
Treasury Tax and Loan Service, the Statistical
Reporting Service, and the Accounting Service.
Wire Transfer, Securities Transfer, Treasury Tax
and Loan, Statistical Reporting, and Automated
Clearinghouse services will be provided to
depository institutions with electronic connec­
tions through connections rerouted to the
Culpeper disaster recovery center. Offline Wire
Transfer and Securities Transfer services will be
provided within limitations established by
responsible Bank officials in accordance with the
ability of the responsible operating departments
to provide those services. The deposit, process­
ing, and delivery of automated clearinghouse
(ACH) items and files will be supported, but the
support of ancillary services thereto (data entry
of ACH return items and notification of change
items) will be provided only at the discretion of
the Bank according to its ability to provide those
services. Accounting information for the previ­
ously defined critical services will be provided on
a three-day lag basis.
Disaster Relocation Center
6. The disaster relocation center for criticalservice operating departments is defined as the
Bank’s Houston Branch.

Disaster Situation
3. A disaster is defined as any situation resulting
in the Bank’s loss of hardware, software, data,
physical plant and equipment, or access to the
physical plant and equipment to the extent that
the Bank is unable to resume the provision of
critical services to depository institutions without
relocation. Senior officials of the Bank will
declare a disaster. Depository institutions will
then be notified via recordings on Bank tele­
phone lines and other broadcast media, includ­
ing the public news media. This Operating
06-93

4. Disaster recovery operations are defined as
operations that resume critical services after a
relocation of the Dallas Office computer center
to the Culpeper Center and/or the relocation of
Dallas Office critical-service operating depart­
ments to the Houston Branch.

NOTIFICATION OF DISASTER
Notification of Service Loss
7. If a severe disruption of the Bank’s data
processing facilities, data communication
facilities, or critical-service operating department
facilities occurs, senior Bank officials will assess
the situation before deciding to declare a disas­
ter. If facilities are available, online broadcasts
will be made to online depository institutions to

F e d e ra l R e s e rv e B a n k of D allas

1

advise them that a disaster has been declared. If
facilities for broadcasts are not available or are
disrupted, rerouting of voice communication
lines to the Bank’s Houston Branch will be
effected, and recordings will be provided to
advise depository institutions calling the Dallas
Office that a disaster has been declared. Public
announcements will be made through all avail­
able news media to advise depository institutions
that a disaster has been declared by the Bank.

advised of the contact person’s name and
telephone number at first contact. Financial
institution staff not on the Bank’s list of contact
individuals will be advised to communicate with
the appropriate contact person at their institu­
tion if they call Bank operations staff seeking
information or assistance.

R e e s t a b l is h i n g E l e c t r o n i c
C o n n e c t io n s
Reestablishing Dial-up Connections

Status o f Recovery Efforts
8. As in paragraph 7 above, the Bank will advise
depository institutions of the status of its disaster
recovery through all available media. When
operations have been reestablished, online
depository institutions will be notified through
broadcasts that the Bank is prepared to resume
critical services. Telephone numbers for contact­
ing Electronic Customer Services or criticalservice operating departments at the Houston
Branch are listed in Appendix 1. Also listed in
Appendix 1 are two sets of numbers for the
direct-dial connection of Fedline terminals and
dial backups for dedicated-line connections at
the Culpeper Processing Center. The computer
services that are relocated to Culpeper will use
one of the two sites but not both. Broadcasts will
direct depository institutions to use one or the
other set of numbers (if the Bank’s “800”
num ber cannot be used) for direct-dial con­
nection to data communication facilities at
Culpeper.
Contact Points
9. The Bank expects that financial institutions
will designate no more than one individual per
critical-service department or function (wire
transfer, securities transfer, automated clearing­
house, and so on) to maintain contact with the
Bank until full normal operations are resumed.
The Bank expects that the contact individual will
pass all information on the status of the recovery
and operations to other members of the depart­
ment and the financial institution, if possible.
Also, financial institution contact individuals
should be responsible for passing information to
their data processing and network support staff.
Recovery of critical operations will proceed more
quickly and smoothly if the Bank is not receiving
unnecessary (multiple) calls from institutions
requesting instructions and information. The
appropriate Bank operations staff should be

10. If financial institutions are advised that a
disaster has been declared, information can be
obtained by calling Electronic Customer Services
at the Bank’s Dallas Office at the numbers listed
in Appendix 1. If Electronic Customer Services at
the Bank’s Dallas Office cannot be reached, the
Bank’s Houston Branch should be called at the
numbers listed in Appendix 1. The status of
recovery of critical-service operations will be
provided by a recording reached through the
Electronic Customer Services call. Once the
establishment of operations at Culpeper has been
announced, financial institutions using dial-up
connections should call the Electronic Customer
Services toll-free number, (800) 333-1672, to
establish data communications with the
Culpeper Center. Dallas financial institutions
that normally use the local Dallas dial-up
numbers must use the “800” number. All
financial institutions can dial directly to the
numbers listed for Culpeper Processing Center
Contingency Site 1 or Site 2 in Appendix 1.
Financial institutions will be advised via tele­
phone recordings and broadcasts which set of
numbers to use. Financial institutions will use
one set or the other but not both.
Reconciliation and Resumption of
Wire Transfer Service
11. Reconciliation of wire transfers sent and
received will be performed according to proce­
dures listed in Appendix 2. Once reconciliation is
complete, the Bank’s wire room should be
contacted. The wire room staff will advise the
financial institution whether it can resume
operations or whether the financial institution
must close business for that day and resume
operations on the next business day. The Bank’s
wire room staff will advise the financial institu­
tion of any procedures beyond those listed in
Appendix 2 that must be followed to resolve
unreconciled transactions.

F e d e ra l R e s e rv e B a n k o f D allas

06-93

Reconciliation and Resumption of
Securities Transfer Service
12. Reconciliation of securities transfers sent and
received will be performed according to proce­
dures listed in Appendix 3. Once reconciliation is
complete, Bank Securities staff will advise the
financial institution whether it can resume
operations or whether the financial institution
must close business for that day and resume
operations on the next business day. The Bank’s
Securities staff will advise the financial institution
of any procedures beyond those listed in
Appendix 3 that must be followed to resolve
unreconciled transactions.
Reconciliation and Resumption of ACH Service
13. Reconciliation and resumption of the ACH
Service will be performed in accordance with the
procedures listed in Appendix 4. The Bank’s
ACH staff will advise financial institutions of
procedures beyond those listed in Appendix 4 to
be performed for unreconciled files or items. The
Bank will not process trace or research requests
on the day that a disaster is declared. The Bank
makes no warranty that ACH return item and
notification of change data entered by the Bank
from paper items submitted by a financial
institution or from data submitted by a financial
institution through the Customer Assistance
Touch-Tone Information Express (CATIE)
facility will be processed and delivered. The Bank
will advise financial institutions when such items
are undeliverable and when financial institutions
must make other arrangements for the delivery
of such items.

dures listed in Appendix 6. Once reconciliation is
complete, Bank Fiscal Agency staff will advise the
financial institution when Treasury Tax and
Loan activity will resume. Treasury Tax and
Loan operations may be suspended for up to
three days after a disaster. Fiscal Agency staff will
advise the financial institution of any procedures
beyond those listed in Appendix 6 that must be
followed to resolve unreconciled transactions.

Operating
Circular

18

Resumption of Statistical Reporting
16. Deadlines for all statistical reports collected
by the Dallas Office will remain the same in the
event of a disaster. Financial institutions will be
contacted by Dallas Office Statistics staff if
reports have not been received. Resumption of
statistical reporting will be performed according
to procedures listed in Appendix 7.

Ex c h a n g e o f P h y s ic a l i t e m s
17. The Bank will provide for the messenger
exchange of ACH magnetic tapes and for the
pickup of statements and advices reflecting
ACH, Transfer of Funds, Securities Transfer, and
Accounting activity for Dallas Office financial
institutions using messenger services at the
address given in Appendix 8. The Bank will
arrange for courier delivery of the items listed
above to financial institutions that normally
receive courier delivery by placing those items in
the courier delivery system from the Bank’s
Houston Branch. The Bank does not warrant
that such items will be delivered within normal
(nondisaster) time frames.

DATA SECURITY IN A DISASTER
Provision o f Reserve and Clearing
Account Statements
14. The Bank will make reasonable efforts to
provide a complete and accurate account
statement for each financial institution’s account
for the day on which the disaster is declared. For
the days after the declaration of a disaster by the
Bank, accounting statements will be provided on
a three-day lag basis and will reflect only those
transactions resulting from use of the critical
services in accordance with the procedures listed
in Appendix 5.
Reconciliation and Resumption of
Treasury Tax and Loan Service
15. Reconciliation of Treasury Tax and Loan
activity will be performed according to proce­
06-93

Encryption Key
18. The Bank expects to resume provision of
critical services without change to security
procedures. However, the Bank may choose, in
its discretion, to change the encryption key used
for encryption of data between financial institu­
tions and the Bank.
Terminal and Operator Security
19. The Bank expects to resume data comm uni­
cation operations without change to terminal or
operator security procedures. However, the Bank
reserves the right, in its discretion, to require
financial institution operators to change their
password or other terminal or operator security
identifiers.

F e d e ra l R e s e rv e B a n k of D allas

3

Operating
Circular

18

D e p o s i t o r y In s t i t u t i o n
R e s p o n s i b i l i t i e s i n a D is a s t e r
Depository Institution Responsibility for
Determining if a Disaster Has Been Declared
20. Online financial institutions should monitor
broadcast messages for notification of a disaster.
A financial institution should attempt telephonic
contact with the Bank if the financial institution
is not able to establish a data communication
connection or if it is an offline financial institu­
tion and receives no answer when attempting to
contact a Bank operating department. Attempts
should be made to telephone the Bank at the
Electronic Customer Services local or “800”
num ber listed in Appendix 1. If financial institu­
tions are unable to contact the Bank by tele­
phone, then they should monitor public news
media for announcement of a Bank disaster.
Reestablishing Electronic Connections
21. When financial institutions are advised that
the Bank has resumed operations, financial
institutions should begin efforts to establish data
communications with the Culpeper Center.
Financial institutions with dedicated-line
connections are required to first attempt to
establish data communication connections by
using their dedicated line. In the event this
attempt fails, financial institutions are then
required to attempt to establish data comm uni­
cation connections by using their dial backup
facility, at the Bank’s direction. FINANCIAL
INSTITUTIONS W ITH DEDICATED-LINE
CONNECTIONS BUT W ITHOUT A DIAL
BACKUP FACILITY WILL BE GIVEN THE
LOWEST PRIORITY IN REESTABLISHING
DATA COMMUNICATION CONNECTIONS
WITH THE BANK.
Financial Institution Requirements for the
Resumption o f Transfer o f Funds Service
22. Financial institutions shall retain all docu­
mentation to verify that the Bank has received
and processed all funds transfers sent by financial
institutions and that financial institutions have
received and processed all funds transfers sent to
them by the Bank. Financial institutions shall
keep all records of activity for the day on which a
disaster is declared (the “disaster day”), as well as
those for the day before the disaster day. Finan­
cial institutions are required to prioritize their
wire transfers so that high-priority transfers may
4

be sent first upon the reestablishment of service
with the Bank. Each financial institution is also
required to provide the Bank with the sequence
number of the last transaction sent by the
financial institution to the Bank and the se­
quence number of the last transaction received
by the financial institution from the Bank.
Offline financial institutions shall be prepared to
advise the Bank of their position within their
code-word list. OFFLINE FINANCIAL INSTI­
TUTIONS SHALL N O T PROVIDE THE BANK
OR ANY OTHER ENTITY WITH THE NEXT
AVAILABLE CODE WORD IN THEIR LIST
EXCEPT WHEN MAKING AN OFFLINE
WIRE TRANSFER THROUGH THE BANK
WIRE ROOM.
Financial Institution Requirements for the
Resumption o f Securities Transfer Service
23. Financial institutions are required to retain
all documentation to verify that the Bank has
received and processed all securities transfer
transactions sent by financial institutions and
that financial institutions have received and
processed all securities transfer transactions sent
by the Bank. Financial institutions shall retain all
records of activity for the disaster day, as well as
those for the day before the disaster day. Finan­
cial institutions shall prioritize securities trans­
fers for the reestablishment of service with the
Bank. Financial institutions shall also balance
their activity records to the terminal balance
report and active issues report obtained after
reestablishing data communication connections
to the Bank’s Securities Transfer Service.
Financial Institution Requirements for the
Resumption o f ACH Service
24. Financial institutions shall retain all docu­
mentation to verify that the Bank has received
and processed all ACH files deposited by finan­
cial institutions on the disaster day and that
financial institutions have received and pro­
cessed all ACH files sent by the Bank. Financial
institutions originating and depositing ACH files
with the Bank are required to have copies of all
deposited files available for retransmission, at the
Bank’s request, after reestablishment of the ACH
Service. Financial institutions are required to
maintain copies of deposited ACH files covering
at least the business day before the disaster day
and have all files deposited on the disaster day
available for retransmission or deposit on tape.
Financial institutions depositing ACH files on
tape shall, at the Bank’s request, redeposit those

F e d e ra l R e s e rv e B a n k of D allas

06-93

files at the location given in Appendix 8. Finan­
cial institutions are further required to establish
an alternative means of returning CATIE or
paper ACH return items and notifications of
change to the originating institution.
Financial Institution Responsibility for
Reconciling ACH Files
25. Financial institutions are required to main­
tain all ACH files received via data transmission
or on tape from the Bank for the business day
before the disaster day and to retain all ACH files
received on the disaster day. Financial institu­
tions are required to retain all ACH advices for
the three days preceding the disaster day and all
ACH advices received on the disaster day,
because the Bank will not be in a position to
provide copies of paper ACH advices. Financial
institutions shall reconcile to the advices pro­
vided by the Bank all files deposited and received
on the day before the disaster day, as well as
those deposited and received on the disaster day.
Financial institutions shall reconcile all ACH files
deposited with the Bank and received from the
Bank with the ACH staff at the Bank’s Houston
Branch at the Bank’s request.
Exchange of Physical Items

received and processed all statistical reports sent
by the institutions. Financial institutions that
send their FR 2900 data to the Bank via Fedline
must retain the data, ready for transmission, for
at least one week at all times. Dallas Office staff
will request retransmission if necessary.

LIABILITY: AUTHORITY TO DEFER
C r i t ic a l S e r v ic e s
29. Every financial institution for which the
Bank provides critical services hereby authorizes
the Bank to defer or cause to be deferred, for
such periods during the time of the disaster
situation as the Bank in its discretion may
determine, the provision of critical services that
the Bank believes to be impractical at the time
because of the disaster situation.

M is c e l l a n e o u s
Right to Amend
30. The Bank reserves the right to amend this
Operating Circular at any time.
Termination
31. The Bank may terminate arrangements set
forth in this Operating Circular at any time.

26. Financial institutions using messenger
services to deliver and collect ACH magnetic
tapes and/or accounting statements and advices
reflecting ACH, Treasury Tax and Loan, Transfer
of Funds, and Securities Transfer activity shall
direct the messengers to the address given in
Appendix 8.
Financial Institution Requirements for the
Resumption of Treasury Tax and Loan Service
27. Financial institutions are required to retain
all TT&L documentation to verify that the Bank
has received and processed all tax deposits sent
by the financial institutions. Financial institu­
tions shall retain all records of activity for the
disaster day, as well as for the day before the
disaster day, in a readily accessible place. Finan­
cial institutions must be prepared to balance
their activity records to the “cutoff” statement
that will be provided by the Bank.
Financial Institution Requirements for the
Resumption o f Statistical Reporting
28. Financial institutions are required to retain
all documentation to verify that the Bank has
06-93

F e d e ra l R ese rve B a n k of D allas

A P P E N D IX 1
CONTACT NUMBERS FOR CRITICAL SERVICES

D allas O ffic e: E lectronic C ustom er Services
(214)922-6161
(800)333-1672
Houston D isaster R elocation C e n te r
E le c tr o n ic C u s to m e r S e rv ic e s

(713) 652-1671— Primary Houston num ber for
Electronic Customer Services
(713)652-1677
A c c o u n tin g S e rv ic e s

(713) 652-1673— Primary Houston num ber for Accounting
(713)652-1674
(713)652-1676
(713)652-1678
(713)652-1679
(713)652-1682
(713)652-1683
A u t o m a te d C le a rin g h o u s e

(713) 652-1684— Primary Houston num ber for ACH
(713)652-1675
T r a n s fe r o f Funds

(713) 652-1647— Primary Houston num ber fo r TOF
(713)652-1646
(713)652-1649
(713)652-1687
(713)652-1689
(713)652-1692
(713)652-1693
(713)652-1695
(713)652-1696
T r a n s fe r o f S e c u r itie s

(713) 652-1643— Primary Houston num ber fo r TOS
(713)652-1694
T re a s u ry T a x a n d Loan S e rv ic e s

(713)652-1636
S ta tis tic a l R e p o rtin g

(713)659-4433
06-93

F e d e ra l R ese rve B a n k of D allas

Operating
Circular

18

Operating
Circular

18

APPENDIX 1

(continued)

C ulpeper Processing C e n te r C o n tin g en cy Sites
fo r D ial-in D a ta C om m unicatio ns Connections
C o n tin g e n c y S ite 1

(703)825-5002
(703)825-6560
(703)825-6960
C o n tin g e n c y S ite 2

(703)829-7800
(703)829-7830
(703)829-0650

F e d e ra l R e s e rv e B a n k o f D allas

06-93

APPENDIX 2
DISASTER RECOVERY PROCEDURES FOR TRANSFER OF FUNDS
IM M ED IA TE A C TIO N TO BE TAKEN BY ALL DEPOSITORY INSTITUTIO NS
•

Retain all documentation so you can verify that the Bank has received and processed
all funds transfers you sent and that the financial institution has received and pro­
cessed all funds transfers the Bank has sent.

•

Be sure to keep records of activity the day before the outage, as well as the day of the
outage.

•

Prioritize funds transfers fo r the reestablishment of service with the Bank.

•

The Dallas Relocation Team w ill assist online institutions in sending large dollar
transfers. Small dollar transfers should be sent through the financial institution's
correspondent institution.

•

A broadcast message w ill be sent over the RESPONSE network to inform financial
institutions when the Bank has reestablished operations and when reconciliation of
transactions, both sent and received, may begin.

•

Financial institutions w ill be informed via a broadcast message from the Bank staff
about when they may transm it new business over the RESPONSE network.

•

Financial institutions w ill be informed in the broadcast or by telephone call or tele­
phone recording which of the follow ing sets of numbers w ill be used if you are making
a direct-dial connection to the Culpeper Processing Center:
C ontin gency S ite 1
(703)825-5002
(703)825-6560
(703)825-6960
C ontin gency S ite 2
(703)829-7800
(703)829-7830
(703)829-0650

DETERMINE N E X T EXPECTED INCO M ING A N D O UTG O ING SEQUENCE NUMBER
•

Financial institutions with dial-up, dedicated-line, FLASH, or FRISC electronic connec­
tions have access to an Inquiry function that enables them to review the most recent
Fedwire messages sent from or received by the Bank's system. Through this medium,
financial institutions can resynchronize their funds system with the Bank's and recon­
cile their records with the Bank's records.

AFTER W E HAVE RECOVERED OUR FEDWIRE (TRANSFER OF FUNDS) OPERATION
•

06-93

Ensure that the last Fedwire messages sent and received by the Bank's system agree
with the last messages sent and received by the financial institution's funds transfer
system.

F e d e ra l R ese rve B a n k of D allas

Operating
Circular

18

Operating
Circular

18

APPENDIX 2

(continued)

Depending on the nature of the disruption, some inform ation that was being pro­
cessed at the tim e of the disruption or shortly before the disruption could be lost.
Financial institutions using the RESPONSE network have access to an Inquiry function
that enables them to review the most recent Fedwire messages sent from or received
by the Dallas Office's system. Through this service, financial institutions may reconcile
their records w ith the Dallas Office's records.
•

If there is a difference between the financial institution's records and the Dallas
Office's records, please fo llo w the steps listed below.
RESPONSE n e tw o rk fin a n c ia l in s titu tio n s using Fedline s o ftw a re may choose
either of these options:
1.

Inquire concerning the last transfer that you (the financial institution) attempted to
send or receive via the Browse feature from the Funds Transfer menu. Verify that
the status code is TA.

OR
2.

Perform a Retrieval (RTVM) request from the Create A Message menu, and view
the last transfer sequence num ber you (the financial institution) sent or received.

Financial in s titu tio n s u tilizin g FLASH or FRISC links should perform a Retrieval
(RTVM) or Inquiry function to verify that the last transfer sent or received has pro­
cessed completely.
•

Prepare a list of any entries you are expecting, including respondent transactions, but
have not received at the tim e of the disaster declaration.

W H A T Y O U C A N DO T O D A Y TO PREPARE FOR A DISASTER
•

Arrange for a test of your institution's backup leased-line connection with the Bank.
Call an Electronic Customer Services representative at the Bank to arrange fo r this test.

•

Test your institution's backup connection at least once every six months. The Bank
routinely tests all its dial-up connections.

•

Keep up to date the authorization form s at the Bank that designate personnel autho­
rized to perform offline funds transfers for your institution.

•

Discuss any issues or concerns regarding disaster recovery plans for funds transfers
w ith a Bank Wire Transfer representative.
Transfer of Funds: (214)922-6433
If necessary, establish a new backup connection by calling a Dallas Office Electronic
Customer Services representative at (214) 922-6161 or (800) 333-1672.
To ensure that we can contact your institution after a disruption of your institution's
operations, please check that you have given us backup telephone numbers fo r the
Wire Transfer of Funds contact at your institution, as well as for your disaster
coordinator.

F e d e ra l R e s e rv e B a n k of D allas

06-93

APPENDIX 2

(continued)

Develop and practice manual procedures for gathering copies of all transactions
processed on disaster day and any other data needed to reconcile accounts and
reserve position.

06-93

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APPENDIX 3
DISASTER RECOVERY PROCEDURES FOR SECURITIES TRANSFERS

IM M ED IA TE A C TIO N TO BE TAKEN BY ALL ONLINE FINANC IA L INSTITUTIO NS
•

Retain all activity records.

•

Request a balancing report.

•

Subm it a message retrieval fo r the current day's activity.

•

Request member bank accounting totals.

•

The Bank w ill notify your institution of the tim e of your last completed transaction; be
prepared to balance your institution's activity records to the terminal balance report
and the active issues report.

•

Report any discrepancies to your local Federal Reserve office Securities representative
at the numbers listed below, and we w ill assist you in confirm ing the completion of
your transactions.
Dallas and El Paso financial institutions should call
Dallas O ffice:

(214) 922-6748
(800) 333-4460, Ext. 6748

Houston financial institutions should call
Houston Branch:

(713)652-1636
(800) 392-4162, Ext. 1636

San Antonio financial institutions should call
San A n to n io Branch: (210) 978-1303
(800) 292-5810, Ext. 1303
•

Resume regular operations only after you have been notified by the Bank via a RE­
SPONSE network broadcast message.

•

Financial institutions w ill be informed in the broadcast or by telephone call or tele­
phone recording which of the follow ing sets of numbers w ill be used if you are making
a direct-dial connection to the Culpeper Processing Center:
C ontin gency S ite 1
(703)825-5002
(703)825-6560
(703)825-6960
C ontin gency S ite 2
(703)829-7800
(703)829-7830
(703)829-0650

06-93

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APPENDIX 3

<
continued)

W H A T Y O U C A N D O T O D A Y TO PREPARE FOR A DISASTER
•

Arrange for a test of your institution's backup leased-line connection with the Bank.
Call the Securities Department at the Bank to arrange for this test.

•

Test your institution's backup connection at least once every six months. The Bank
routinely tests all its dial-up connections.

•

Discuss any issues or concerns regarding disaster recovery plans for securities trans­
fer w ith a Bank Securities Department representative.
Dallas and El Paso financial institutions should call
D allas O ffice:

(214)922-6748
(800) 333-4460, Ext. 6748

Houston financial institutions should call
Houston Branch:

(713) 652-1636
(800) 392-4162, Ext. 1636

San A ntonio financial institutions should call
San A n to n io Branch: (210) 978-1303
(800) 292-5810, Ext. 1303
• If necessary, establish a new backup connection by calling a Dallas Office Electronic
Customer Services representative at (214) 922-6161 or (800) 333-1672.
• To ensure that we can contact your institution after a disruption of your institution's
operations, please check that you have given us backup telephone numbers for the
Securities contact at your institution, as well as for your disaster coordinator.
•

Request that your local Fed office send you an active issues report. This w ill help to
familiarize you w ith the report.

•

Develop and practice manual procedures for gathering copies of all transactions
processed on disaster day and any other data needed to reconcile accounts and
reserve position.

F e d e ra l R e s e rv e B a n k of D allas

06-93

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APPENDIX 4
DISASTER RECOVERY PROCEDURES FOR AUTOM ATED CLEARINGHOUSE

IM M ED IA TE A C TIO N TO BE TAKEN BY ALL DEPOSITORY INSTITUTIO NS
DISK FILES
•

Depository institutions need to have the capability to resend their automated clearing­
house (ACH) files for 24 hours or the next business day. For example, Friday files
should be resent on Monday or Tuesday.

•

Data should be backed up, and institutions should have the data available to
and retransmit ACH files at any time.

•

Retransmit your ACH file if the Bank notifies you that it is operating in a disaster
recovery situation and your file is one that needs to be retransmitted.

re-create

TAPE FILES (USE ONLY IF ELECTRONIC CONNECTIONS CANNOT BE MADE)
•

If tape files are damaged or lost because of a building or computer room disaster, the
depository institution must be prepared to re-create the tape files upon request and
deliver them to the auxiliary mail room at
Aviall
Love Field
7515 Lemmon Avenue
Hanger K-L
Dallas, Texas 75209

•

Files must be delivered as follows:
Day cycle input— by 5:15 a.m.
Night cycle input— by 5:15 p.m.

•

Auxiliary mail room telephone number: (214) 357-8240

•

If a disaster recovery situation exists, contact the ACH staff at the Houston Branch at
(713) 652-1595 fo r additional information.

ACH RETURN ITEMS (PAPER, CATIE, DEDICATED-LINE)
•

•

The ACH staff, relocated to the Houston Branch, w ill assist as much as possible on
debit items of $2,500 or larger.

•

06-93

Depository institutions must be prepared to return all completed return item form s to
the originating depository institution at the depository institution's own expense, if
necessary.

If your depository institution is a sending point or if another institution is set up in the
ACH authorization file to send for your institution, you may elect to create a tape or
electronic file fo r input of your return items. Such files must be delivered to the auxil­
iary mail room at Love Field or transm itted to the Bank's contingency data processing
center in Culpeper, Virginia, by the times indicated above.

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APPENDIX 4

(continued)

OUTPUT FILES
•

In the event of a service disruption, all Federal Reserve offices in the Eleventh District
w ill receive their own output in the same manner as before w ith the exception of the
Dallas Office. Dallas Office output w ill be received at the Houston Branch from the
Culpeper Processing Center and distributed as follows:
1.

Mail: All data to be placed in U.S. Postal Service mail w ill be mailed from the
Houston Branch.

2.

Courier: All data w ill be picked up from the Houston Branch by Pony Express and
delivered to the courier points. As a result, data may be delivered later than usual.

3.

Private courier (messenger): Data w ill be delivered by Pony Express to the auxil­
iary mail room in Dallas, located at Love Field, fo r local messenger pickup. (The
address of the auxiliary mail room is given above under "Tape Files.")

REMAKES OF ACH DATA
•

As soon as your depository institution determines that it is missing a file, please
request a remake. PLEASE DO NOT REQUEST PAPER ADVICE COPIES.

TELEPHONE CALLS FOR DAILY TOTALS
Depository institutions that are usually called daily and given settlement totals WILL
NOT BE NOTIFIED of their settlement totals in the event of a disaster. A CATIE facility
to replace these telephone calls w ill be made available in the event of a disaster.
Information concerning its use w ill be provided by ACH staff located at the Houston
Branch.
GARS (GENERALIZED ADVICE RETRIEVAL SYSTEM)
•

GARS w ill not be available. Please do not call the ACH Division for totals. ACH w ill not
have microfiche or staff to check totals while handling an emergency.

RESEARCH INFORMATION
•

Calls with reference to research, pricing, trace requests, and customer information file
(CIF) changes w ill not be handled until after all operations have been recovered. Upon
recovery, priority w ill be given to trace requests and CIF changes.

AFTER THE A C H SERVICE HAS BEEN REESTABLISHED
•

Resume regular operations only after you have been notified by the Bank via a RE­
SPONSE network broadcast message.

•

Financial institutions w ill be informed in the broadcast or by telephone call or tele­
phone recording which of the follow ing sets of numbers w ill be used if you are making
a direct-dial connection to the Culpeper Processing Center:

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APPENDIX 4

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(continued)

C ontin gency S ite 1
(703)825-5002
(703)825-6560
(703)825-6960
C ontin gency S ite 2
(703)829-7800
(703)829-7830
(703)829-0650
•

Ensure that ail ACH files sent by the Bank to your institution have been received and
that all ACH files sent by your institution have been received by the Bank.

•

The ACH activity statement for the day on which the disruption occurred should be
carefully reconciled the next m orning to ensure that no files were lost, damaged, or
duplicated.

W H A T Y O U C A N D O T O D A Y TO PREPARE FOR A DISASTER
•

Arrange for a test of your institution's backup leased-line connection with the Bank.
Call an ACH representative at the Bank to arrange for this test.

• Test your institution's backup connection at least once every six months. The Bank
routinely tests all its dial-up connections.
•

In the event of a Dallas Office disaster, institutions that have tested their connections
w ith this office w ill be given priority in receiving their ACH files.

• Keep signature cards at the Dallas Office up to date. Those cards serve as a list
authorized individuals at your institution we can contact about ACH.
•

of

Discuss any issues or concerns regarding disaster recovery plans for ACH with a Bank
ACH representative.
ACH: (214)922-6443
(214)922-6441
(214)922-6437

•

If necessary, establish a new backup connection by calling a Dallas Office Electronic
Customer Services representative at (214) 922-6161 or (800) 333-1672.

• To ensure that we can contact your institution after a disruption of your institution's
operations, please check that you have given us backup telephone numbers for the
ACH contact at your institution, as well as for your disaster coordinator.

06-93

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APPENDIX 5
DISASTER RECOVERY PROCEDURES FOR ACCOUNTING INFORMATION
IM M ED IA TE A C TIO N TO BE TAKEN BY ALL DEPOSITORY INSTITUTIO NS
Two services of the Bank's accounting system interface w ith financial institutions: the delivery
of accounting statements and the delivery of reconcilement data.
•

In the event of a disaster, call one of the representatives listed below. They w ill be able
to give you inform ation concerning the disaster and w hat to do. Contacts for both
services are as follows:
Dallas O ffic e
Jim Mabe
Claude Davis
Lisa Johnson

(214)922-5606
(214)922-5607
(214)922-5610

Houston C ontin gency S ite
(713)652-1673

El Paso Branch
Jerry Silvey
(915) 521-8230
Houston Branch
C.O. Holt
(713)652-1530
San A n to n io Branch
David Sowell
(210)978-1420
•

Statement and reconcilement tape delivery w ill definitely be affected by the disaster
relocation of the Dallas operations to Houston. The Bank w ill not be able to make "first
day of the outage" deliveries until at least three days after the disaster has been
declared.

•

Even after the situation stabilizes, mail point depository institutions—for example,
those in West Texas and Louisiana—w ill experience a three-day delivery lag for
statements and reconcilement tapes. Other institutions w ill be serviced w ithin tw o
days, and depository institutions that use bulk data or ACH links for delivery of their
reconcilement data will be serviced as soon as the connections are made and the data
are available for transmission.

W H A T Y O U C A N D O T O D A Y TO PREPARE FOR A DISASTER
•

Arrange for a test of your institution's backup leased-line connection with the Bank by
contacting the Dallas Office Financial Planning and Control Department at (214)
922-5610.

•

Test your institution's backup connection at least once every six months. The Bank
routinely tests all its dial-up connections.

•

Discuss any issues or concerns regarding disaster recovery plans fo r Accounting
Services w ith a Bank Financial Planning and Control Department representative.
Accounting Services: (214) 922-5610

•

06-93

If necessary, establish a new backup connection by calling a Dallas Office Electronic
Customer Services representative at (214) 922-6161 or (800) 333-1672.

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APPENDIX 5

(continued)

To ensure that we can contact your institution after a disruption of your institution's
operations, please check that you have given us backup telephone numbers for the
Accounting contact at your institution, as well as fo r your disaster coordinator.

F e d e ra l R e s e rv e B a n k of D allas

06-93

APPENDIX 6
DISASTER RECOVERY PROCEDURES FOR
TREASURY TA X A N D LOAN SERVICES
IM M ED IA TE A C TIO N TO BE TAKEN BY ALL FIN A N C IA L INSTITUTIO NS
•

Retain all activity records.

•

The Bank w ill provide a "c u to ff" statement of activity to the point of disruption. Be
prepared to balance your activity records to the cutoff statement.

•

Report any discrepancies to your local Federal Reserve office. Treasury Tax and Loan
Section, at the numbers listed below, and we w ill assist you in confirm ing the com ple­
tion of your transactions.
D allas O ffic e:

(214) 922-6711
(214)922-6716
(214)922-6704
(800) 333-4460, Ext. 6711, 6716, or 6704

El Paso Branch:

(915) 521-8268
(800) 592-1631, Ext. 8268 (Texas)
(800) 351-1012, Ext. 8268 (New Mexico)

Houston Branch:

(713) 652-1636
(800) 392-4162, Ext. 1636

San A n to n io Branch:

(210) 978-1303
(800) 292-5810, Ext. 1303

•

A broadcast message w ill be sent over the RESPONSE network to advise financial
institutions of the outage and the estimated tim e of recovery.

•

Resume regular operations only after you have been notified by the Bank via a RE­
SPONSE network broadcast message. TT&L operations may be suspended fo r up to
three days.

•

Institutions w ith a Fedline connection w ill be able to view their account activity and
process advices when TT&L services have been restored.

•

Financial institutions w ill be informed in the broadcast or by telephone call or tele­
phone recording which of the follow ing sets of numbers w ill be used if you are making
a direct-dial connection to the Culpeper Processing Center:
C ontin gency S ite 1
(703)825-5002
(703)825-6560
(703)825-6960
C ontin gency S ite 2
(703)829-7800
(703)829-7830
(703)829-0650

06-93

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APPENDIX 6
•

(continued)

Institutions accessing the FASTAX system can continue to call in their advices to one
of three branch locations, and the advices w ill be stored until TT&L services have been
restored.
El Paso Branch:

(800)

592-1631, Ext. 8278 (Texas)

(800) 351-1012, Ext. 8278 (New Mexico)
Houston Branch:

(800)

458-0057

San A n to n io Branch: (800)

292-5810, Ext. 1234

W H A T Y O U C A N D O T O D A Y TO PREPARE FOR A DISASTER
•

Arrange for a test of your institution's backup leased-line connection w ith your local
Fed office. Call the appropriate number below to arrange fo r this test.

•

Test your institution's backup connection at least once every six months. The Bank
routinely tests all its dial-up connections.

•

Discuss any issues or concerns regarding disaster recovery plans for TT&L transac­
tions with your local Fed office.
D allas O ffice:

(214) 922-6711
(214)922-6716
(214)922-6704
(800) 333-4460, Ext. 6711, 6716, or 6704

El Paso Branch:

(915) 521-8268
(800) 592-1631, Ext. 8268 (Texas)
(800) 351-1012, Ext. 8268 (New Mexico)

Houston Branch:

(713) 652-1636
(800) 392-4162, Ext. 1636

San A n to n io Branch: (210) 978-1303
(800) 292-5810, Ext. 1303
• If necessary, establish a new backup connection by calling a Dallas Office Electronic
Customer Services representative at (214) 922-6161 or (800) 333-1672.
•

To ensure that we can contact your institution after a disruption of your institution's
operations, please check that you have given us backup telephone numbers for the
TT&L contact at your institution, as well as for your disaster coordinator.

F e d e ra l R e s e rv e B a n k of D a lla s

06-93

APPENDIX 7
DISASTER RECOVERY PROCEDURES FOR STATISTICAL REPORTING
IM M ED IA TE A C TIO N TO BE TAKEN BY ALL FIN A N C IA L INSTITUTIO NS
DEADLINES
•

Deadlines for all reports collected by the Dallas Office Statistics Department will
remain the same in the event of a disaster. Financial institutions w ill be contacted by
Bank Statistics staff if reports sent during the disaster have not been received. Fax
numbers at Dallas and Houston are listed below.

FR 2900 REPORTERS
•

Financial institutions that send their FR 2900 data to the Bank via the Fedline applica­
tion Accounting Services (AS) or Statistical Remote Entry (K2-SRE) w ill need to have
the capability to retransmit their data for at least one week.

•

Statistics staff w ill contact financial institutions that need to retransmit their FR 2900
data after the Bank has recovered com puter operations.

•

Financial institutions w ill be informed by a RESPONSE network broadcast, telephone
call, or telephone recording which of the follow ing sets of numbers w ill be used if you
are making a direct-dial connection to the Culpeper Processing Center:
C ontin gency S ite 1
(703)825-5002
(703)825-6560
(703)825-6960
C ontin gency S ite 2
(703)829-7800
(703)829-7830
(703)829-0650

FAX NUMBERS
•

Use the Houston numbers if Dallas Office Statistics staff relocate to the Houston site.
D allas fa x num bers:

(214)922-5394
(214)922-5395

Houston fa x num bers: (713) 652-1526
(713)652-9109
W H A T Y O U C A N D O T O D A Y TO PREPARE FOR A DISASTER
•

•

06-93

Arrange for a test of your institution's backup leased-line connection with the Bank.
Call an Electronic Customer Services representative at the Dallas Office at (214)
922-6161 or (800) 333-1672 to arrange fo r this test.
Test your institution's backup connection at least once every six months. The Bank
routinely tests all its dial-up connections.
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APPENDIX 7

(continued)

•

Send updated remote entry agreements to the Statistics Department when necessary.
Keep up to date the authorization form s at the Bank that designate personnel autho­
rized to perform FR 2900 data transmissions. Notify Statistics when report contacts
change at your financial institution.

•

Discuss any issues or concerns regarding disaster recovery plans for statistical report­
ing with a Bank Statistics representative.
Statistics: (214)922-5401

•

To ensure that we can contact your institution after a disruption of your institution's
operations, please check that you have given us backup telephone numbers for the
Statistics contact at your institution, as well as for your disaster coordinator.

F e d e r a l R e s e r v e B a n k o f D a lla s

06-93

A P P E N D IX 8
DALLAS OFFICE A U XILIA R Y M A IL ROOM ADDRESS
Aviall
Love Field
7515 Lemmon Avenue
Hanger K-L
Dallas, Texas 75209

06-93

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Federal Reserve Bank of St. Louis, One Federal Reserve Bank Plaza, St. Louis, MO 63102