BCD-11.9: Backup Access

There is no evidence of a capability to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.

C|P-CMM1 is N/A, since a structured process is required to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.

C|P-CMM2 is N/A, since a well-defined process is required to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.

Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:

• A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with a Continuity of Operations Plan (COOP).
• BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers.
• Specific criteria are defined to initiate BC/DR activities that facilitate business continuity operations capable of meeting applicable RTOs and/or RPOs.- Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure.
• Recovery Time Objectives (RTOs) are defined for business-critical systems and services.
• Recovery Point Objectives (RPOs) are defined and technologies exist to conduct transaction-level recovery, in accordance with RPOs.
• Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs.
• IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs.
• Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs.
• The data backup function is formally assigned with defined roles and responsibilities.
• BC/DR personnel have pre-established methods to communicate the status of recovery activities and progress in restoring operational capabilities to designated internal and external stakeholders.
• The integrity of backups and other restoration assets are verified prior to using them for restoration.

See C|P-CMM3. There are no defined C|P-CMM4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.

See C|P-CMM4. There are no defined C|P-CMM5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.