DS11.5:
DS 11.5 Backup and Restoration
Control Objective:
Define and implement procedures for backup and restoration of systems, data and documentation in line with business requirements and the continuity plan. Verify compliance with the backup procedures, and verify the ability to and time required for successful and complete restoration. Test backup media and the restoration process.
Applicability:
- Sarbanes-Oxley
- HIPAA
- GLBA
- PCI
- FISMA
- NIST SP 800-66
- Ditscap
- Control Exception
- User Defined
Risk Association Control Activities:
- 1. Risk: Controls provide reasonable assurance that policies and procedures that define required acquisition and maintenance processes have been developed and are maintained, and that they define the documentation needed to support the proper use of the applications and the technological solutions put in place.
- a. SOX.1.4 The organization has policies and procedures regarding program development, program change, access to programs and data, and computer operations, which are periodically reviewed, updated and approved by management.
- a. SOX.1.4 The organization has policies and procedures regarding program development, program change, access to programs and data, and computer operations, which are periodically reviewed, updated and approved by management.
- 1. Risk: Controls provide reasonable assurance that policies and procedures that define required acquisition and maintenance processes have been developed and are maintained, and that they define the documentation needed to support the proper use of the applications and the technological solutions put in place.
- 2. Risk: Security and business continuity risks are introduced by technical designs incompatible with enterprise standards.
- a. SOX.1.15 The organizations SDLC policies and procedures consider the development and acquisition of new systems and major changes to existing systems.
- a. SOX.1.15 The organizations SDLC policies and procedures consider the development and acquisition of new systems and major changes to existing systems.
- 2. Risk: Security and business continuity risks are introduced by technical designs incompatible with enterprise standards.
- 3. Risk: Unauthorized or inappropriate personnel have access to data via backup tapes.
- a. SOX.2.3.3 Confidential information on backed up system and transaction data is properly protected.
- 3. Risk: Unauthorized or inappropriate personnel have access to data via backup tapes.
- 4. Risk: Up-to-date backups of programs and data may not be available when needed.
- a. SOX.2.3.4 Procedures exist and are followed to periodically test the effectiveness of the restoration process and the quality of media backup.
- 4. Risk: Up-to-date backups of programs and data may not be available when needed.
Process Narrative
Insert a description of the process narration that is applicable to the existing control statement this narrative refers to.
Process Illustration
Insert a process diagram, flowchart or other visual representation here to illustrate the process narrative.
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Control Commentary
Insert a description of the control that is applicable to the existing control statement this commentary refers to.
Control Exception Commentary
Insert a description of the control exception that is applicable to the existing control statement this commentary refers to.
Evidence Archive Location
Insert Evidence Description Here.
Control Status and Auditors Commentary
Describe the condition of the applicable control and its effectiveness. Set the color icon to a redlock.jpg, yellowlock.jpg or greenlock.jpg.
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Remediation Plan
Insert remediation plan, applicability, or any information that indicates what needs to be done.
Supplemental Information:
ITIL ICT Infrastructure Management
ITIL Annex 4D, Back-up and Storage
ISO 8.4 Housekeeping
