CP-1 Contingency Planning Policy and Procedures (L) (M) (H)

NIST 800-53 (r4) Control:

The organization:

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:

1. A contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and

2. Procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls; and

b. Reviews and updates the current:

1. Contingency planning policy [FedRAMP Assignment: (L)(M) at least every 3 years; (H) at least annually]; and

2. Contingency planning procedures [FedRAMP Assignment: (L)(M) at least annually; (H) at least annually or whenever a significant change occurs].

NIST 800-53 (r4) Supplemental Guidance:

This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures. Related control: PM-9.

References: Federal Continuity Directive 1; NIST Special Publications 800-12, 800-34, 800-100.

NIST 800-53 (r5) Discussion:

Contingency planning policy and procedures address the controls in the CP family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of contingency planning policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to contingency planning policy and procedures include assessment or audit findings, security incidents or breaches, or changes in laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

38North Guidance:

Meets Minimum Requirement:

• Develop, document, and disseminate CP policies and procedures.

• CP policies and procedures must address:

  • • • All CP controls contained in the CP family including guidelines and processes for:

        • Identification and prioritization of essential business functions and associated Recovery Point Objective (RPO), Recovery Time Objective (RTO), and Maximum Tolerable Downtime (MTD) metrics;

        • Recovery strategy and associated processes;

• Personnel/Points of Contact and associated roles and responsibilities, including contact info (office and off hours); and

• Coordination with other related contingency and incident handling processes.

• Review, approve, and update (when a review indicates updates are required) documented CP policies and procedures at least annually or if there is a major change in the environment.

Best Practice:

• None.

Unofficial FedRAMP Guidance:

• None.

Assessment Evidence:

• Versioned CP policies and procedures documents with last update, last approval date, and approver.

• Approval by management within the last year (for BOTH Policy and Procedures for FedRAMP High), within the last year (for Procedures for FedRAMP Moderate), within the last three (3) years (for Policies for FedRAMP Moderate), or as a result of a major change in the environment, whichever occurred most recently.

CP Implementation Tips:

• None.