This template provides a guide for developing a contingency plan for the Payroll System. It includes information on activation and recovery procedures, roles and responsibilities, and a system description. The plan is designed to recover the Payroll System quickly and effectively following a service disruption.
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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. [Payroll System] Security Categorization: Very High [Department for Wildlife] Information System Contingency Plan (ISCP) Version [#] [Date] Prepared by [Organization Name] [Street Address] [City, State, and Zip Code]
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TABLE OF CONTENTS Plan Approval…………………………………………………….………..….……….……A.2-3 1. Introduction ………………………………………………….……..……….…….……..A.2-4 1.1Background………..………………………………………….………………..A.2-4 1.2Scope……..………..…………………………..…….……….……….………..A.2-4 1.3Assumptions..…….………………………..….……………….……….……...A.2-4 2. Concept of Operations ………………………….……..…………………………..…..A.2-5 2.1System Description………………....……………………………………..…..A.2-5 2.2Overview of Three Phases..………………………………………………….A.2-5 2.3Roles and Responsibilities…….…......……………………………………....A.2-6 3. Activation and Notification………………....………………………..………….……..A.2-6 3.1Activation Criteria and Procedure ...………………………..………………..A.2-6 3.2Notification…………………...………………………………..………………..A.2-7 3.3Outage Assessment…………....…......……………………..………………..A.2-7 4. Recovery……………………….……………....…………………………………………..A.2-7 4.1Sequence of Recovery Activities ....……………………………..…………..A.2-7 4.2Recovery Procedures ……...………………………………………..………..A.2-8 4.3Recovery Escalation Notices/Awareness..…………………………..……...A.2-8 5. Reconstitution..……………….……………....………………….………………..……..A.2-8 5.1Validation Data Testing………….…………………….………………….…..A.2-8 5.2Validation Functionality Testing…......……………….………………….…...A.2-8 5.3Recovery Declaration…………........………………….………………….…..A.2-9 5.4Notification (users)…. ……...………………………….………………….…..A.2-9 5.5Cleanup ...……………………...…......……………….………………….…....A.2-9 5.6Offsite Data Storage……………. ....………………….………………….…..A.2-9 5.7Data Backup………………...………………………….…………………..…..A.2-9 5.8Event Documentation…………..…......……………….………………….…..A.2-9 5.9Deactivation……………………..…......……………….………………….…..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 the Payroll System, 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 Department for Wildlife, 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 Payroll Systemwill be tested at least annually. This plan was last tested onSeptember 5th2019; 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 withDepartment for Wildlife’s contingency planning policy. ________________________________________________________________ {System Owner Name}Date {System Owner Title}
1.Introduction Information systems are vital to Department for Wildlife mission/business processes; therefore,it is critical thatservices provided by the Payroll System are able to operate effectively without excessive interruption.This Information System Contingency Plan (ISCP) establishes comprehensiveproceduresto recoverDepartment for Wildlifequickly and effectively following a service disruption. 1.1Background ThisPayroll SystemISCP- establishes procedures to recoverthePayroll Systemfollowing 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: oActivation and Notification phaseto activate the plan and determine the extent of damage; oRecovery phaseto restore thePayroll Systemoperations; and oReconstitution phaseto ensure that thePayroll Systemis validated through testing and that normal operations are resumed. Identify the activities, resources, and procedures to carry out thePayroll Systemprocessing requirements during prolonged interruptions to normal operations. Assign responsibilities to designatedDepartment for Wildlifepersonnel and provide guidance for recoveringThe Payroll Systemduring prolonged periods of interruption to normal operations. Ensure coordination with other personnel responsible forDepartment for Wildlife contingency planning strategies. Ensure coordination with external points of contact and vendors associated withThe Payroll Systemand execution of this plan. 1.2Scope This ISCP has been developed forThe Payroll System, 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 recoverThe Payroll Systemwithin between 2 and 36 RTO hours.This plan does not address replacement or purchase of new equipment, short-term disruptions lasting less than 6hours,or loss of data at the onsite facility or at the user-desktop levels. 1.3Assumptions The following assumptions were used when developing this ISCP: The Payroll Systemhas been established as a moderate-impact system, in accordance with FIPS199. 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 Boston, MA. Alternate facilities have been established atNew York, WAand are available if needed for relocation ofThe Payroll System.
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TheThe Payroll Systemis inoperable at theDepartment for Wildlifeand cannot be recovered within between 2 and 36 RTO hours. Key the Payroll System personnel have been identified and trained in their emergency response and recovery roles; they are available to activate theThe Payroll SystemContingency Plan. Additional assumptions as appropriate. ThePayroll SystemContingency 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 aboutThe Payroll System, an overview of the three phases of the ISCP(Activation and Notification, Recovery, and Reconstitution), and a description ofroles and responsibilities ofDepartment for Wildlifepersonnel during a contingency activation. 2.1System Description The overall architecture of the PS is a client- sever Architecture; the company has several divisions and different branches distributed within one city and also in other cities. The PS is based on a cloud architecture in which the application is installed within a hybrid cloud system to enable access to information from any department/ branch from the central Human Resource office located at the head office of the company. The application is thus implemented as a SaaS (software as a service) and also has a physical server located in the company’s data center with a bridge to the public cloud. It is implemented in a WAN (wide area network) and linked to the LANs (local area networks) found at each branch and department. The PS gathers employee data from the attendance management system as well as from the CRM/ sales management system (for sales staff) and updates these to the central database which contains detailed employee information and data, including role, remuneration rate, benefits, leave days, performance bonuses, qualifications, trainings attended, as well as personal details. When a new employee is hired, all their information is entered into the main database and are assigned a unique employee number as well as their pay rates, bonuses, and leave days. Each time an employee checks in to work, they must swipe or touch a finger print employee attendance system that clocks in the time they started work, and they swipe or touch it when they leave or at the end of the work day. This information is then automatically uploaded and updated to the hybrid cloud worked employee and HR database over a WAN. At the end of a given period or week; the payroll system automatically computes the employee pay; the HR officer can add parameters for additional bonuses, commissions, or leave days and these compute the employee payment. The system then automatically makes statutory deductions including taxes, membership fees, or loans advanced to the employee and computes the final pay, which can be printed. 2.2Overview of Three Phases
This ISCP has been developed to recover and reconstitute the Payroll Systemusing 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. 2.3Roles and Responsibilities The ISCP Director, the IT manager, working with the IT team (managers and their support staff) will be responsible for developing contingency policies and plans for Payroll System recovery. Each IT manager will ensure their physical hardware are running efficiently while the System Analyst will ensure the system is backed up and business processes restored in the event of crashes/ Payroll System unavailability The network engineer will provide an alternate network access system during design and ensure this system automatically becomes operational should be primary network system fail. The network will also have a cloud component of Infrastructure as a Service (IaaS) to ensure the network continues to run even when the physical network is disrupted 3.Activation and Notification
The Activation and Notification Phase defines initial actions taken once aPayroll Systemdisruption 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, Payroll SystemISCP staff will be prepared to perform recovery measures to restore system functions. 3.1Activation Criteria and Procedure ThePayroll SystemISCP may be activated if one or more of the following criteria are met: 1.The type of outage indicatesPayroll Systemapplication will be down for more thanTwoRTO hours; 2.The facility housing thePayroll Systemis damaged and may not be available within24RTO hours; and 3.The Payroll System network access is down for more than 15 minutes. The following persons or roles may activate the ISCP if one or more of these criteria are met: The IT support staff at each division/ branch/ department IT manager at every respective branch 3.2Notification The first step upon activation of thePayroll SystemISCP is notification of appropriate business and system support personnel. Contact information for appropriate POCs is included inISCP contact list. ForPayroll System, the following method and procedure for notifications are used: The users notify their relevant IT support staff/ managers of a problem through a phone call; the notified IT support staff then checks the problem and esclataes the issue to their respective line/ IT managers who will then inform the ICSP Director and Overall IT Manager of the problem and appropriate actions initiated 3.3Outage 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 the ICSP IT Support Staff. Assessment results are provided to the ISCP Coordinator to assist in the coordination of the recovery of thePayroll System.The system will be evaluated through a detailed network analysis, evaluation of its performance, logs, and user logs to determine cause of outage, include network monitoring and activity; these will help determine the next course of action.
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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,Payroll Systemwill be functional and capable of performing the functions identified in Section 2.1 of this plan. 4.1Sequence of Recovery Activities The following activities occur during recovery ofPayroll System: 1.Identify the recovery location ; 2.Identify the necessary resources to undertake recovery procedures; 3.Retrieve the cloud based or private cloud backup and system installation media; 4.Recover the server hardware and operating system (if necessary); 5.Restore operations as soon as possible, and 6.Recover the system from backup and system installation media. 4.2Recovery Procedures The following procedures are provided for recovery ofPayroll Systemat 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. The mirrored application system data will be restored and cloud backup restored to ensure business process continuity while the physical recovery takes place 4.3Recovery Escalation Notices/Awareness The users notify their relevant IT support staff/ managers of a problem through a phone call; the notified IT support staff then checks the problem and esclataes the issue to their respective line/ IT managers who will then inform the ICSP Director and Overall IT Manager of the problem and appropriate actions initiated 5.Reconstitution Reconstitution is the process by whichrecovery 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 thesystem 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. 5.1Validation 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: The recovered data will be checked for their digital signatures, size, and functionality to be equivalent to the mirrored backup of the application. 5.2Validation Functionality Testing Validation functionality testing is the process of verifying that recovered Payroll System functionality has been tested, and the system is ready to return to normal operations. Manual system testing will be done by testing the employee attendance capture system, database functionality, and ability of system to calculate payments and make deductions as well as generate requisite reports. Automated testing will also be done for the functionality of the entire Payroll System 5.3Recovery Declaration Upon successfully completing testing and validation, the IT/ ISCPDirectorwill formally declare recovery efforts complete, and thatPayroll Systemis in normal operations.Payroll Systembusiness and technical POCs will be notified of the declaration by the ISCP Coordinator. 5.4Notifications (users) Upon return to normal system operations, Payroll Systemusers will be notified bythe IT managerusing phone calls, e-mail and broadcast messages. 5.5Cleanup The cloud services and mirrored servers used while the system was being restored/ recovered will be disengaged and old recovery points used deleted. The system, after being tested, will be restored to its initial architecture and connected to the cloud where real time backup will continue 5.6Offsite Data Storage The system data will be backed up in physical mirrored servers, disks set up in RAID 6 architecture, and virtual servers implemented and backed up in the cloud. 5.7Data Backup A full system backup will be implemented to the cloud where data is stored in four different geographic locations and backup done off site using mirroring as well as at the main data center
5.8Event Documentation The time the event began, the initial reporting person, the actions taken, the escalation procedures used, the identified problems, and the solutions implemented are recorded. The persons involved are also documented, and the time when normal functionality was restored also reported. Any mitigation measures to ensure the same is not experienced in future are also documented and stored according to the organization documentation policy. The functionality testing procedures along with test results after restoration are also documented 5.9Deactivation Once all activities have been completed and documentation has been updated, the ISCP Directorwill formally deactivate the ISCP recovery and reconstitution effort. Notification of this declaration will be provided to all business and technical POCs.
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SUGGESTED APPENDICES ISCP appendices included should be based on system and plan requirements. The following appendices are recommended: APPENDIX APERSONNEL 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 PersonnelContact Information ISCP DirectorWorkInsert number Insert Name and TitleHomeInsert number Insert Street AddressCellularInsert number Insert City, State, and Zip CodeEmailInsert email address ISCP Director – AlternateWork Home Cellular Email ISCP CoordinatorWork Home Cellular Email ISCP Coordinator – AlternateWork Home Cellular Email ISCP Team – Team LeadWork Home Cellular Email ISCP Team – Team MembersWork Home Cellular Email APPENDIX BVENDOR 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 CDETAILED 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 DALTERNATE 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 ESYSTEM 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: ProcedureExpected ResultsActual ResultsSuccessful?Performed by At the Command Prompt, type insysname System Log-in Screen appears Log-in as user testuser,using passwordtestpass Initial Screen with Main Menu shows From Menu - select5- Generate Report Report Generation Screen shows - SelectCurrent Date Report - SelectWeekly - SelectToScreen Report is generated on screen with last successful transaction included - SelectCloseReport Generation Screen Shows - SelectReturn toInitial Screen with
ProcedureExpected ResultsActual ResultsSuccessful?Performed by Main MenuMain Menu shows - SelectLog-OffLog-in Screen appears APPENDIX FALTERNATE 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;
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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 GDIAGRAMS (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 HHARDWARE 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 IINTERCONNECTIONS 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: StepDate Due byResponsible PartyDate ScheduledDate Held Identify functional test facilitator. March 1ISCP Coordinator Determine type and scope of functional test. March 15ISCP Coordinator, Test Facilitator Develop functional test plan.April 1Test Facilitator Invite participants.May 10Test Facilitator Conduct functional test.May 31Test Facilitator, ISCP Coordinator, POCs Finalize after action report and lessons learned. June 10ISCP Coordinator Update ISCP based on lessons learned. June 30ISCP Coordinator Approve and distribute updated version of ISCP. July 15ISCP Director, ISCP Coordinator APPENDIX KASSOCIATED 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 LBUSINESS IMPACT ANALYSIS The Business Impact Analysis results should be included in this appendix.
APPENDIX MDOCUMENT CHANGE PAGE Modifications made to this plan since the last printing are as follows: Record of Changes Page No.Change CommentDate of ChangeSignature