Disaster Recovery and Technical Operations Policy (RES-POL-005)
1. Objective
The objective of this policy is to establish comprehensive technical disaster recovery requirements for [Company Name]’s information systems, infrastructure, and technology operations. This policy ensures that critical IT systems and data can be rapidly restored following disasters, disruptions, or system failures while maintaining the integrity and availability of electronic Protected Health Information (ePHI) and other sensitive data. By implementing robust disaster recovery capabilities including data backup, system redundancy, and technical recovery procedures, [Company Name] minimizes technology-related business impact, ensures rapid restoration of IT services, and maintains compliance with HIPAA, HITECH, and SOC 2 technical safeguard requirements in coordination with the Business Continuity Management Policy (RES-POL-002).
2. Scope
This policy applies to all [Company Name] IT personnel, system administrators, cloud engineers, and third-party service providers involved in the design, implementation, operation, or maintenance of disaster recovery systems and procedures. It encompasses all information systems, applications, databases, infrastructure components, and technology assets that support critical business operations including production systems, development environments, network infrastructure, cloud services, and data storage systems. This policy covers technical recovery procedures for all types of disasters including natural disasters, cyber attacks, equipment failures, data corruption, and other events that could impact the availability or integrity of technology systems and data.
3. Policy
[Company Name] shall implement comprehensive technical disaster recovery capabilities that enable rapid restoration of IT systems and data following disasters or disruptions, ensuring minimal impact on business operations and maintaining the security and integrity of all technology assets and information.
3.1 Disaster Recovery Planning and Strategy
Comprehensive disaster recovery plans shall be developed for all critical information systems and infrastructure components to ensure rapid and effective technical recovery.
3.1.1 IT Disaster Recovery Strategy
- Primary Data Center Protection:
- Redundant systems and infrastructure components with automatic failover capabilities
- Uninterruptible Power Supply (UPS) systems with minimum [Duration, e.g., 30 minutes] runtime capacity
- Backup generator systems with minimum [Duration, e.g., 72 hours] fuel supply and automatic transfer
- Advanced fire suppression systems and comprehensive environmental monitoring
- Physical security controls including access management and surveillance systems
- Network redundancy with multiple internet service providers and diverse routing paths
- Secondary Site Operations:
- Geographically separated backup data center located minimum [Distance, e.g., 100+ miles] from primary site
- Real-time data replication for all critical systems and databases
- Standby infrastructure capable of supporting minimum [Percentage, e.g., 80%] of production capacity
- Alternative network connectivity and communication systems with redundant paths
- Pre-positioned equipment and supplies for extended operations up to [Duration, e.g., 30 days]
- Automated failover procedures for critical applications and services
- Cloud-Based Recovery Infrastructure:
- Cloud infrastructure for scalable and elastic recovery capabilities
- Hybrid cloud strategy combining on-premises and cloud resources for optimal resilience
- Multi-cloud approach to avoid single vendor dependency and geographic concentration
- Infrastructure-as-Code (IaC) templates for rapid environment provisioning
- Automated failover and recovery procedures using cloud-native capabilities
- Data sovereignty and regulatory compliance validation in all cloud environments
3.1.2 System Classification and Recovery Requirements
- Critical Systems (Tier 1):
- Recovery Time Objective (RTO): [Duration, e.g., 4 hours] maximum downtime
- Recovery Point Objective (RPO): [Duration, e.g., 15 minutes] maximum data loss
- 24/7 monitoring and immediate response capabilities
- Real-time replication and automated failover
- Dedicated disaster recovery infrastructure and personnel
- Important Systems (Tier 2):
- Recovery Time Objective (RTO): [Duration, e.g., 24 hours] maximum downtime
- Recovery Point Objective (RPO): [Duration, e.g., 1 hour] maximum data loss
- Business hours monitoring with 4-hour response time
- Near-real-time replication and semi-automated recovery
- Shared disaster recovery infrastructure with priority allocation
- Standard Systems (Tier 3):
- Recovery Time Objective (RTO): [Duration, e.g., 72 hours] maximum downtime
- Recovery Point Objective (RPO): [Duration, e.g., 4 hours] maximum data loss
- Scheduled monitoring with next business day response
- Daily backup and manual recovery procedures
- Standard disaster recovery infrastructure and procedures
3.2 Data Backup and Recovery Systems
Comprehensive data backup and recovery systems shall ensure the protection and rapid restoration of all critical information and systems.
3.2.1 Backup Strategy and Implementation
- 3-2-1 Backup Rule Implementation:
- 3 copies of all critical data maintained at all times
- 2 different media types for backup storage (disk, tape, cloud)
- 1 offsite location geographically separated from production systems
- Additional air-gapped backup for ransomware protection and compliance
- Backup Frequency and Retention:
- Real-time replication for Tier 1 critical systems and databases
- Hourly incremental backups for Tier 2 important systems
- Daily full backups for all production systems with synthetic full backup capabilities
- Weekly full system backups with long-term retention for compliance
- Monthly archive backups for historical data and regulatory compliance
- Retention policies aligned with business requirements and regulatory mandates
- Backup Encryption and Security:
- All backup data encrypted at rest using AES-256 or equivalent encryption
- Encryption key management through dedicated key management systems
- Backup data transmission encrypted using TLS 1.3 or equivalent protocols
- Access controls and audit logging for all backup systems and operations
- Backup media secured with physical and logical access controls
3.2.2 Backup Testing and Validation
- Regular Backup Validation:
- Daily automated validation of backup completion and integrity
- Weekly restore testing for critical system backups and databases
- Monthly comprehensive restore testing for all backup systems
- Quarterly disaster recovery testing with full system restoration
- Annual comprehensive validation of all backup and recovery procedures
- Backup Integrity and Monitoring:
- Automated backup monitoring and alerting for failures or anomalies
- Backup integrity validation using checksums and hash verification
- Regular analysis of backup performance metrics and trends
- Automated notification of backup failures with immediate escalation
- Documentation of all backup validation activities and results
3.3 System Recovery and Restoration Procedures
Systematic technical recovery procedures shall guide the restoration of IT systems and services following disasters or disruptions.
3.3.1 Recovery Activation and Procedures
- Disaster Declaration and Activation:
- Formal disaster declaration process with clear activation criteria
- Technical assessment of system impact and recovery requirements
- Activation of appropriate recovery procedures based on system classification
- Coordination with Business Continuity Management team as defined in RES-POL-002
- Documentation of all activation decisions and technical assessments
- Recovery Sequence and Prioritization:
- Phase 1: Critical infrastructure and network connectivity restoration
- Phase 2: Core business systems and databases recovery
- Phase 3: Supporting applications and services restoration
- Phase 4: Complete system functionality and performance validation
- Dependencies mapping and coordinated recovery of interconnected systems
3.3.2 Technical Recovery Procedures
- Infrastructure Recovery:
- Network connectivity and communication systems restoration
- Server and compute infrastructure recovery using automated procedures
- Storage systems and database recovery with integrity validation
- Security systems and monitoring infrastructure restoration
- Load balancing and performance optimization configuration
- Application and Data Recovery:
- Application restoration using automated deployment procedures
- Database recovery with point-in-time restoration capabilities
- Data integrity validation and consistency checking
- Application configuration and customization restoration
- User access and authentication systems recovery
- Recovery Validation and Testing:
- Comprehensive system functionality testing and validation
- Performance testing and capacity validation
- Security controls validation and vulnerability assessment
- User acceptance testing and business process validation
- Documentation of all recovery activities and validation results
3.4 Cloud Disaster Recovery and Hybrid Operations
Specialized disaster recovery procedures shall address cloud-based systems and hybrid infrastructure environments.
3.4.1 Cloud-Based Disaster Recovery
- Cloud Infrastructure Recovery:
- Multi-region cloud deployment for geographic redundancy
- Automated cloud resource provisioning using Infrastructure-as-Code
- Cloud-native backup and recovery services integration
- Cross-cloud replication for vendor diversification
- Elastic scaling for disaster recovery capacity management
- Hybrid Cloud Recovery:
- Seamless failover between on-premises and cloud environments
- Data synchronization and replication across hybrid infrastructure
- Network connectivity and VPN recovery for hybrid operations
- Identity and access management integration across environments
- Consistent security policy enforcement in hybrid recovery scenarios
3.4.2 Container and Microservices Recovery
- Containerized Application Recovery:
- Container orchestration platform disaster recovery procedures
- Container image backup and restoration processes
- Persistent volume backup and recovery for stateful applications
- Service mesh and networking recovery procedures
- Container security and policy restoration
- Database and Storage Recovery:
- Database cluster recovery and replication management
- Distributed storage system recovery and data consistency validation
- Message queue and event streaming system recovery
- API gateway and service discovery recovery procedures
- Data pipeline and ETL process recovery and validation
3.5 Recovery Monitoring and Performance Management
Comprehensive monitoring and performance management shall ensure effective disaster recovery operations and continuous improvement.
3.5.1 Recovery Monitoring and Metrics
- Key Performance Indicators (KPIs):
- Recovery Time Objective (RTO) achievement and measurement
- Recovery Point Objective (RPO) achievement and data loss assessment
- System availability and uptime metrics during recovery
- Recovery procedure execution time and efficiency metrics
- Resource utilization and capacity metrics during recovery operations
- Real-time Monitoring and Alerting:
- Continuous monitoring of disaster recovery infrastructure and systems
- Automated alerting for recovery procedure failures or delays
- Performance monitoring and capacity management during recovery
- Security monitoring and threat detection during recovery operations
- Integration with SIEM systems for comprehensive security monitoring
3.5.2 Post-Recovery Analysis and Improvement
- Recovery Assessment and Analysis:
- Comprehensive technical analysis of recovery procedure effectiveness
- Performance metrics analysis and comparison with objectives
- Root cause analysis of any recovery failures or delays
- Cost analysis and resource utilization assessment
- Technology infrastructure and procedure improvement recommendations
- Continuous Improvement Implementation:
- Regular updates to disaster recovery procedures based on lessons learned
- Technology infrastructure improvements and capacity enhancements
- Automation enhancement and procedure optimization
- Staff training and skill development for improved recovery capabilities
- Integration of new technologies and best practices
4. Standards Compliance
5. Definitions
See Annex: Glossary
6. Responsibilities
| Role | Responsibility |
|---|---|
| IT Recovery Team Lead | Lead technical disaster recovery activities, coordinate system restoration efforts, manage recovery team resources, and ensure adherence to recovery procedures and timelines. |
| System Administrators | Implement system recovery procedures, restore servers and infrastructure, validate system functionality, monitor recovery progress, and document recovery activities. |
| Database Administrators | Perform database recovery procedures, validate data integrity, coordinate database replication, manage backup restoration, and ensure database security during recovery. |
| Network Engineers | Restore network connectivity and infrastructure, configure failover systems, validate network performance, coordinate with ISPs and vendors, and ensure network security. |
| Cloud Engineers | Manage cloud-based disaster recovery, coordinate multi-cloud operations, implement automated recovery procedures, manage cloud resource scaling, and ensure cloud security compliance. |
| Security Engineers | Validate security controls during recovery, monitor for security threats, ensure compliance with security policies, coordinate security incident response, and maintain audit trails. |
| DevOps Engineers | Implement automated recovery procedures, manage CI/CD pipeline recovery, coordinate application deployment, manage containerized recovery, and maintain infrastructure automation. |
| IT Management | Provide strategic direction for recovery efforts, coordinate with business units, manage vendor relationships, ensure resource allocation, and communicate recovery status. |
| All IT Personnel | Follow disaster recovery procedures, participate in recovery testing and training, report technical issues, support recovery efforts as assigned, and maintain recovery documentation. |