<Project Name>

<Project Name>
Information Technology Contingency Plan
Version Number: 1.0
Version Date: <mm/dd/yyyy>

[Insert appropriate disclaimer(s)]

 <Project Name>

VERSION HISTORY
[Provide information on how the development and distribution of the Contingency Plan
Template will be controlled and tracked. Use the table below to provide the version
number, the author implementing the version, the date of the version, the name of the
person approving the version, the date that particular version was approved, and a brief
description of the reason for creating the revised version.]
Version Implemented Revision Approved Approval Description of
Number By Date By Date Change
1.0 <Author name> <mm/dd/yy> <name> <mm/dd/yy> <description of change>

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Notes to the Author

[This document is a template of a Security Approach document for a project. The template includes
instructions to the author, boilerplate text, and fields that should be replaced with the values specific to the
project.
 Blue italicized text enclosed in square brackets ([text]) provides instructions to the document
author, or describes the intent, assumptions and context for content included in this document.
 Blue italicized text enclosed in angle brackets (<text>) indicates a field that should be replaced
with information specific to a particular project.
 Text and tables in black are provided as boilerplate examples of wording and formats that may be
used or modified as appropriate to a specific project. These are offered only as suggestions to
assist in developing project documents; they are not mandatory formats.

When using this template, the following steps are recommended:

1. Replace all text enclosed in angle brackets (e.g., <Project Name>) with the correct field document
values. These angle brackets appear in both the body of the document and in headers and
footers. To customize fields in Microsoft Word (which display a gray background when selected)
select File->Properties->Summary and fill in the appropriate fields within the Summary and
Custom tabs.
After clicking OK to close the dialog box, update all fields throughout the document selecting
Edit>Select All (or Ctrl-A) and pressing F9. Or you can update each field individually by clicking
on it and pressing F9.
These actions must be done separately for any fields contained with the document’s Header and
Footer.
2. Modify boilerplate text as appropriate for the specific project.
3. To add any new sections to the document, ensure that the appropriate header and body text
styles are maintained. Styles used for the Section Headings are Heading 1, Heading 2 and
Heading 3. Style used for boilerplate text is Body Text.
4. To update the Table of Contents, right-click on it and select “Update field” and choose the option -
“Update entire table”.
5. Before submission of the first draft of this document, delete this instruction section “Notes to the
Author” and all instructions to the author throughout the entire document.]

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Table of Contents

1 INTRODUCTION 5
1.1 PURPOSE 5
1.2 BACKGROUND 5
1.3 APPLICABILITY 5
1.4 SCOPE 6
1.4.1Planning Principles 6
1.4.2Assumptions 6
1.5 REFERENCES/REQUIREMENTS 7
2 CONCEPT OF OPERATIONS 8
2.1 SYSTEM DESCRIPTION AND ARCHITECTURE 8
2.2 LINE OF SUCCESSION 8
2.3 RESPONSIBILITIES 9
2.4 TESTING AND MAINTENANCE 9
2.4.1Tabletop Testing 9
2.4.2Technical Testing 10
3 NOTIFICATION AND ACTIVATION PHASE 10
4 RECOVERY OPERATIONS 11
5 RETURN TO NORMAL OPERATIONS 12
5.1 ORIGINAL OR NEW SITE RESTORATION 12
5.2 CONCURRENT PROCESSING 13
5.3 PLAN DEACTIVATION 13
APPENDIX A: CONTINGENCY PLAN APPROVAL 14
APPENDIX B: REFERENCES 15
APPENDIX C: KEY TERMS 16
APPENDIX D: RELATED DOCUMENTS 17

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1 INTRODUCTION
1.1 PURPOSE
This <System Name> Contingency Plan establishes procedures to recover the <System
Name> following a disruption. The following objectives have been established for this
plan:

 Maximize the effectiveness of contingency operations through an established

plan that consists of the following phases:
 Notification/Activation phase to detect and assess damage and to activate
the plan
 Recovery phase to restore temporary IT operations and recover damage
done to the original system
 Reconstitution phase to restore IT system processing capabilities to normal
operations.
 Identify the activities, resources, and procedures needed to carry out <System
Name> processing requirements during prolonged interruptions to normal
operations.
 Assign responsibilities to designated OPDIV personnel and provide guidance for
recovering <System Name> during prolonged periods of interruption to normal
operations.
 Ensure coordination with other OPDIV staff who will participate in the
contingency planning strategies.
 Ensure coordination with external points of contact and vendors who will
participate in the contingency planning strategies.

1.2 BACKGROUND
This <System Name> Contingency Plan has been developed as required under the
Office of Management and Budget (OMB) Circular A-130, Management of Federal
Information Resources, Appendix III, November 2000, and the Health Insurance
Portability and Accountability Act (HIPAA) Final Security Rule, Section §164.308(a) (7),
which requires the establishment and implementation of procedures for responding to
events that damage systems containing electronic protected health information.

This <System Name> Contingency Plan is promulgated under the legislative

requirements set forth in the Federal Information Security Management Act (FISMA) of
2002 and the guidelines established by the National Institute of Standards and
Technology (NIST) Special Publication (SP) 800-34, titled "Contingency Planning Guide
for Information Technology Systems" dated June 2002.

1.3 APPLICABILITY
The <System Name> Contingency Plan applies to the functions, operations, and
resources necessary to restore and resume OPDIV’s <System Name> operations as it
is installed at <Primary location name, City, State>. The <System Name> Contingency
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Plan applies to OPDIV and all other persons associated with <System Name> as
identified under Section 2.3, Responsibilities.

The <System Name> Contingency Plan is supported by <plan name>, which provides
the <purpose of plan>. Procedures outlined in this plan are coordinated with and
support the <plan name>, which provides <purpose of plan>.

1.4 SCOPE
1.4.1 Planning Principles
Various scenarios were considered to form a basis for the plan, and multiple
assumptions were made. The applicability of the plan is predicated on two key
principles.

 OPDIV’s facility in <City, State>, is inaccessible; therefore, OPDIV is unable to

perform <System Name> processing for the Department.
 A valid contract exists with the <alternate site> that designates that site in <City,
State>, as the OPDIV’s alternate operating facility.
 OPDIV will use the alternate site building and IT resources to recover
<System Name> functionality during an emergency situation that prevents
access to the original facility.
 The designated computer system at the alternate site has been configured to
begin processing <System Name> information.
 The <alternate site> will be used to continue <System Name> recovery and
processing throughout the period of disruption, until the return to normal
operations.

1.4.2 Assumptions
Based on these principles, the following assumptions were used when developing the IT
Contingency Plan.
 The <System Name> is inoperable at the OPDIV computer center and cannot be
recovered within 48 hours.
 Key <System Name> personnel have been identified and trained in their
emergency response and recovery roles; they are available to activate the
<System Name> Contingency Plan.
 Preventive controls (e.g., generators, environmental controls, waterproof tarps,
sprinkler systems, fire extinguishers, and fire department assistance) are fully
operational at the time of the disaster.
 Computer center equipment, including components supporting <System Name>,
are connected to an uninterruptible power supply (UPS) that provides 45 minutes
to 1 hour of electricity during a power failure.
 <System Name> hardware and software at the OPDIV <original site> are
unavailable for at least 48 hours.
 Current backups of the application software and data are intact and available at
the <offsite storage facility>.
 The equipment, connections, and capabilities required to operate <System
Name> are available at the <alternate site> in <City, State>.
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 <Project Name>
 Service agreements are maintained with <System Name> hardware, software,
and communications providers to support the emergency system recovery.

The <System Name> Contingency Plan does not apply to the following situations:
 Overall recovery and continuity of business operations. The Business
Resumption Plan (BRP) and Continuity of Operations Plan (COOP) are
appended to the plan.
 Emergency evacuation of personnel. The Occupant Evacuation Plan (OEP) is
appended to the plan.
Any additional constraints should be added to this list.

1.5 REFERENCES/REQUIREMENTS
This <System Name> Contingency Plan complies with the OPDIV IT Contingency
Planning Policy as follows:
The organization shall develop a contingency planning capability to meet the
needs of critical supporting operations in the event of a disruption extending
beyond 48 hours. The procedures for execution of such a capability shall be
documented in a formal contingency plan and shall be reviewed at least annually
and updated as necessary. Personnel responsible for target systems shall be
trained to execute contingency procedures. The plan, recovery capabilities, and
personnel shall be tested to identify weaknesses of the capability at least
annually.

The <System Name> Contingency Plan also complies with the following federal and
departmental policies:
 The Computer Security Act of 1987
 OMB Circular A-130, Management of Federal Information Resources, Appendix
III, November 2000
 Federal Preparedness Circular (FPC) 65, Federal Executive Branch Continuity of
Operations, July 1999
 Presidential Decision Directive (PDD) 67, Enduring Constitutional Government
and Continuity of Government Operations, October 1998
 PDD 63, Critical Infrastructure Protection, May 1998
 Federal Emergency Management Agency (FEMA), The Federal Response Plan
(FRP), April 1999
 Defense Authorization Act (Public Law 106-398), Title X, Subtitle G,
“Government Information Security Reform,” October 30, 2000
 [Any other applicable federal policies should be added.]
 [Any other applicable departmental policies should be added.]

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2 CONCEPT OF OPERATIONS
2.1 SYSTEM DESCRIPTION AND ARCHITECTURE
[Provide a general description of system architecture and functionality. Indicate the
operating environment, physical location, general location of users, and partnerships
with external organizations/systems. Include information regarding any other technical
considerations that are important for recovery purposes, such as backup procedures.
Provide a diagram of the architecture, including security controls and
telecommunications connections.]

2.2 LINE OF SUCCESSION

OPDIV sets forth an order of succession, in coordination with the order set forth by the
Department to ensure that decision-making authority for the <System Name>
Contingency Plan is uninterrupted. The Chief Information Officer (CIO), <OPDIV>, is
responsible for ensuring the safety of personnel and the execution of procedures
documented within this <System Name> Contingency Plan. If the CIO is unable to
function as the overall authority or chooses to delegate this responsibility to a
successor, the Deputy CIO shall function as that authority. To provide contact initiation
should the contingency plan need to be initiated, please use the contact list below.
[Continue description of succession as applicable.]

Contact List
Office
# Name Home Phone Cell Phone Email
Phone

1 <Click here and <Click here <Click here <Click here and <Click here
enter data> and enter and enter enter data> and enter
data> data> data>

2 <Click here and <Click here <Click here <Click here and <Click here
enter data> and enter and enter enter data> and enter
data> data> data>

3 <Click here and <Click here <Click here <Click here and <Click here
enter data> and enter and enter enter data> and enter
data> data> data>

4 <Click here and <Click here <Click here <Click here and <Click here
enter data> and enter and enter enter data> and enter
data> data> data>

5 <Click here and <Click here <Click here <Click here and <Click here
enter data> and enter and enter enter data> and enter
data> data> data>

14 <Click here and <Click here <Click here <Click here and <Click here
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 <Project Name>
Office
# Name Home Phone Cell Phone Email
Phone

enter data> and enter and enter enter data> and enter
data> data> data>

2.3 RESPONSIBILITIES
The following teams have been developed and trained to respond to a contingency
event affecting the IT system.
The Contingency Plan establishes several teams assigned to participate in recovering
<System Name> operations. The <Team Name> is responsible for recovery of the
<System Name> computer environment and all applications. Members of the team
name include personnel who are also responsible for the daily operations and
maintenance of <System Name>. The team leader title directs the <Team Name>.
[Continue to describe each team, their responsibilities, leadership, and
coordination with other applicable teams during a recovery operation.]
The relationships of the team leaders involved in system recovery and their member
teams are illustrated in Figure XX below.
[Insert hierarchical diagram of recovery teams. Show team names and leaders; do not
include actual names of personnel.]

[Describe each team separately, highlighting overall recovery goals and specific
responsibilities. Do not detail the procedures that will be used to execute these
responsibilities. These procedures will be itemized in the appropriate phase sections]

2.4 TESTING AND MAINTENANCE

The Business Owner and System Developer/Maintainer shall establish criteria for
validation/testing of a Contingency Plan, an annual test schedule, and ensure
implementation of the test. This process will also serve as training for personnel
involved in the plan’s execution. At a minimum the Contingency Plan shall be tested
annually (within 365 days). The types of validation/testing exercises include tabletop
and technical testing. Contingency Plans for all application systems must be tested at a
minimum using the table top testing process. However, if the application system
Contingency Plan is included in the technical testing of their respective support systems
that technical test will satisfy the annual requirement.

2.4.1 Tabletop Testing

Tabletop Testing should be conducted in accordance with the CMS Contingency Planning Tabletop Test
Procedures. The primary objective of the tabletop test is to ensure designated personnel are knowledgeable and
capable of performing the notification/activation requirements and procedures as outlined in the CP, in a timely
manner. The exercises include, but are not limited to:
 Testing to validate the ability to respond to a crisis in a coordinated, timely,
and effective manner, by simulating the occurrence of a specific crisis; and
 Crisis communications and call tree verification.
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2.4.2 Technical Testing
The primary objective of the technical test is to ensure the communication processes
and data storage and recovery processes can function at an alternate site to perform
the functions and capabilities of the system within the designated requirements.
Technical testing shall include, but is not limited to:
 Process from backup system at the alternate site;
 Restore system using backups; and
 Switch voice and data telecommunications to alternate processing site.

3 NOTIFICATION AND ACTIVATION PHASE

This phase addresses the initial actions taken to detect and assess damage inflicted by
a disruption to <System Name>. Based on the assessment of the event, the plan may
be activated by the <Contingency Planning Coordinator>. In an emergency, <OPDIV>‘s
top priority is to preserve the health and safety of its staff before proceeding to the
Notification and Activation procedures.

Contact information for key personnel is located in Appendix A. The notification

sequence is listed below:
 The first responder is to notify the <Contingency Planning Coordinator>. All
known information must be relayed to the <Contingency Planning Coordinator>.
 The <systems manager> is to contact the <Damage Assessment Team> and
inform them of the event. The <Contingency Planning Coordinator> is to instruct
the Team Leader to begin assessment procedures.
 The <Damage Assessment Team> is to notify team members and direct them to
complete the assessment procedures outlined below to determine the extent of
damage and estimated recovery time. If damage assessment cannot be
performed locally because of unsafe conditions, the <Damage Assessment
Team> is to follow the outline below:
 Damage Assessment Procedures:
 [Detailed procedures should be outlined to include activities to
determine the cause of the disruption; potential for additional
disruption or damage; affected physical area and status of physical
infrastructure; status of IT equipment functionality and inventory,
including items that will need to be replaced; and estimated time to
repair services to normal operations.]
 Upon notification from the Contingency Planning Coordinator, the
Damage Assessment Team Leader is to …
 The Damage Assessment Team is to ….
 Alternate Assessment Procedures:
 Upon notification from the Contingency Planning Coordinator, the
<Damage Assessment Team Leader> is to

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 <Damage Assessment Team Leader> is to
 When damage assessment has been completed, the
<Damage Assessment Team Leader> is to notify the
<Contingency Planning Coordinator> of the results.
 The <Contingency Planning Coordinator> is to evaluate the
results and determine whether the contingency plan is to be
activated and if relocation is required.
 Based on assessment results, the <Contingency Planning
Coordinator> is to notify assessment results to civil
emergency personnel (e.g., police or fire department) as
appropriate.

 The Contingency Plan is to be activated if one or more of the following criteria

are met:
 <System Name> will be unavailable for more than 48 hours
 Facility is damaged and will be unavailable for more than 24 hours
 Other criteria, as appropriate
 If the plan is to be activated, the <Contingency Planning Coordinator> is to
notify all Team Leaders and inform them of the details of the event and if
relocation is required.
 Upon notification from the <Contingency Planning Coordinator>, Team
Leaders are to notify their respective teams. Team members are to be
informed of all applicable information and prepared to respond and
relocate if necessary.
 The <Contingency Planning Coordinator> is to notify the <off-site storage
facility> that a contingency event has been declared and to ship the
necessary materials (as determined by damage assessment) to the
alternate site.
 The <Contingency Planning Coordinator> is to notify the <alternate site>
that a contingency event has been declared and to prepare the facility for
the <Organization’s> arrival.
 The <Contingency Planning Coordinator> is to notify remaining personnel
(via notification procedures) on the general status of the incident.

4 RECOVERY OPERATIONS
This section provides procedures for recovering the application at the alternate site,
whereas other efforts are directed to repair damage to the original system and
capabilities.

The following procedures are for recovering the <System Name> at the alternate site.
Procedures are outlined per team required. Each procedure should be executed in the
sequence it is presented to maintain efficient operations.

Recovery Goal
[State the first recovery objective as determined by the Contingency Plan. For

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each team responsible for executing a function to meet this objective, state the
team names and list their respective procedures.]
 <Team Name>
 Team Recovery Procedures
 <Team Name>
 Team Recovery Procedures
 <Team Name>
 Team Recovery Procedures

Recovery Goal
 [State the second recovery objective as determined by the CP. For each team
responsible for executing a function to meet this objective, state the team names
and list their respective procedures.]
 <Team Name>
 Team Recovery Procedures
 <Team Name>
 Team Recovery Procedures
 <Team Name>
 Team Recovery Procedures

Recovery Goal
[State the remaining recovery objectives (as determined by the CP). For each team
responsible for executing a function to meet this objective, state the team names and
list their respective procedures.]

5 RETURN TO NORMAL OPERATIONS

This section discusses activities necessary for restoring <System Name> operations at
the <OPDIV>‘s original or new site. When the computer center at the original or new
site has been restored, <System Name> operations at the <alternate site> must be
transitioned back. The goal is to provide a seamless transition of operations from the
<alternate site> to the computer center.

5.1 ORIGINAL OR NEW SITE RESTORATION

[Procedures should be outlined, per necessary team, to restore or replace the original
site so that normal operations may be transferred. IT equipment and
telecommunications connections should be tested.]
 <Team Name>
 Team Resumption Procedures
 <Team Name>
 Team Resumption Procedures

5.2 CONCURRENT PROCESSING

[Procedures should be outlined, per necessary team, to operate the system in
coordination with the system at the original or new site. These procedures should

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include testing the original or new system until it is functioning properly and the
contingency system is shut down gracefully.]
 <Team Name>
 Team Resumption Procedures
 <Team Name>
 Team Resumption Procedures

5.3 PLAN DEACTIVATION

[Procedures should be outlined, per necessary team, to clean the alternate
site of any equipment or other materials belonging to the organization, with a
focus on handling sensitive information. Materials, equipment, and backup
media should be properly packaged, labeled, and shipped to the appropriate
location(s). Team members should be instructed to return to the original or
new site]
 <Team Name>
 Team Testing Procedures
 <Team Name>
 Team Testing Procedures

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Appendix A: Contingency Plan Approval
The undersigned acknowledge that they have reviewed the <System Name>
Contingency Plan and agree with the information presented within this document.
Changes to this Contingency Plan will be coordinated with, and approved by, the
undersigned, or their designated representatives.
[List the individuals whose signatures are desired. Examples of such individuals are
Business Owner, Project Manager (if identified), Designated Approving Authorities and
any appropriate stakeholders. Add additional lines for signature as necessary.]

Signature: Date:
Print Name:
Title:
Role:

Signature: Date:
Print Name:
Title:
Role:

Signature: Date:
Print Name:
Title:
Role:

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APPENDIX B: REFERENCES
[Insert the name, version number, description, and physical location of any documents
referenced in this document. Add rows to the table as necessary.]
The following table summarizes the documents referenced in this document.
Document Name Description Location
<Document Name and <Document description> <URL or Network path where document
Version Number> is located>

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APPENDIX C: KEY TERMS
The following table provides definitions and explanations for terms and acronyms
relevant to the content presented within this document.
Term Definition
[Insert Term] <Provide definition of term and acronyms used in this document.>

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APPENDIX D: RELATED DOCUMENTS

 FIPS 199, Standards for Security Categorization of Federal Information and

Information Systems
 FIPS 200, Minimum Security Requirements for Federal Information and
Information Systems
 SP 800-18, Guide for Developing Security Plans for Federal Information Systems
 SP 800-30, Risk Management Guide for Information Technology Systems
 SP 800-37, Guide for the Security Certification and Accreditation of Federal
Information Systems
 SP 800-53, Recommended Security Controls for Federal Information Systems
 Draft SP 800-53A, Guide for Assessing the Security Controls in Federal
Information Systems
 SP 800-55, Security Metrics Guide for Information Technology Systems
 SP 800-60, Guide for Mapping Types of Information and Information Systems to
Security Categories
 SP 800-70, Security Configuration Checklists Program for IT Products: Guidance
for Checklists Users and Developers
 SP 800-100, Information Security Handbook: A Guide for Managers

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