NOTE: This sample template is provided to address NIST SP 800-53 security controls from the Contingency

Planning family for a moderate impact information system.  The template provided is a guide and may be
customized and adapted as necessary to best fit the system or organizational requirements for contingency
planning.

[System Name]
Security Categorization: Moderate

[Organization Name]

Information System Contingency Plan (ISCP)

Version [#]

[Date]

Prepared by

[Organization Name]
[Street Address]
[City, State, and Zip Code]
 TABLE OF CONTENTS
Plan Approval…………………………………………………….………..….……….……A.2-3
1. Introduction ………………………………………………….……..……….…….……..A.2-4
1.1 Background………..………………………………………….………………..A.2-4
1.2 Scope……..………..…………………………..…….……….……….………..A.2-4
1.3 Assumptions..…….………………………..….……………….……….……...A.2-4
2. Concept of Operations ………………………….……..…………………………..…..A.2-5
2.1 System Description………………....……………………………………..…..A.2-5
2.2 Overview of Three Phases..………………………………………………….A.2-5
2.3 Roles and Responsibilities…….…......……………………………………....A.2-6
3. Activation and Notification………………....………………………..………….……..A.2-6
3.1 Activation Criteria and Procedure ...………………………..………………..A.2-6
3.2 Notification…………………...………………………………..………………..A.2-7
3.3 Outage Assessment…………....…......……………………..………………..A.2-7
4. Recovery……………………….……………....…………………………………………..A.2-7
4.1 Sequence of Recovery Activities ....……………………………..…………..A.2-7
4.2 Recovery Procedures ……...………………………………………..………..A.2-8
4.3 Recovery Escalation Notices/Awareness..…………………………..……...A.2-8
5. Reconstitution..……………….……………....………………….………………..……..A.2-8
5.1 Validation Data Testing………….…………………….………………….…..A.2-8
5.2 Validation Functionality Testing…......……………….………………….…...A.2-8
5.3 Recovery Declaration…………........………………….………………….…..A.2-9
5.4 Notification (users)…. ……...………………………….………………….…..A.2-9
5.5 Cleanup ...……………………...…......……………….………………….…....A.2-9
5.6 Offsite Data Storage……………. ....………………….………………….…..A.2-9
5.7 Data Backup………………...………………………….…………………..…..A.2-9
5.8 Event Documentation…………..…......……………….………………….…..A.2-9
5.9 Deactivation……………………..…......……………….………………….…..A.2-10

APPENDICES
Plan Approval

Provide a statement in accordance with the agency’s contingency planning policy to affirm that the ISCP
is complete and has been tested sufficiently. The statement should also affirm that the designated
authority is responsible for continued maintenance and testing of the ISCP. This statement should be
approved and signed by the system designated authority. Space should be provided for the designated
authority to sign, along with any other applicable approving signatures. Sample language is provided
below:

As the designated authority for {system name}, I hereby certify that the information system contingency
plan (ISCP) is complete, and that the information contained in this ISCP provides an accurate
representation of the application, its hardware, software, and telecommunication components. I further
certify that this document identifies the criticality of the system as it relates to the mission of the
{organization name}, and that the recovery strategies identified will provide the ability to recover the
system functionality in the most expedient and cost-beneficial method in keeping with its level of
criticality.

I further attest that this ISCP for {system name} will be tested at least annually. This plan was last tested
on {insert exercise date}; the test, training, and exercise (TT&E) material associated with this test can be
found {TT&E results appendix or location}. This document will be modified as changes occur and will
remain under version control, in accordance with {organization name}’s contingency planning policy.

________________________________________ ________________________
{System Owner Name} Date
{System Owner Title}
1. Introduction

Information systems are vital to {Organization’s} mission/business processes; therefore, it is critical

that services provided by {system name} are able to operate effectively without excessive interruption. 
This Information System Contingency Plan (ISCP) establishes comprehensive procedures to recover
{system name} quickly and effectively following a service disruption. 

1.1 Background

This {system name} ISCP- establishes procedures to recover {system name} following a disruption. The
following recovery plan objectives have been established:
 Maximize the effectiveness of contingency operations through an established plan that
consists of the following phases:
o Activation and Notification phase to activate the plan and determine the extent of damage;
o Recovery phase to restore {system name} operations; and
o Reconstitution phase to ensure that {system name} is validated through testing and that
normal operations are resumed.
 Identify the activities, resources, and procedures to carry out {system name} processing
requirements during prolonged interruptions to normal operations.
 Assign responsibilities to designated {organization name} personnel and provide guidance for
recovering {system name} during prolonged periods of interruption to normal operations.
 Ensure coordination with other personnel responsible for {organization name} contingency
planning strategies. Ensure coordination with external points of contact and vendors associated
with {system name} and execution of this plan.

1.2 Scope

This ISCP has been developed for {system name}, which is classified as a moderate-impact system, in
accordance with Federal Information Processing Standards (FIPS) 199 – Standards for Security
Categorization of Federal Information and Information Systems. Procedures in this ISCP are for
moderate-impact systems and designed to recover {system name} within {RTO hours}. This plan does
not address replacement or purchase of new equipment, short-term disruptions lasting less than {RTO
hours}, or loss of data at the onsite facility or at the user-desktop levels.

1.3 Assumptions

The following assumptions were used when developing this ISCP:

 {System name} has been established as a moderate-impact system, in accordance with
FIPS 199.
 Alternate processing sites and offsite storage are required and have been established for this
system.
 Current backups of the system software and data are intact and available at the offsite storage
facility in {City, State}.
 Alternate facilities have been established at {City, State} and are available if needed for
relocation of {system name}.
  The {system name} is inoperable at the {organization name} and cannot be recovered within
{RTO 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.
 Additional assumptions as appropriate.

The {system name} Contingency Plan does not apply to the following situations:
 Overall recovery and continuity of mission/business operations. The Business Continuity
Plan (BCP) and Continuity of Operations Plan (COOP) address continuity of business operations.
 Emergency evacuation of personnel. The Occupant Emergency Plan (OEP) addresses
employee evacuation.
 Any additional constraints and associated plans should be added to this list.

2. Concept of Operations

The Concept of Operations section provides details about {system name}, an overview of the three phases
of the ISCP (Activation and Notification, Recovery, and Reconstitution), and a description of roles and
responsibilities of {Organization’s} personnel during a contingency activation. 

2.1 System Description

NOTE: Information for this section should be available from the system’s System Security Plan (SSP) and
can be copied from the SSP, or reference the applicable section in the SSP and attach the latest version of
the SSP to this contingency plan. 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.

2.2 Overview of Three Phases

This ISCP has been developed to recover and reconstitute the {system name} using a three-phased
approach. This approach ensures that system recovery and reconstitution efforts are performed in a
methodical sequence to maximize the effectiveness of the recovery and reconstitution efforts and
minimize system outage time due to errors and omissions.

The three system recovery phases are:

Activation and Notification Phase – Activation of the ISCP occurs after a disruption or outage that may
reasonably extend beyond the RTO established for a system. The outage event may result in severe
damage to the facility that houses the system, severe damage or loss of equipment, or other damage that
typically results in long-term loss.

Once the ISCP is activated, system owners and users are notified of a possible long-term outage, and a
thorough outage assessment is performed for the system. Information from the outage assessment is
presented to system owners and may be used to modify recovery procedures specific to the cause of the
outage.
Recovery Phase – The Recovery phase details the activities and procedures for recovery of the affected
system. Activities and procedures are written at a level that an appropriately skilled technician can
recover the system without intimate system knowledge. This phase includes notification and awareness
escalation procedures for communication of recovery status to system owners and users.

Reconstitution – The Reconstitution phase defines the actions taken to test and validate system capability
and functionality at the original or new permanent location. This phase consists of two major activities:
validating successful reconstitution and deactivation of the plan.

During validation, the system is tested and validated as operational prior to returning operation to its
normal state. Validation procedures may include functionality or regression testing, concurrent
processing, and/or data validation. The system is declared recovered and operational by system owners
upon successful completion of validation testing.

Deactivation includes activities to notify users of system operational status. This phase also addresses
recovery effort documentation, activity log finalization, incorporation of lessons learned into plan
updates, and readying resources for any future events.

2.3 Roles and Responsibilities

The ISCP establishes several roles for {system name} recovery and reconstitution support. Persons or
teams assigned ISCP roles have been trained to respond to a contingency event affecting {system name}.

Describe each team and role responsible for executing or supporting system recovery and reconstitution.
Include responsibilities for each team/role, leadership roles, and coordination with other recovery and
reconstitution teams, as applicable. At a minimum, a role should be established for a system owner or
business unit point of contact, a recovery coordinator, and a technical recovery point of contact.

Leadership roles should include an ISCP Director, who has overall management responsibility for the
plan, and an ISCP Coordinator, who is responsible to oversee recovery and reconstitution progress,
initiate any needed escalations or awareness communications, and establish coordination with other
recovery and reconstitution teams as appropriate.

3. Activation and Notification

The Activation and Notification Phase defines initial actions taken once a {system name} disruption has
been detected or appears to be imminent.  This phase includes activities to notify recovery personnel,
conduct an outage assessment, and activate the ISCP.  At the completion of the Activation and
Notification Phase, {system name} ISCP staff will be prepared to perform recovery measures to restore
system functions. 

3.1 Activation Criteria and Procedure

The {system name} ISCP may be activated if one or more of the following criteria are met:
1. The type of outage indicates {system name} will be down for more than {RTO hours};
2. The facility housing {system name} is damaged and may not be available within {RTO hours};
and
3. Other criteria, as appropriate.
The following persons or roles may activate the ISCP if one or more of these criteria are met:

Establish one or more roles that may activate the plan based on activation criteria. Authorized persons
may include the system or business owner, or the operations point of contact (POC) for system support.

3.2 Notification

The first step upon activation of the {system name} ISCP is notification of appropriate business and
system support personnel. Contact information for appropriate POCs is included in {Contact List
Appendix name}.

For {system name}, the following method and procedure for notifications are used:

Describe established notification procedures. Notification procedures should include who makes the
initial notifications, the sequence in which personnel are notified (e.g., system owner, technical POC,
ISCP Coordinator, business unit or user unit POC, and recovery team POC), and the method of
notification (e.g., email blast, call tree, automated notification system, etc.).

3.3 Outage Assessment

Following notification, a thorough outage assessment is necessary to determine the extent of the
disruption, any damage, and expected recovery time. This outage assessment is conducted by {name of
recovery team}. Assessment results are provided to the ISCP Coordinator to assist in the coordination of
the recovery of {system name}.

Outline detailed procedures to include how to determine the cause of the outage; identification of
potential for additional disruption or damage; assessment of affected physical area(s); and determination
of the physical infrastructure status, IS equipment functionality, and inventory. Procedures should
include notation of items that will need to be replaced and estimated time to restore service to normal
operations.

4. Recovery

The Recovery Phase provides formal recovery operations that begin after the ISCP has been activated,
outage assessments have been completed (if possible), personnel have been notified, and appropriate
teams have been mobilized.  Recovery Phase activities focus on implementing recovery strategies to
restore system capabilities, repair damage, and resume operational capabilities at the original or an
alternate location.  At the completion of the Recovery Phase, {system name} will be functional and
capable of performing the functions identified in Section 2.1 of this plan. 

4.1 Sequence of Recovery Activities

The following activities occur during recovery of {system name}:

Modify the following list as appropriate for the selected system recovery strategy.
1. Identify recovery location (if not at original location);
2. Identify required resources to perform recovery procedures;
3. Retrieve backup and system installation media;
 4. Recover hardware and operating system (if required); and
5. Recover system from backup and system installation media.

4.2 Recovery Procedures

The following procedures are provided for recovery of {system name} at the original or established
alternate location. Recovery procedures are outlined per team and should be executed in the sequence
presented to maintain an efficient recovery effort.

Provide general procedures for the recovery of the system from backup media. Specific keystroke-level
procedures may be provided in an appendix. If specific procedures are provided in an appendix, a
reference to that appendix should be included in this section. Teams or persons responsible for each
procedure should be identified.

4.3 Recovery Escalation Notices/Awareness

Provide appropriate procedures for escalation notices during recovery efforts. Notifications during
recovery include problem escalation to leadership and status awareness to system owners and users.
Teams or persons responsible for each escalation/awareness procedure should be identified.

5. Reconstitution

Reconstitution is the process by which recovery activities are completed and normal system operations
are resumed. If the original facility is unrecoverable, the activities in this phase can also be applied to
preparing a new permanent location to support system processing requirements. A determination must be
made on whether the system has undergone significant change and will require reassessment and
reauthorization. The phase consists of two major activities: validating successful reconstitution and
deactivation of the plan.

5.1 Validation Data Testing

Validation data testing is the process of testing and validating data to ensure that data files or databases
have been recovered completely at the permanent location. The following procedures will be used to
determine that the data is complete and current to the last available backup:

Provide procedures for testing and validation of data to ensure that data is correct and up to date. This
section may be combined with the Functionality Testing section if procedures test both the functionality
and data validity. Teams or persons responsible for each procedure should be identified. An example of
a validation data test for a moderate-impact system would be to compare a database audit log to the
recovered database to make sure all transactions were properly updated. Detailed data test procedures
may be provided in Appendix E, System Validation Test Plan.

5.2 Validation Functionality Testing

Validation functionality testing is the process of verifying that recovered {system name} functionality has
been tested, and the system is ready to return to normal operations.

Provide system functionality testing and/or validation procedures to ensure that the system is operating
correctly. This section may be combined with the Data Testing section if procedures test both the
functionality and data validity. Teams or persons responsible for each procedure should be identified.
An example of a functional test for a moderate-impact system may be logging into the system and running
a series of operations as a test or real user to ensure that all parts of the system are operating correctly.
Detailed functionality test procedures may be provided in Appendix E, System Validation Test Plan.

5.3 Recovery Declaration

Upon successfully completing testing and validation, the {designated authority} will formally declare
recovery efforts complete, and that {system name} is in normal operations. {System name} business and
technical POCs will be notified of the declaration by the ISCP Coordinator.

5.4 Notifications (users)

Upon return to normal system operations, {system name} users will be notified by {role} using
predetermined notification procedures (e.g., email, broadcast message, phone calls, etc.).

5.5 Cleanup

Cleanup is the process of cleaning up or dismantling any temporary recovery locations, restocking
supplies used, returning manuals or other documentation to their original locations, and readying the
system for a possible future contingency event.

Provide any specific cleanup procedures for the system, including preferred locations for manuals and
documents and returning backup or installation media to its original location.

5.6 Offsite Data Storage

It is important that all backup and installation media used during recovery be returned to the offsite data
storage location. The following procedures should be followed to return backup and installation media to
its offsite data storage location.

Provide procedures for returning retrieved backup or installation media to its offsite data storage
location. This may include proper logging and packaging of backup and installation media, preparing
for transportation, and validating that media is securely stored at the offsite location.

5.7 Data Backup

As soon as reasonable following recovery, the system should be fully backed up and a new copy of the
current operational system stored for future recovery efforts. This full backup is then kept with other
system backups. The procedures for conducting a full system backup are:

Provide appropriate procedures for ensuring that a full system backup is conducted within a reasonable
time frame, ideally at the next scheduled backup period. This backup should go offsite with the other
media in Section 5.6.

5.8 Event Documentation

It is important that all recovery events be well-documented, including actions taken and problems
encountered during the recovery and reconstitution effort, and lessons learned for inclusion and update to
this ISCP. It is the responsibility of each ISCP team or person to document their actions during the
recovery and reconstitution effort and to provide that documentation to the ISCP Coordinator.
Provide details about the types of information each ISCP team member is required to provide or collect
for updating the ISCP with lessons learned. Types of documentation that should be generated and
collected after a contingency activation include:
 Activity logs (including recovery steps performed and by whom, the time the steps were initiated
and completed, and any problems or concerns encountered while executing activities);
 Functionality and data testing results;
 Lessons learned documentation; and
 After Action Report.

Event documentation procedures should detail responsibilities for development, collection, approval, and
maintenance.

5.9 Deactivation

Once all activities have been completed and documentation has been updated, the {designated authority}
will formally deactivate the ISCP recovery and reconstitution effort. Notification of this declaration will
be provided to all business and technical POCs.
SUGGESTED APPENDICES

ISCP appendices included should be based on system and plan requirements. The following appendices
are recommended:

APPENDIX A PERSONNEL CONTACT LIST

Provide contact information for each person with a role or responsibility for activation or
implementation of the ISCP, or coordination with the ISCP. For each person listed, at least one office
and one non-office contact number is recommended. Note: Information may contain personally
identifiable information and should be protected.

{System name} ISCP Key Personnel

Key Personnel Contact Information
ISCP Director Work Insert number
Insert Name and Title Home Insert number
Insert Street Address Cellular Insert number
Insert City, State, and Zip Code Email Insert email address
ISCP Director – Alternate Work
Home
Cellular
Email
ISCP Coordinator Work
Home
Cellular
Email
ISCP Coordinator – Alternate Work
Home
Cellular
Email
ISCP Team – Team Lead Work
Home
Cellular
Email
ISCP Team – Team Members Work
Home
Cellular
Email

APPENDIX B VENDOR CONTACT LIST

Contact information for all key maintenance or support vendors should be included in this appendix.
Contact information, such as emergency phone numbers, contact names, contract numbers, and
contractual response and onsite times should be included.
APPENDIX C DETAILED RECOVERY PROCEDURES

This appendix includes the detailed recovery procedures for the system, which may include items such as:
 Keystroke-level recovery steps;
 System installation instructions from tape, CD, or other media;
 Required configuration settings or changes;
 Recovery of data from tape and audit logs; and
 Other system recovery procedures, as appropriate.

If the system relies totally on another group or system for its recovery and reconstitution (such as a
mainframe system), information provided should include contact information and locations of detailed
recovery and reconstitution procedures for that supporting system.

APPENDIX D ALTERNATE PROCESSING PROCEDURES

This section should identify any alternate manual or technical processing procedures available that allow
the business unit to continue some processing of information that would normally be done by the affected
system. Examples of alternate processes include manual forms processing, input into workstations to
store data until it can be uploaded and processed, or queuing of data input.

APPENDIX E SYSTEM VALIDATION TEST PLAN

This appendix includes system acceptance procedures that are performed after the system has been
recovered and prior to putting the system into full operation and returned to users. The system validation
test plan may include the regression or functionality testing conducted prior to implementation of a
system upgrade or change.

An example of a system validation test plan:

Once the system has been recovered, the following steps will be performed to validate system data and
functionality:

Performed
Procedure Expected Results Actual Results Successful?
by
At the Command Prompt, System Log-in
type in sysname Screen appears
Log-in as user Initial Screen with
testuser, using Main Menu shows
password testpass
From Menu - select 5- Report Generation
Generate Report Screen shows
- Select Current Date Report is generated
Report on screen with last
- Select Weekly successful transaction
- Select To Screen included
- Select Close Report Generation
Screen Shows
- Select Return to Initial Screen with
 Performed
Procedure Expected Results Actual Results Successful?
by
Main Menu Main Menu shows
- Select Log-Off Log-in Screen
appears

APPENDIX F ALTERNATE STORAGE, SITE AND TELECOMMUNICATIONS

This appendix provides information for alternate storage, alternate processing site, and alternate
telecommunications for the system. Alternate Storage, Site, and Telecommunications information is
required for moderate-impact systems, per NIST SP 800-53, Rev.3. Refer to NIST SP 800-53 Rev. 3, for
details on control specifics. Information that should be provided for each area includes:

Alternate Storage:
 City and state of alternate storage facility, and distance from primary facility;
 Whether the alternate storage facility is owned by the organization or is a third-party storage
provider;
 Name and points of contact for the alternate storage facility;
 Delivery schedule and procedures for packaging media to go to alternate storage facility;
 Procedures for retrieving media from the alternate storage facility;
 Names and contact information for those persons authorized to retrieve media;
 Any potential accessibility problems to the alternate storage site in the event of a widespread
disruption or disaster;
 Mitigation steps to access alternate storage site in the event of a widespread disruption or
disaster;
 Types of data located at alternate storage site, including databases, application software,
operating systems, and other critical information system software; and
 Other information as appropriate.

Alternate Processing Site:

 City and state of alternate processing site, and distance from primary facility;
 Whether the alternate processing site is owned by the organization or is a third-party site
provider;
 Name and points of contact for the alternate processing site;
 Procedures for accessing and using the alternate processing site, and access security features of
alternate processing site;
 Names and contact information for those persons authorized to go to alternate processing site;
 Type of alternate processing site, and equipment available at site;
 Any potential accessibility problems at the alternate processing site in the event of a widespread
disruption or disaster;
 Mitigation steps to access alternate processing site in the event of a widespread disruption or
disaster;
  SLAs or other agreements of use of alternate processing site, available office/support space,
setup times, etc.; and
 Other information as appropriate.

Alternate Telecommunications:
 Name and contact information of alternate telecommunications vendors;
 Contracted capacity of alternate telecommunications;
 SLAs or other agreements for implementation of alternate telecommunications capacity;
 Names and contact information for those persons authorized to implement or use alternate
telecommunications capacity; and
 Other information as appropriate.

APPENDIX G DIAGRAMS (SYSTEM AND INPUT/OUTPUT)

NOTE: Information for this section should be available from the system’s System Security Plan (SSP) and
can be copied from the SSP, or reference the applicable section in the SSP and attach the latest version of
the SSP to this contingency plan. Include any system architecture, input/output, or other technical or
logical diagrams that may be useful in recovering the system. Diagrams may also identify information
about interconnection with other systems.

APPENDIX H HARDWARE AND SOFTWARE INVENTORY

Provide the hardware and software inventory for the system. Inventory information should include type
of server or hardware on which the system runs, processors and memory requirements, storage
requirements, and any other pertinent details. The software inventory should identify the operating
system (including service pack or version levels, and any other applications necessary to operate the
system, such as database software).

APPENDIX I INTERCONNECTIONS TABLE

NOTE: Information for this section should be available from the system’s System Security Plan (SSP) and
can be copied from the SSP, or reference the applicable section in the SSP and attach the latest version of
the SSP to this contingency plan. This appendix includes information on other systems that directly
interconnect or exchange information with the system. Interconnection information should include the
type of connection, information transferred, and contact person for that system.

If the system does not have any direct interconnections, then this appendix may be removed, or the
following statement may be used:

{System name} does not directly interconnect with any other systems.

APPENDIX J TEST AND MAINTENANCE SCHEDULE

All ISCPs should be reviewed and tested at the organization defined frequency (e.g. yearly) or whenever
there is a significant change to the system. Provide information and a schedule for the testing of the
system. The functional test should include all ISCP points of contact and be facilitated by an outside or
impartial observer. A formal test plan is developed prior to the functional test, and test procedures are
developed to include key sections of the ISCP, including the following:
  Notification procedures;
 System recovery on an alternate platform from backup media;
 Internal and external connectivity; and
 Reconstitution procedures.

Results of the test are documented in an After Action Report, and Lessons Learned are developed for
updating information in the ISCP.

Examples of functional tests that may be performed include:

 Full notification and response of key personnel to recovery location;
 Recovery of a server or database from backup media;
 Setup and processing from a server at an alternate location.

The following is a sample of a yearly test and maintenance schedule for a moderate-impact system:

Step Date Due by Responsible Party Date Scheduled Date Held

Identify functional test March 1 ISCP Coordinator
facilitator.
Determine type and scope of March 15 ISCP Coordinator,
functional test. Test Facilitator
Develop functional test plan. April 1 Test Facilitator
Invite participants. May 10 Test Facilitator
Conduct functional test. May 31 Test Facilitator,
ISCP Coordinator,
POCs
Finalize after action report and June 10 ISCP Coordinator
lessons learned.
Update ISCP based on lessons June 30 ISCP Coordinator
learned.
Approve and distribute July 15 ISCP Director,
updated version of ISCP. ISCP Coordinator

APPENDIX K ASSOCIATED PLANS AND PROCEDURES

NOTE: Information for this section should be available from the system’s System Security Plan (SSP) and
can be copied from the SSP, or reference the applicable section in the SSP and attach the latest version of
the SSP to this contingency plan. ISCPs for other systems that either interconnect or support the system
should be identified in this appendix. The most current version of the ISCP, location of ISCP, and
primary point of contact (such as the ISCP Coordinator) should be noted.

APPENDIX L BUSINESS IMPACT ANALYSIS

The Business Impact Analysis results should be included in this appendix.

APPENDIX M DOCUMENT CHANGE PAGE

Modifications made to this plan since the last printing are as follows:

Record of Changes

Page No. Change Comment Date of Change Signature