Backup & Recovery Policy
| Property | Value |
|---|---|
| Document ID | POL-009 |
| Version | 1.0 |
| Status | Draft |
| Owner | Chief Information Security Officer (CISO) |
| Last Updated | 2026-01-11 |
| Next Review | 2027-01-11 |
| Related Controls | SOC 2: CC7.5, A1.2, A1.3 / ISO 27001: A.12.3, A.17.1, A.17.2 |
1. Purpose
This policy establishes requirements for backing up and recovering information systems and data to ensure business continuity and protect against data loss. Proper backup and recovery procedures enable the organization to restore operations following incidents, disasters, or data corruption.
2. Scope
This policy applies to:
- Data: All organizational data including databases, files, configurations, and logs
- Systems: All production systems, applications, and infrastructure
- Environments: Cloud, on-premises, and hybrid environments
- Personnel: IT Operations, DevOps, and system administrators
3. Policy Statements
3.1 Backup Requirements
All systems containing production data must be backed up according to the following requirements:
| Requirement | Standard |
|---|---|
| Coverage | All production data and configurations |
| Automation | Automated backup processes required |
| Verification | Backups verified for integrity |
| Encryption | All backups encrypted at rest |
| Geographic Separation | Backups stored in separate region/location |
| Documentation | Backup procedures documented |
3.2 Backup Schedule
| Data Type | Backup Frequency | Retention | Method |
|---|---|---|---|
| Databases (production) | Continuous (point-in-time) or Daily | 30 days | Automated snapshots |
| Application data | Daily | 30 days | Incremental with weekly full |
| Configuration files | Upon change + daily | 90 days | Version-controlled |
| System images | Weekly | 4 weeks | Full image backup |
| Logs | Daily | Per retention policy | Log aggregation |
| Source code | Continuous | Indefinite | Git repository |
| Secrets/keys | Upon change | 1 year | Vault with versioning |
3.3 Recovery Objectives
| System Classification | RTO (Recovery Time) | RPO (Recovery Point) |
|---|---|---|
| Critical | 4 hours | 1 hour |
| High | 8 hours | 4 hours |
| Medium | 24 hours | 24 hours |
| Low | 72 hours | 48 hours |
Definitions:
- RTO (Recovery Time Objective): Maximum acceptable time to restore service
- RPO (Recovery Point Objective): Maximum acceptable data loss (time since last backup)
3.4 Backup Types
| Backup Type | Description | Use Case |
|---|---|---|
| Full Backup | Complete copy of all data | Weekly baseline |
| Incremental | Changes since last backup | Daily efficiency |
| Differential | Changes since last full backup | Faster recovery |
| Snapshot | Point-in-time copy | Databases, VMs |
| Continuous/CDP | Real-time replication | Critical systems |
3.5 Backup Storage Requirements
| Requirement | Standard |
|---|---|
| Primary Storage | Cloud object storage with versioning |
| Secondary Storage | Different cloud region or provider |
| Encryption | AES-256 encryption at rest |
| Access Control | Limited to backup administrators |
| Immutability | Write-once retention for ransomware protection |
| Monitoring | Alerts on backup failures |
3.6 Geographic Redundancy
| Tier | Primary Location | Secondary Location | Tertiary (if applicable) |
|---|---|---|---|
| Critical | Production region | Different region (same provider) | Different provider |
| High | Production region | Different region | N/A |
| Medium/Low | Production region | Different availability zone | N/A |
3.7 Backup Verification
| Verification Type | Frequency | Description |
|---|---|---|
| Integrity Check | Every backup | Hash verification, checksum validation |
| Restore Test (Sample) | Weekly | Restore sample files to verify readability |
| Full Restore Test | Monthly | Restore complete system to test environment |
| DR Drill | Annually | Full disaster recovery exercise |
3.8 Recovery Procedures
3.8.1 Recovery Types
| Recovery Type | Description | Trigger |
|---|---|---|
| File Recovery | Restore individual files | Accidental deletion, corruption |
| System Recovery | Restore entire system | System failure, OS corruption |
| Database Recovery | Restore database to point-in-time | Data corruption, logical error |
| Disaster Recovery | Restore to secondary site | Primary site unavailable |
| Bare Metal Recovery | Restore from scratch | Total system loss |
3.8.2 Recovery Authorization
| Recovery Type | Authorization Required |
|---|---|
| File (non-production) | IT Operations |
| File (production) | IT Operations + System Owner |
| System Recovery | IT Manager + Security |
| Database Recovery | DBA + System Owner |
| Disaster Recovery | CISO + Executive Team |
3.9 Disaster Recovery
| Requirement | Standard |
|---|---|
| DR Plan | Documented and tested |
| DR Site | Secondary region with replica data |
| Failover | Automated or documented manual process |
| Communication | Crisis communication plan |
| Testing | Annual DR drill |
| Dependencies | External dependencies documented |
4. Cloud-Specific Requirements
4.1 AWS
| Service | Backup Approach |
|---|---|
| RDS | Automated snapshots + cross-region replication |
| S3 | Versioning + cross-region replication |
| EC2 | AMI snapshots + AWS Backup |
| EBS | Snapshots via AWS Backup |
| DynamoDB | Point-in-time recovery + global tables |
4.2 GCP
| Service | Backup Approach |
|---|---|
| Cloud SQL | Automated backups + PITR |
| Cloud Storage | Object versioning + cross-region replication |
| Compute Engine | Snapshots + images |
| Firestore | Managed export + scheduled backups |
4.3 Azure
| Service | Backup Approach |
|---|---|
| Azure SQL | Automated backups + geo-restore |
| Blob Storage | Versioning + geo-replication |
| VMs | Azure Backup |
| Cosmos DB | Continuous backup |
5. Roles and Responsibilities
| Role | Responsibilities |
|---|---|
| IT Operations | Execute backup procedures, monitor backup jobs, perform restores |
| DevOps/SRE | Configure backup automation, manage infrastructure |
| DBAs | Database backup and recovery procedures |
| Security Team | Verify encryption, access controls, immutability |
| System Owners | Define RTO/RPO requirements, authorize recovery |
| CISO | Approve DR plans, oversee testing |
6. Implementation Checklist
Technical Controls
- Automated backup configured for all databases
- Automated backup configured for all application data
- Configuration files in version control
- Backup encryption enabled (AES-256)
- Cross-region replication configured
- Immutable backup retention configured
- Backup monitoring and alerting enabled
- DR site provisioned and tested
Process Controls
- Backup schedule documented
- RTO/RPO defined for all systems
- Recovery procedures documented
- Restore testing schedule established
- DR plan documented and approved
- DR drill scheduled annually
- Backup access controls reviewed
7. Evidence Requirements
| Evidence Type | Description | Location | Retention |
|---|---|---|---|
| Backup Job Logs | Automated backup completion logs | Backup system | 90 days |
| Restore Test Records | Evidence of successful restore tests | Documentation | 3 years |
| DR Drill Reports | Annual DR exercise documentation | Documentation | 3 years |
| Backup Configuration | Screenshots/exports of backup settings | Configuration repo | Current |
| Encryption Evidence | Proof of backup encryption | Backup system | Current |
| Retention Settings | Configuration of retention periods | Backup system | Current |
8. Related Documents
- Incident Response Policy (POL-008)
- Data Classification & Handling Policy (POL-005)
- Encryption & Key Management Policy (POL-004)
9. Testing Schedule
| Test Type | Frequency | Scope | Owner |
|---|---|---|---|
| Integrity verification | Every backup | All backups | Automated |
| Sample file restore | Weekly | Random sample | IT Operations |
| Database restore | Monthly | Non-prod environment | DBA |
| Full system restore | Quarterly | Selected systems | IT Operations |
| DR failover drill | Annually | Full DR exercise | CISO/IT Director |
10. Version History
| Version | Date | Author | Changes |
|---|---|---|---|
| 1.0 | 2026-01-11 | Security Team | Initial release |
11. Approval
| Role | Name | Signature | Date |
|---|---|---|---|
| CISO | _________________ | _________________ | ________ |
| IT Director | _________________ | _________________ | ________ |
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