The General Data Protection Regulation (GDPR) sets strict requirements for organizations that process and store personal data of EU citizens. Backup and archival processes must comply with GDPR principles to avoid heavy fines. This article examines key GDPR backup rules on data security, retention, deletion, and cross-border transfers.
What is GDPR?
The GDPR is a data privacy regulation adopted by the European Union in 2016. It aims to give EU citizens more control over their personal data and impose obligations on organizations that process this data. The regulation applies to all companies processing EU citizens’ data, regardless of location.
GDPR sets strict requirements for obtaining valid consent, data minimization, purpose limitation, and individual rights like access and erasure. Organizations must implement data protection by design and default. They must also report data breaches within 72 hours and conduct Data Protection Impact Assessments for high-risk processing.
GDPR violations can lead to fines of up to €20 million or 4% of global annual turnover, whichever is higher. With such severe penalties, organizations must ensure full compliance, including for backup and archival activities.
Why are backup rules important in GDPR?
GDPR requires organizations to implement appropriate technical and organizational measures to ensure data security. Backups containing personal data must be protected from unauthorized access, accidental deletion, and physical damage. Without proper backup security, organizations risk data breaches and GDPR non-compliance.
GDPR also regulates data retention periods. Organizations can only keep personal data for as long as necessary to fulfil the original processing purpose. Backup data is subject to retention rules and must be permanently deleted afterward. Over-retaining personal data raises compliance issues.
Finally, GDPR restricts transferring personal data outside the EU unless certain conditions are met. Backups containing EU citizen data typically cannot be stored in third countries without adequate safeguards like Standard Contractual Clauses (SCCs).
By following GDPR requirements for backup security, data minimization, and cross-border data transfers, organizations can avoid substantial penalties and harm to data subjects.
What are the GDPR data security rules for backups?
GDPR Article 32 requires implements appropriate technical and organizational measures to ensure data security. For backups, key requirements include:
- Encrypting backup data, both in transit and at rest
- Storing backups in secure facilities with physical access controls
- Restricting backup access to authorized personnel
- Maintaining documented backup procedures and policies
- Regularly testing backup and restoration processes
- Ensuring backups are protected from ransomware and malware
Organizations must use state-of-the-art backup security controls aligned to data protection risks. Controls should be regularly reviewed and updated as needed. A well-designed 3-2-1 backup strategy is essential for GDPR compliance.
Encryption
Encryption prevents unauthorized access to personal data in backups. Best practices include:
- Encrypting backup data in transit over networks
- Encrypting backup data at rest on media like tapes and disks
- Storing encryption keys securely to prevent unauthorized decryption
- Encrypting laptop and mobile device backups
- Using cryptographic erasure for end-of-life backup media
Access controls
Organizations must limit backup access to staff needing it for job duties. Recommendations include:
- Using role-based access controls (RBAC) to restrict unnecessary access
- Implementing multi-factor authentication (MFA) for backup infrastructure
- Monitoring and logging backup user activities
- Conducting periodic user access reviews
- Disabling inactive backup accounts promptly
Physical security
Backup media like tapes must be stored securely. This involves measures like:
- Storing backups in locked rooms or cabinets with swipe card access
- Using CCTV monitoring and entry logs for backup storage areas
- Transporting backup media securely between sites
- Destroying decommissioned backup tapes or disks
Testing and auditing
Backup systems and processes require ongoing testing and auditing. Key activities include:
- Testing backup and restoration regularly, both onsite and offsite
- Testing disaster recovery plans involving backups
- Auditing backup management procedures
- Assessing backup security controls with vulnerability scanning
- Conducting physical data center and facility audits
What are the GDPR retention rules for backup data?
GDPR Article 5(1)(e) limits data retention to specified, explicit purposes. Organizations must define retention periods for personal data and delete it when no longer needed. Backups containing EU citizen data face the same strict requirements.
To comply, organizations should:
- Document backup data retention policies aligned to business needs
- Classify backups by contents and link retention periods to each class
- Identify outdated backups for deletion once retention periods expire
- Use backup software expiration features to automate deletion
- Destroy backup media securely at end-of-life with techniques like degaussing
For example, financial transaction backups may require a 7-year retention period for tax purposes. Marketing database backups might have a 3-month retention period. Organizations must conduct regular data audits to validate backup expiry practices.
Backup cataloging
Maintaining a catalog of backup copies can simplify retention management. The catalog should include details like:
- Backup dates
- Contents summary, like database or fileserver backup
- Unique backup ID
- Backup media, like tape barcode
- Associated retention period
- Expiry date based on retention period
With an accurate catalog, organizations can easily identify backups for deletion when retention periods expire. Cataloging backup copies is an important GDPR compliance control.
Legal holds
Normal deletion may be suspended for backups under legal hold for investigation or litigation purposes. Organizations should:
- Implement legal hold policies that can freeze backup deletion
- Formally document the scope and reasons for legal holds
- Resume normal deletion once legal holds end
How does GDPR regulate cross-border data transfers of backups?
GDPR restricts transferring personal data outside the EU. Backups containing EU citizen data usually cannot be stored in third countries without adequate safeguards (Article 44-50). Forbidden practices include:
- Storing EU backup copies using US public cloud services, unless they have joined EU-approved frameworks like the Privacy Shield
- Replicating backups of EU data to overseas group company data centers
- Shipping backup tapes to facilities outside the EU
To transfer backups abroad legally, organizations must implement appropriate mechanisms like:
- Standard Contractual Clauses (SCCs) between exporter and importer
- Binding Corporate Rules (BCRs) for intragroup transfers
- GDPR certification of importing countries for adequate data protection
Obtaining data subject consent is not usually enough to justify cross-border data transfers. Backups covered by GDPR must remain within the EU unless additional transfer mechanisms are applied.
What are the penalties for violating GDPR backup rules?
GDPR enforcement focuses on using penalties as a “last resort” to achieve compliance. However, the regulation permits steep fines up to 4% of global revenue for serious violations. Unauthorized access, failing to delete expired data, and unlawful data transfers could trigger major penalties.
In addition to fines, GDPR breaches can seriously damage an organization’s reputation. Mishandling backups containing large volumes of personal data may also result in class action lawsuits. Proper implementation of backup controls is critical for GDPR compliance.
Conclusion
GDPR ushered in a new era of data protection by expanding individual rights and imposing strict obligations on organizations. Backups containing EU citizen data must comply with GDPR security, retention, and transfer rules or risk substantial fines. By implementing state-of-the-art backup controls tailored to GDPR, organizations can avoid penalties while also building customer trust.