Backup/Restore Operation Audit Checklist

Date: Assessor: No. Control Objective Procedure Does the Backup policies and procedures cover following minumum requirements: - The Servers to be backed up. - Location of mission critical files. - The files/folders to be backed up for users. - Schedule of back up. - Backup operators and their rights. - Key backup procedures (If key based encryption or authentication are used). - Location of Backups. - Users authorized to restore data. - Restoration procedures. Based on BCP document, identify all critical computer processing environments for which backup copies are required. For each environment, outline the specific rotational procedure in the following table(s) by identifying the type and level of backup, which generation is moved off-site, how many generations are retained off-site, and which day the rotation occurs. For each environment, obtain screen captures from the backup software that show: o The selection of files that are backed up o The schedule that the backup job is set to follow o A recent log file showing a successful backup of the system o A recent restore log file (if available) showing a successful restore of the system

1 Backup Procedure

2 Backup Configuration

3 Distance of off-site Physically visit the off-site storage facility, if it is within storage reasonable distance of the site, or use alternative review techniques. Describe location of off-site storage facility. 4 Off-site Backup While at the off-site storage facility, verify that the proper Tape backup media including all incremental and full image backups identified above as being retained off-site are safe, current, and readily available in off-site storage. 5 Existence of BCP While at the off-site storage facility, verify that copies of the doc in Off-Site BCP documentation is retained in off-site storage and with Storage key members of the Disaster Recovery Organization.

6 Existence of system doc in Off-Site Storage 7 Enviromental Control of Off-site Storage

While at the off-site storage facility, verify that appropriate systems documentation is retained in off-site storage. Determine that the off-site storage area is reasonably removed from the computer room to avoid simultaneous destruction resulting from a likely natural or man-made disaster, is environmentally safe for the type of media stored, is adequately safeguarded to prevent the loss or misappropriation of the information stored, and is reasonably accessible during non-business hours.

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Reff.

Remediation Action

Date of Remediation