Contingency Plan Testing

✓ LOW ✓ MODERATE ✓ HIGH
5 Enhancements 1 Overlay 10 Related Controls
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Requirements NIST SOURCE

Discussion (NIST Supplemental Guidance)

Methods for testing contingency plans to determine the effectiveness of the plans and identify potential weaknesses include checklists, walk-through and tabletop exercises, simulations (parallel or full interrupt), and comprehensive exercises. Organizations conduct testing based on the requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.

Enhancements NIST SOURCE

CP-4(1) Coordinate with Related Plans LOW ✓ MODERATE ✓ HIGH

Coordinate contingency plan testing with organizational elements responsible for related plans.

Discussion

Plans related to contingency planning for organizational systems include Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. Coordination of contingency plan testing does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. However, it does require that if such organizational elements are responsible for related plans, organizations coordinate with those elements.

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CP-4(2) Alternate Processing Site LOW MODERATE ✓ HIGH

Test the contingency plan at the alternate processing site:

  1. (a) To familiarize contingency personnel with the facility and available resources; and
  2. (b) To evaluate the capabilities of the alternate processing site to support contingency operations.
Discussion

Conditions at the alternate processing site may be significantly different than the conditions at the primary site. Having the opportunity to visit the alternate site and experience the actual capabilities available at the site can provide valuable information on potential vulnerabilities that could affect essential organizational mission and business functions. The on-site visit can also provide an opportunity to refine the contingency plan to address the vulnerabilities discovered during testing.

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CP-4(3) Automated Testing LOW MODERATE HIGH

Test the contingency plan using [automated mechanisms].

Discussion

Automated mechanisms facilitate thorough and effective testing of contingency plans by providing more complete coverage of contingency issues, selecting more realistic test scenarios and environments, and effectively stressing the system and supported mission and business functions.

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CP-4(4) Full Recovery and Reconstitution LOW MODERATE HIGH

Include a full recovery and reconstitution of the system to a known state as part of contingency plan testing.

Discussion

Recovery is executing contingency plan activities to restore organizational mission and business functions. Reconstitution takes place following recovery and includes activities for returning systems to fully operational states. Organizations establish a known state for systems that includes system state information for hardware, software programs, and data. Preserving system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission and business processes.

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CP-4(5) Self-challenge LOW MODERATE HIGH

Employ [mechanisms] to [system or system component] to disrupt and adversely affect the system or system component.

Discussion

Often, the best method of assessing system resilience is to disrupt the system in some manner. The mechanisms used by the organization could disrupt system functions or system services in many ways, including terminating or disabling critical system components, changing the configuration of system components, degrading critical functionality (e.g., restricting network bandwidth), or altering privileges. Automated, on-going, and simulated cyber-attacks and service disruptions can reveal unexpected functional dependencies and help the organization determine its ability to ensure resilience in the face of an actual cyber-attack.

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Implementation Guidance

Engineering Interpretation

Original engineering commentary written for this explorer — not NIST source text and not authoritative guidance.

No engineering interpretation has been authored for CP-4 yet. This section is architected to receive it — see the Requirements and Assessment sections above for the authoritative NIST source content in the meantime.

Assessment

NIST SP 800-53A REV 5.2.0

Assessment Objectives

  1. frequency of testing the contingency plan for the system is defined;
  2. tests for determining the effectiveness of the contingency plan are defined;
  3. tests for determining readiness to execute the contingency plan are defined;
  4. the contingency plan for the system is tested <CP-04_ODP[01] frequency>;
  5. <CP-04_ODP[02] tests> are used to determine the effectiveness of the plan;
  6. <CP-04_ODP[03] tests> are used to determine the readiness to execute the plan;
  7. the contingency plan test results are reviewed;
  8. corrective actions are initiated, if needed.

Examine

[SELECT FROM: Contingency planning policy; procedures addressing contingency plan testing; contingency plan; contingency plan test documentation; contingency plan test results; system security plan; other relevant documents or records].

Interview

[SELECT FROM: Organizational personnel with responsibilities for contingency plan testing, reviewing, or responding to contingency plan tests; organizational personnel with information security responsibilities].

Test

[SELECT FROM: Organizational processes for contingency plan testing; mechanisms supporting the contingency plan and/or contingency plan testing].

Overlays

OT/ICS Overlay SP 800-82r3

NIST SP 800-82r3 Appendix F, Table 22. Blank baseline means the control/control enhancement is not selected in that initial OT baseline.

LOW

  • Base control: Included (matches standard baseline)

MODERATE

  • Base control: Included (matches standard baseline)
  • Included: (1)

HIGH

  • Base control: Included (matches standard baseline)
  • Included: (1) (2)

STIGs & CCIs

No STIG checks or CCI mappings are currently loaded for CP-4. This section is architected to display, per product: STIG ID, Finding ID, Severity, Title, Description, Check, Fix, CCI, and NIST control mapping — but nothing is populated here until a real DISA STIG/CCI dataset is ingested.

Learn more about STIG/CCI integration →

Evidence

Potential Evidence — Derived

Categorized from the SP 800-53A "Examine"/"Test" artifact list above by keyword — not an authoritative NIST evidence list.

Policy

  • Contingency planning policy
  • procedures addressing contingency plan testing
  • contingency plan
  • contingency plan test documentation
  • contingency plan test results
  • system security plan

Testing

  • Organizational processes for contingency plan testing
  • mechanisms supporting the contingency plan and/or contingency plan testing

Other Records

  • other relevant documents or records