PR.IP-4: Information Backup and Testing
Information backups are your safety net against data loss, ransomware, and operational disruption. PR.IP-4 requires you to conduct, maintain, and regularly test backups to ensure they actually work when you need them. For SMBs, this means establishing a documented backup strategy with verification procedures that prove recovery is possible.
What this means
PR.IP-4 mandates that your organization maintain current copies of critical information and systems, stored separately from production environments. More importantly, you must actively test these backups on a regular schedule to confirm they're recoverable, uncorrupted, and complete. This control prevents the common scenario where backups exist but fail during actual recovery attempts, leaving you without the protection you thought you had.
How to comply
- 1.Identify and classify all critical data and systems that require backup protection
- 2.Establish a backup frequency policy based on your recovery time objectives (RTO) and recovery point objectives (RPO)
- 3.Implement automated backups with encryption and off-site or cloud storage to protect against physical loss
- 4.Document your backup procedures including scope, frequency, retention periods, and storage locations
- 5.Schedule regular restore tests (at least quarterly) on non-production systems to validate backup integrity
- 6.Log all backup and test results with timestamps, success/failure status, and recovery metrics
- 7.Maintain a backup inventory tracking what data is backed up, when, and where it's stored
- 8.Train relevant staff on backup procedures and their role in recovery operations
- 9.Review and update your backup strategy annually or when business needs change
Evidence auditors look for
- Backup policy document specifying frequency, retention, and testing requirements
- Backup schedule showing daily, weekly, or monthly backup runs with documented RPO/RTO targets
- Test execution logs from restore drills with dates, systems tested, and success/failure results
- Recovery time metrics proving backups can be restored within your documented RTO
- Off-site backup verification reports confirming data is stored in geographically separate locations
- Encryption certificates and access controls for backup storage systems
- Incident response records showing backup restoration was used successfully to recover from data loss
- Backup inventory spreadsheet listing critical systems, data categories, and backup locations
Frequently asked questions
When will FAQs be available?
The FAQ for this control is currently being prepared.
GRCWatch automates backup testing schedules, captures test results directly into your compliance records, and flags failed restores immediately—eliminating manual log reviews and ensuring you always have evidence that PR.IP-4 testing actually happened.
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