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Establish backup policies and procedures | Regulatory Compliance - Documentation

Azure BuiltIn Policy definition

Source Azure Portal
Display name Establish backup policies and procedures
Id 4f23967c-a74b-9a09-9dc2-f566f61a87b9
Version 1.1.0
Details on versioning
Versioning Versions supported for Versioning: 1
1.1.0
Built-in Versioning [Preview]
Category Regulatory Compliance
Microsoft Learn
Description CMA_0268 - Establish backup policies and procedures
Additional metadata Name/Id: CMA_0268 / CMA_0268
Category: Documentation
Title: Establish backup policies and procedures
Ownership: Customer
Description: Microsoft recommends that your organization document, review, and update backup policy and procedures at least every 12 months or whenever there are changes impacting backup procedures. It is recommended that backups are performed and stored securely, with system level backups securely stored at off-site storage facilities. Your organization should conduct backups of user-level information contained in the information system according to your organization-defined frequency consistent with recovery time and recovery point objectives. If the transmission of the backups to the remote location is done through a network, it is recommended that the data is sent in an encrypted form. We recommend choosing the location and distance of the remote site is chosen after considering the recovery time and impact of disasters on both locations. It is recommended to ensure that physical and environmental security levels of the remote site are equivalent to the levels at the main site. Your organization may also include processes to determine successful completion of backup and address any backup failures. Microsoft suggests that backup and restoration processes are implemented such that critical information systems can be recovered. It is recommended to formally document backup procedures based on the data backup and recovery requirements of your organization and clients. Your organization may design the data retention, data backup and data recovery policy and procedures to meet business, statutory, regulatory and client requirements as agreed. It is also suggested that your organization periodically validate backup tapes or other media for recovery capabilities by performing testing. It is recommended to conduct internal and/or external reviews of the backup arrangement within an organization-defined time frame. Microsoft recommends that your organization also document processes around storing local backups of network infrastructure, SAN, and Network-Attached Storage (NAS) devices and servers on a secure server or cloud. It is also recommended to back up the security configuration and rules of network devices. Microsoft recommends that your organization transfer data backup to remote location. If the transmission is carried through network, transfer data in encrypted form. Chose the remote site considering the recovery time and the potential impact of a disasters on both sides, maintaining the same level of physical and environmental security of your primary facilities. Your organization may transfer information system backup information to the alternate storage site according to a defined time and transfer rate consistent with the recovery time and recovery point objectives defined in the service provider and organization SLA. It is recommended that your organization protect the confidentiality, integrity, and availability of backup information at storage locations. Your organization may also store backup copies of critical information system software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the operational system. Your organization should consider using a sample of backup information in the restoration of selected information system functions as part of contingency plan testing. New Zealand's RBNZ BS11 Outsourcing Policy requires organizations to ensure that they have direct ownership or legal and practical control over all aspects of the back-up system when banking activities have been outsourced to a third party. The policy also requires an organization to incorporate any changes/modification made to the live environment to the backup environment as well.
Requirements: The customer is responsible for implementing this recommendation.
Mode All
Type BuiltIn
Preview False
Deprecated False
Effect Default
Manual
Allowed
Manual, Disabled
RBAC role(s) none
Rule aliases none
Rule resource types IF (1)
Microsoft.Resources/subscriptions
Compliance
The following 31 compliance controls are associated with this Policy definition 'Establish backup policies and procedures' (4f23967c-a74b-9a09-9dc2-f566f61a87b9)
Control Domain Control Name MetadataId Category Title Owner Requirements Description Info Policy#
FedRAMP_High_R4 AU-9(2) FedRAMP_High_R4_AU-9(2) FedRAMP High AU-9 (2) Audit And Accountability Audit Backup On Separate Physical Systems / Components Shared n/a The information system backs up audit records [Assignment: organization-defined frequency] onto a physically different system or system component than the system or component being audited. Supplemental Guidance: This control enhancement helps to ensure that a compromise of the information system being audited does not also result in a compromise of the audit records. Related controls: AU-4, AU-5, AU-11. link 1
FedRAMP_High_R4 CP-9 FedRAMP_High_R4_CP-9 FedRAMP High CP-9 Contingency Planning Information System Backup Shared n/a The organization: a. Conducts backups of user-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; b. Conducts backups of system-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; c. Conducts backups of information system documentation including security-related documentation [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; and d. Protects the confidentiality, integrity, and availability of backup information at storage locations. Supplemental Guidance: System-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information. Related controls: CP-2, CP-6, MP-4, MP-5, SC-13. References: NIST Special Publication 800-34. link 9
FedRAMP_Moderate_R4 AU-9(2) FedRAMP_Moderate_R4_AU-9(2) FedRAMP Moderate AU-9 (2) Audit And Accountability Audit Backup On Separate Physical Systems / Components Shared n/a The information system backs up audit records [Assignment: organization-defined frequency] onto a physically different system or system component than the system or component being audited. Supplemental Guidance: This control enhancement helps to ensure that a compromise of the information system being audited does not also result in a compromise of the audit records. Related controls: AU-4, AU-5, AU-11. link 1
FedRAMP_Moderate_R4 CP-9 FedRAMP_Moderate_R4_CP-9 FedRAMP Moderate CP-9 Contingency Planning Information System Backup Shared n/a The organization: a. Conducts backups of user-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; b. Conducts backups of system-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; c. Conducts backups of information system documentation including security-related documentation [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; and d. Protects the confidentiality, integrity, and availability of backup information at storage locations. Supplemental Guidance: System-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information. Related controls: CP-2, CP-6, MP-4, MP-5, SC-13. References: NIST Special Publication 800-34. link 9
hipaa 1618.09l1Organizational.45-09.l hipaa-1618.09l1Organizational.45-09.l 1618.09l1Organizational.45-09.l 16 Business Continuity & Disaster Recovery 1618.09l1Organizational.45-09.l 09.05 Information Back-Up Shared n/a The backups are stored in a physically secure remote location, at a sufficient distance to make them reasonably immune from damage to data at the primary site, and reasonable physical and environmental controls are in place to ensure their protection at the remote location. 7
hipaa 1620.09l1Organizational.8-09.l hipaa-1620.09l1Organizational.8-09.l 1620.09l1Organizational.8-09.l 16 Business Continuity & Disaster Recovery 1620.09l1Organizational.8-09.l 09.05 Information Back-Up Shared n/a When the backup service is delivered by the third-party, the service level agreement includes the detailed protections to control confidentiality, integrity and availability of the backup information. 5
hipaa 1622.09l2Organizational.23-09.l hipaa-1622.09l2Organizational.23-09.l 1622.09l2Organizational.23-09.l 16 Business Continuity & Disaster Recovery 1622.09l2Organizational.23-09.l 09.05 Information Back-Up Shared n/a The integrity and security of the backup copies are maintained to ensure future availability, and any potential accessibility problems with the backup copies are identified and mitigated in the event of an area-wide disaster. 4
hipaa 1623.09l2Organizational.4-09.l hipaa-1623.09l2Organizational.4-09.l 1623.09l2Organizational.4-09.l 16 Business Continuity & Disaster Recovery 1623.09l2Organizational.4-09.l 09.05 Information Back-Up Shared n/a Covered information is backed-up in an encrypted format to ensure confidentiality. 3
hipaa 1624.09l3Organizational.12-09.l hipaa-1624.09l3Organizational.12-09.l 1624.09l3Organizational.12-09.l 16 Business Continuity & Disaster Recovery 1624.09l3Organizational.12-09.l 09.05 Information Back-Up Shared n/a The organization performs incremental or differential backups daily and full backups weekly to separate media. 3
hipaa 1908.06.c1Organizational.4-06.c hipaa-1908.06.c1Organizational.4-06.c 1908.06.c1Organizational.4-06.c 19 Data Protection & Privacy 1908.06.c1Organizational.4-06.c 06.01 Compliance with Legal Requirements Shared n/a The organization documents and maintains (i) designated record sets that are subject to access by individuals, and (ii) titles of the persons or office responsible for receiving and processing requests for access by individuals as organizational records for a period of six years. 11
hipaa 19141.06c1Organizational.7-06.c hipaa-19141.06c1Organizational.7-06.c 19141.06c1Organizational.7-06.c 19 Data Protection & Privacy 19141.06c1Organizational.7-06.c 06.01 Compliance with Legal Requirements Shared n/a Important records, such as contracts, personnel records, financial information, client/customer information, etc., of the organization are protected from loss, destruction and falsification through the implementation of security controls such as access controls, encryption, backups, electronic signatures, locked facilities or containers, etc. 10
ISO27001-2013 A.12.3.1 ISO27001-2013_A.12.3.1 ISO 27001:2013 A.12.3.1 Operations Security Information backup Shared n/a Backup copies of information, software and system images shall be taken and tested regularly in accordance with an agreed backup policy. link 13
ISO27001-2013 A.17.1.2 ISO27001-2013_A.17.1.2 ISO 27001:2013 A.17.1.2 Information Security Aspects Of Business Continuity Management Implementing information security continuity Shared n/a The organization shall establish, document, implement and maintain processes, procedures and controls to ensure the required level of continuity for information security during an adverse situation. link 18
ISO27001-2013 A.18.1.3 ISO27001-2013_A.18.1.3 ISO 27001:2013 A.18.1.3 Compliance Protection of records Shared n/a Records shall be protected from loss, destruction, falsification, unauthorized access and unauthorized release, in accordance with legislative, regulatory, contractual and business requirements. link 15
mp.info.6 Backups mp.info.6 Backups 404 not found n/a n/a 65
mp.si.2 Cryptography mp.si.2 Cryptography 404 not found n/a n/a 32
NIST_SP_800-171_R2_3 .3.8 NIST_SP_800-171_R2_3.3.8 NIST SP 800-171 R2 3.3.8 Audit and Accountability Protect audit information and audit logging tools from unauthorized access, modification, and deletion. Shared Microsoft and the customer share responsibilities for implementing this requirement. Audit information includes all information (e.g., audit records, audit log settings, and audit reports) needed to successfully audit system activity. Audit logging tools are those programs and devices used to conduct audit and logging activities. This requirement focuses on the technical protection of audit information and limits the ability to access and execute audit logging tools to authorized individuals. Physical protection of audit information is addressed by media protection and physical and environmental protection requirements. link 4
NIST_SP_800-171_R2_3 .8.9 NIST_SP_800-171_R2_3.8.9 NIST SP 800-171 R2 3.8.9 Media Protection Protect the confidentiality of backup CUI at storage locations. Shared Microsoft and the customer share responsibilities for implementing this requirement. Organizations can employ cryptographic mechanisms or alternative physical controls to protect the confidentiality of backup information at designated storage locations. Backed-up information containing CUI may include system-level information and user-level information. System-level information includes system-state information, operating system software, application software, and licenses. User-level information includes information other than system-level information. link 8
NIST_SP_800-53_R4 AU-9(2) NIST_SP_800-53_R4_AU-9(2) NIST SP 800-53 Rev. 4 AU-9 (2) Audit And Accountability Audit Backup On Separate Physical Systems / Components Shared n/a The information system backs up audit records [Assignment: organization-defined frequency] onto a physically different system or system component than the system or component being audited. Supplemental Guidance: This control enhancement helps to ensure that a compromise of the information system being audited does not also result in a compromise of the audit records. Related controls: AU-4, AU-5, AU-11. link 1
NIST_SP_800-53_R4 CP-9 NIST_SP_800-53_R4_CP-9 NIST SP 800-53 Rev. 4 CP-9 Contingency Planning Information System Backup Shared n/a The organization: a. Conducts backups of user-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; b. Conducts backups of system-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; c. Conducts backups of information system documentation including security-related documentation [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; and d. Protects the confidentiality, integrity, and availability of backup information at storage locations. Supplemental Guidance: System-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information. Related controls: CP-2, CP-6, MP-4, MP-5, SC-13. References: NIST Special Publication 800-34. link 9
NIST_SP_800-53_R5 AU-9(2) NIST_SP_800-53_R5_AU-9(2) NIST SP 800-53 Rev. 5 AU-9 (2) Audit and Accountability Store on Separate Physical Systems or Components Shared n/a Store audit records [Assignment: organization-defined frequency] in a repository that is part of a physically different system or system component than the system or component being audited. link 1
NIST_SP_800-53_R5 CP-9 NIST_SP_800-53_R5_CP-9 NIST SP 800-53 Rev. 5 CP-9 Contingency Planning System Backup Shared n/a a. Conduct backups of user-level information contained in [Assignment: organization-defined system components] [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; b. Conduct backups of system-level information contained in the system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; c. Conduct backups of system documentation, including security- and privacy-related documentation [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; and d. Protect the confidentiality, integrity, and availability of backup information. link 9
op.cont.3 Periodic tests op.cont.3 Periodic tests 404 not found n/a n/a 91
op.cont.4 Alternative means op.cont.4 Alternative means 404 not found n/a n/a 95
op.exp.3 Security configuration management op.exp.3 Security configuration management 404 not found n/a n/a 123
org.1 Security policy org.1 Security policy 404 not found n/a n/a 94
PCI_DSS_v4.0 10.3.3 PCI_DSS_v4.0_10.3.3 PCI DSS v4.0 10.3.3 Requirement 10: Log and Monitor All Access to System Components and Cardholder Data Audit logs are protected from destruction and unauthorized modifications Shared n/a Audit log files, including those for externalfacing technologies, are promptly backed up to a secure, central, internal log server(s) or other media that is difficult to modify. link 5
SOC_2 PI1.5 SOC_2_PI1.5 SOC 2 Type 2 PI1.5 Additional Criteria For Processing Integrity Store inputs and outputs completely, accurately, and timely Shared The customer is responsible for implementing this recommendation. • Protects Stored Items — Stored items are protected to prevent theft, corruption, destruction, or deterioration that would prevent output from meeting specifications. • Archives and Protects System Records — System records are archived and archives are protected against theft, corruption, destruction, or deterioration that would prevent them from being used. • Stores Data Completely and Accurately — Procedures are in place to provide for the complete, accurate, and timely storage of data. • Creates and Maintains Records of System Storage Activities — Records of system storage activities are created and maintained completely and accurately in a timely manner 10
SWIFT_CSCF_v2022 2.1 SWIFT_CSCF_v2022_2.1 SWIFT CSCF v2022 2.1 2. Reduce Attack Surface and Vulnerabilities Ensure the confidentiality, integrity, and authenticity of application data flows between local SWIFT-related components. Shared n/a Confidentiality, integrity, and authentication mechanisms are implemented to protect SWIFT-related component-to-component or system-to-system data flows. link 36
SWIFT_CSCF_v2022 2.4 SWIFT_CSCF_v2022_2.4 SWIFT CSCF v2022 2.4 2. Reduce Attack Surface and Vulnerabilities Ensure the confidentiality, integrity, and mutual authenticity of data flows between local or remote SWIFT infrastructure components and the back-office first hops they connect to. Shared n/a Confidentiality, integrity, and authentication mechanisms (at system, transport or message level) are implemented to protect data flows between SWIFT infrastructure components and the back-office first hops they connect to. link 7
SWIFT_CSCF_v2022 2.5 SWIFT_CSCF_v2022_2.5 SWIFT CSCF v2022 2.5 2. Reduce Attack Surface and Vulnerabilities Protect the confidentiality of SWIFT-related data transmitted or stored outside of the secure zone as part of operational processes. Shared n/a Sensitive SWIFT-related data that leaves the secure zone as a result of operating system/application back-ups, business transaction data replication for archiving or recovery purposes, or extraction for offline processing is protected when stored outside of a secure zone and is encrypted while in transit. link 7
Initiatives usage
Initiative DisplayName Initiative Id Initiative Category State Type
FedRAMP High d5264498-16f4-418a-b659-fa7ef418175f Regulatory Compliance GA BuiltIn
FedRAMP Moderate e95f5a9f-57ad-4d03-bb0b-b1d16db93693 Regulatory Compliance GA BuiltIn
HITRUST/HIPAA a169a624-5599-4385-a696-c8d643089fab Regulatory Compliance GA BuiltIn
ISO 27001:2013 89c6cddc-1c73-4ac1-b19c-54d1a15a42f2 Regulatory Compliance GA BuiltIn
NIST SP 800-171 Rev. 2 03055927-78bd-4236-86c0-f36125a10dc9 Regulatory Compliance GA BuiltIn
NIST SP 800-53 Rev. 4 cf25b9c1-bd23-4eb6-bd2c-f4f3ac644a5f Regulatory Compliance GA BuiltIn
NIST SP 800-53 Rev. 5 179d1daa-458f-4e47-8086-2a68d0d6c38f Regulatory Compliance GA BuiltIn
PCI DSS v4 c676748e-3af9-4e22-bc28-50feed564afb Regulatory Compliance GA BuiltIn
SOC 2 Type 2 4054785f-702b-4a98-9215-009cbd58b141 Regulatory Compliance GA BuiltIn
Spain ENS 175daf90-21e1-4fec-b745-7b4c909aa94c Regulatory Compliance GA BuiltIn
SWIFT CSP-CSCF v2022 7bc7cd6c-4114-ff31-3cac-59be3157596d Regulatory Compliance GA BuiltIn
History
Date/Time (UTC ymd) (i) Change type Change detail
2022-09-27 16:35:32 change Minor (1.0.0 > 1.1.0)
2022-09-13 16:35:29 add 4f23967c-a74b-9a09-9dc2-f566f61a87b9
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