Week6
Part 1:
Prepare a Business Impact Analysis (BIA) for an information system, such as a payroll system.
Download the template Business Impact Analysis (BIA) Template from the ……….Template attached……………. website.
Read the template. Notice that text in italics is instructive and placeholder text. You may use the template and complete the information required in the template with your points and information.
Compete the Business Impact Analysis (BIA) Template.
Part 2:
Download the Information System Contingency Plan template from the ……..Template attached…….. Choose the low, moderate, or high template based on the impact value you identified in the Outage Impacts section of the BIA template for Part 1.
Complete the template. Completing the appendices is not required, but recommended. You may use the template to fill in the information requested within the template.
This sample template is designed to assist the user in performing a Business Impact Analysis (BIA) on an information system. The template is meant only as a basic guide and may not apply equally to all systems. The user may modify this template or the general BIA approach as required to best accommodate the specific system. In this template, words in italics are for guidance only and should be deleted from the final version. Regular (non-italic) text is intended to remain.
1. Overview
This Business Impact Analysis (BIA) is developed as part of the contingency planning process for the {system name}{system acronym}. It was prepared on {
insert BIA completion date
}.
1.1 Purpose
The purpose of the BIA is to identify and prioritize system components by correlating them to the mission/business process(es) the system supports, and using this information to characterize the impact on the process(es) if the system were unavailable.
The BIA is composed of the following three steps:
1. Determine mission/business processes and recovery criticality. Mission/business processes supported by the system are identified and the impact of a system disruption to those processes is determined along with outage impacts and estimated downtime. The downtime should reflect the maximum that an organization can tolerate while still maintaining the mission.
2. Identify resource requirements. Realistic recovery efforts require a thorough evaluation of the resources required to resume mission/business processes and related interdependencies as quickly as possible. Examples of resources that should be identified include facilities, personnel, equipment, software, data files, system components, and vital records.
3. Identify recovery priorities for system resources. Based upon the results from the previous activities, system resources can more clearly be linked to critical mission/business processes. Priority levels can be established for sequencing recovery activities and resources.
This document is used to build the {system name} Information System Contingency Plan (ISCP) and is included as a key component of the ISCP. It also may be used to support the development of other contingency plans associated with the system, including, but not limited to, the Disaster Recovery Plan (DRP) or Cyber Incident Response Plan.
2. System Description
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 inputs and outputs and telecommunications connections.
Note: Information for this section should be available from the systems 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.
3. BIA Data Collection
Data collection can be accomplished through individual/group interviews, workshops, email, questionnaires, or any combination of these.
3.1 Determine Process and System Criticality
Step one of the BIA process – Working with input from users, managers, mission/business process owners, and other internal or external points of contact (POC), identify the specific mission/business processes that depend on or support the information system.
Mission/Business Process
Description
Pay vendor invoice
Process of obligating funds, issuing check or electronic payment and acknowledging receipt
If criticality of mission/business processes has not been determined outside of the BIA, the following subsections will help to determine criticality of mission/business processes that depend on or support the information system.
3.1.1 Identify Outage Impacts and Estimated Downtime
This section identifies and characterizes the types of impact categories that a system disruption is likely to create in addition to those identified by the FIPS 199 impact level, as well as the estimated downtime that the organization can tolerate for a given process. Impact categories should be created and values assigned to these categories in order to measure the level or type of impact a disruption may cause. An example of cost as an impact category is provided. Organizations could consider other categories like harm to individuals and ability to perform mission. The template should be revised to reflect what is appropriate for the organization.
Outage Impacts
Impact categories and values should be created in order to characterize levels of severity to the organization that would result for that particular impact category if the mission/business process could not be performed. These impact categories and values are samples and should be revised to reflect what is appropriate for the organization.
The following impact categories represent important areas for consideration in the event of a disruption or impact.
Example impact category = Cost
Severe
– temp staffing, overtime, fees are greater than $1 million
Moderate
fines, penalties, liabilities potential $550k
Minimal
new contracts, supplies $75k
Impact category: {insert category name}
Impact values for assessing category impact:
Severe = {insert value}
Moderate = {insert value}
Minimal = {insert value}
The table below summarizes the impact on each mission/business process if {system name} were unavailable, based on the following criteria:
Mission/Business Process
Impact Category
{insert}
{insert}
{insert}
{insert}
Impact
Pay vendor invoice
Estimated Downtime
Working directly with mission/business process owners, departmental staff, managers, and other stakeholders, estimate the downtime factors for consideration as a result of a disruptive event.
Maximum Tolerable Downtime (MTD). The MTD represents the total amount of time leaders/managers are willing to accept for a mission/business process outage or disruption and includes all impact considerations. Determining MTD is important because it could leave continuity planners with imprecise direction on (1) selection of an appropriate recovery method, and (2) the depth of detail which will be required when developing recovery procedures, including their scope and content.
Recovery Time Objective (RTO). RTO defines the maximum amount of time that a system resource can remain unavailable before there is an unacceptable impact on other system resources, supported mission/business processes, and the MTD. Determining the information system resource RTO is important for selecting appropriate technologies that are best suited for meeting the MTD.
Recovery Point Objective (RPO). The RPO represents the point in time, prior to a disruption or system outage, to which mission/business process data must be recovered (given the most recent backup copy of the data) after an outage.
The table below identifies the MTD, RTO, and RPO (as applicable) for the organizational mission/business processes that rely on {system name}. Values for MTDs and RPOs are expected to be specific time frames, identified in hourly increments (i.e., 8 hours, 36 hours, 97 hours, etc.).
Mission/Business Process
MTD
RTO
RPO
Pay vendor invoice
72 hours
48 hours
12 hours (last backup)
Include a description of the drivers for the MTD, RTO, and RPOs listed in the table above (e.g., mandate, workload, performance measure, etc.).
Include a description of any alternate means (secondary processing or manual work-around) for recovering the mission/business process(es) that rely on the system. If none exist, so state.
3.2 Identify Resource Requirements
The following table identifies the resources that compose {system name} including hardware, software, and other resources such as data files.
System Resource/Component
Platform/OS/Version (as applicable)
Description
Web Server 1
Optiplex GX280
Web Site Host
It is assumed that all identified resources support the mission/business processes identified in Section 3.1 unless otherwise stated.
Note: Information for this section should be available from the systems 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.
3.3 Identify Recovery Priorities for System Resources
The table below lists the order of recovery for {system name} resources. The table also identifies the expected time for recovering the resource following a worst case (complete rebuild/repair or replacement) disruption.
Recovery Time Objective (RTO) – RTO defines the maximum amount of time that a system resource can remain unavailable before there is an unacceptable impact on other system resources, supported mission/business processes, and the MTD. Determining the information system resource RTO is important for selecting appropriate technologies that are best suited for meeting the MTD.
Priority
System Resource/Component
Recovery Time Objective
Web Server 1
Optiplex GX280
24 hours to rebuild or replace
A system resource can be software, data files, servers, or other hardware and should be identified individually or as a logical group.
Identify any alternate strategies in place to meet expected RTOs. This includes backup or spare equipment and vendor support contracts. NOTE: This sample template is provided to address NIST SP 800-53 security controls from the Contingency Planning family for a low 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: Low
{Organization Name}
Information System Contingency Plan (ISCP)
Version [Insert #]
[Date]
Prepared by
[Organization Name]
[Street Address]
[City, State, and Zip Code]
TABLE OF CONTENTS
Plan Approval…..A.1-3
1. Introduction …….A.1-4
1.1 Background…..A.1-4
1.2 Scope………..A.1-4
1.3 Assumptions………..A.1-4
2. Concept of Operations …..A.1-5
2.1 System Description……..A.1-5
2.2 Overview of Three Phases….A.1-5
2.3 Roles and Responsibilities………..A.1-5
3. Activation and Notification………A.1-6
3.1 Activation Criteria and Procedure …….A.1-6
3.2 Notification…….A.1-6
3.3 Outage Assessment…………..A.1-6
4. Recovery…….A.1-7
4.1 Sequence of Recovery Activities ……..A.1-7
4.2 Recovery Procedures …….A.1-8
4.3 Recovery Escalation Notices/Awareness….A.1-8
5. Reconstitution…………A.1-8
5.1 Validation Data Testing………A.1-8
5.2 Validation Functionality Testing……………A.1-8
5.3 Recovery Declaration…………A.1-8
5.4 Notification (users). …….A.1-8
5.5 Cleanup …………..A.1-8
5.6 Data Backup……..A.1-8
5.7 Event Documentation…………A.1-9
5.8 Deactivation…………A.1-9
APPENDICES
Plan Approval
Provide a statement in accordance with the agencys 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}, 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}s contingency planning policy.
________________________________________ ________________________
{System Owner Name} Date
{System Owner Title}
1. Introduction
Information systems are vital to {
Organizations
} mission/business processes; therefore,it is critical thatservices provided by {system name} are able to operate effectively without excessive interruption. This Information System Contingency Plan (ISCP) establishes comprehensiveproceduresto 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:
Activation and Notification phase
to activate the plan and determine the extent of damage;
Recovery phase
to restore {system name} operations; and
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 low-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 Low- 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. As {system name} is a low-impact system, alternate data storage and alternate site processing are not required.
1.3 Assumptions
The following assumptions were used when developing this ISCP:
{System name} has been established as a low-impact system, in accordance with FIPS199.
Alternate processing sites and offsite storage are not required for this system.
The {system name} is inoperable 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} ISCP 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 mission/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 ofroles and responsibilities of {
Organizations
} personnel during a contingency activation.
2.1 System Description
NOTE: Information for this section should be available from the systems 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.
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 mission/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 formalrecovery 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 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. If an alternate location is part of the recovery strategy, include procedures for recovery to that site. 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 low-impact system would be to see if the last known complete transaction was updated in the database. 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 {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 low-impact system may be logging into the system and running a report or performing a transaction to see if the system is 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 {system owner} 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 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.
5.7 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.
5.8 Deactivation
Once all activities have been completed and documentation has been updated, the {system owner} 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
Insert email address
ISCP Director Alternate
Work
Home
Cellular
ISCP Coordinator
Work
Home
Cellular
ISCP Coordinator Alternate
Work
Home
Cellular
ISCP Team Team Lead
Work
Home
Cellular
ICSP Team Team Members
Work
Home
Cellular
Appendix B Vendor Contact List
Contact information for
