ITD BACKUP MANAGEMENT PROCEDURE

(1)

The electronic version of this document is the latest version. It is the responsibility of the individual to ensure that any paper material is the current version. Printed material is uncontrolled documentation.

Page 1 of 10 Rev. 5

ITD BACKUP MANAGEMENT PROCEDURE

PURPOSE

The purpose of this document is to ensure that effective and efficient processes are in place to identify and safeguard data required to run and support applications in the IT portfolio. The duties and responsibility of all parties involved in the maintenance of UL backup routines are identified and defined.

The procedure has been broken down to three key activities: 1. Adding or removing a server to/from the backup schedule 2. Adding or removing content from a backup

3. Operational backup checks

The steps and responsibilities for these activities are as follows.

1. ADDING OR REMOVING A SERVER TO/FROM THE BACKUP SCHEDULE

Step Details Responsible

1. If a server needs to be added or removed to/from the

backup routine the SERVER BACKUP – INCLUSION/

EXCLUSION FORM- APPENDIX 1 must be completed and submitted to the Backup Manager by raising a ticket in RMS.

Application Manager

2. Where a server is being removed from the backup schedule permanently, approval for the removal must be granted by the Deputy Director ITD.

Application Manager 3. The change to the backup routine should be

completed within five working days from the date of receiving the completed form from the Application Manager.

For additions to the backup schedule, the new backup must be closely monitored for continued success for a period of no less than 3 days.

Backup Manager

4. Once actioned the INCLUSION/EXCLUSION form will

be uploaded to SharePoint. A communication must be sent to the Application Manager indicating that the server has either been successfully added to or removed from the backup schedule.

Backup Manager

5. The change to the backup schedule must be reflected in all regular reports (see section 3 below) that are distributed to Application Managers.

Backup Manager 6. The regular backup reports must be checked to

ensure that the required change to the backup schedule has been made and that the backup is completing successfully if it is an addition.

Application Manager

(2)

7. The Backup Manager should be contacted if failures are occurring in any backups in order to troubleshoot and rectify these failures. This should take the form of a ticket in RMS.

Application Manager

8. The Backup Manager will assist the Application Manager to troubleshoot and resolve the issue as quickly as possible.

Application & Backup Manager

2. ADDING OR REMOVING CONTENT FROM A BACKUP

1. The form APPENDIX 3: BACKUP REVIEW FORM

must be used to add or remove any backup locations from the application server to keep backups current. The form must be sent to the Backup Manager by raising a ticket in RMS.

Application Manager

2. The change to the backup routine should be

completed within five working days from the date of receiving the completed form from the Application Manager.

The data components backed up on each server will be adjusted accordingly based on the forms submitted.

Backup Manager

3. A communication must be sent to the Application Manager indicating that the change to the backup of the server has been completed successfully.

Backup Manager 4. The regular backup reports must be checked to

ensure that the change to the backup of the server is included in the backup schedule and that the backup is completing successfully.

Application Manager

(3)

Page 3 of 10 Rev. 5

3. OPERATIONAL BACKUP CHECKS

1. Reports must be distributed to the Application Managers as follows:

Daily Backup Job Summary Report Monthly Backup Content Report

Backup Manager

2. Application Managers should ensure that the server hosting the application they manage is being backed up successfully by checking the Daily Backup Report.

Application Manager

3. The Monthly Backup Content report must be checked

every month to ensure that what is being backed up on the server they manage is correct.

Application Manager 4. Application Managers must also ensure that what is

being backed up on the server is sufficient to

implement a full restore of the application to operating capacity if a complete hardware failure and data loss occurred

Application Manager

5. All backup equipment must be monitored to ensure it is working effectively including the loading, rotating, removal and storage of tape media in line with the University data retention policy and ITD’s Server Management Procedure

Backup Manager

6. Check the backup process on a daily basis to monitor for any global failures or system faults (eg space running out, mount path issues, large number of backup jobs failing).

Backup Manager

7. An email distribution list will be maintained of all Application Managers.

In the case of any errors the Application Managers will be sent a communication via email identifying that an issue has occurred and is being investigated. When the issue is resolved the backup Manager will again email the distribution list to notify what was the nature of the issue and to notify that it has been resolved.

Backup Manager

8. The Backup Manager should be contacted if failures are occurring in any backups in order to troubleshoot and rectify these failures by raising a ticket in RMS.

Application Manager 9. On receipt of verbal or written notification from an

Application Manager relating to a backup failure or issue they are unable to resolve, the backup Manager will assist the Application Manager to troubleshoot and resolve the issue within one working day.

Backup Manager

10. If backup issues and failures cannot be resolved, Application Managers should escalate the issue to their Section Head so that there is awareness that a system is at risk.

Application Manager

(4)

11. Section Heads should raise the issue with the Head of Technology Solutions. If the issue can still not be resolved it should be further escalated to the Deputy Director and raised as a ‘Problem Call’ at the ITD Management Meeting

Section Heads

12. The Backup Manager will also assist Application Managers to carry out test or production data restores on request.

Production data restores will most likely need to be carried out on an urgent basis (especially for P1 systems).

Test data restores should be arranged with a minimum of 4 days’ notice (enforceable at the discretion of the Backup Manager). A test restore can be carried out at the time of a ‘real’ production restore, but a period of no more than 12 months should elapse between

restores. The test restore should be documented using

APPENDIX 2: APPLICATION TEST RESTORE FORM and uploaded to the relevant SharePoint site indicated on the Form

Application & Backup Manager

13. The Backup Manager will maintain an archive in their email client of the daily backup reports sent from the CommVault application

Backup Manager

(5)

Page 5 of 10 Rev. 5

DEFINITIONS

For the purposes of this document, the terms, “Application Manager”, “Backup Manager” and “Server” are defined below:

Application Manager

An “Application Manager” is defined as the person responsible for the running of an application or maintaining data on a server, under this procedure their responsibilities are outlined in the above sections.

Note: Where ITD facilitates the backup of an application where the

management of that application is outside of ITD (eg RIS, Kinetics etc ) either: a) A person within ITD will be assigned to check the success or failure of

backups on a daily basis and carry out appropriate liaisons to resolve any issues ;or

b) The Application Manager in the external division will be given access to the daily backup reports to allow them to take on the role of Application Manager.

The adopted arrangement must be clearly defined in an SLA with the external department.

Backup Manager

The Backup Manager is responsible for the effective operation of the institution backup processes as outlined above and is also responsible for:

 Setting and monitoring appropriate tape retention periods as per the University data retention policy

 Managing the physical hardware and software configurations including tape loading and replacement as required to maintain effective backup routines, including tape drive cleaning and maintenance

 Ensure adequate and timely backup software licences and support contracts are maintained to maintain services

 Tape storage and retrieval in line with data retention guidelines

 Monitor new and emerging trends to ensure UL’s backup strategy is up to date and effective, this may include suggesting product

enhancements or changes related to the current or new systems.

Server

A "server" is defined as either a physical or virtual computer system that is connected to the UL campus network and provides services to multiple individuals at the same time.

(6)

RECORDS

Backup records are held in CommVault and can be made available on request

Copies of emailed reports are maintained by the Backup Manager

Copies of the completed forms used in this procedure are held in SharePoint at the links below:

APPENDIX 1- SERVER BACKUP – INCLUSION/ EXCLUSION FORM APPENDIX 2: APPLICATION TEST RESTORE FORM

APPENDIX 3: BACKUP REVIEW FORM

PROCESS VERIFICATION

Evaluation of process effectiveness is carried out using Internal / External Quality Audits and the Corrective Action process where the procedure itself is found to be the source of the problem under investigation.

(7)

Page 7 of 10 Rev. 5

APPENDIX 1: SERVER BACKUP – INCLUSION/ EXCLUSION FORM

SECTION: ____________________________

DATE COMPLETED: ____________________

Server Name Application(s) on server Name of person responsible for Application ADD or REMOVE from backup

SERVER REMOVAL REQUIRES APPROVAL BY DEPUTY DIRECTOR ITD

DEPUTY DIRECTOR ITD: _____________________________

(8)

APPENDIX 2:

APPLICATION TEST RESTORE FORM Name of Server: Your Name: Name of Application: Date: Type of Restore

Live Production Restore Test Restore

Restored to

Test/ Dev Server Production Server

Details

Location of data restored (ie path name from production server)

Drive:\..\..\

Was the restore from tape or disk? Tape/ Disk

Approximate size of data restored in Megabytes?

MB

Was the restore Successful? YES/ NO

Was the data / tape easy to locate?- if not please give details

YES/ NO (details) Any there comments

Any lessons learnt or things that would be done differently next time?

(9)

Page 9 of 10 Rev. 5

APPENDIX 3: BACKUP REVIEW FORM

Name of Server:

Your Name:

Name of Application:

General requests for changes to backup route (eg frequency , backup type etc)

Implemente d ( Y/N)

List of locations to ADD to the backup process Notes Comments Implemented ( Y/N)       

List of locations to REMOVE the backup process

Notes Comments Implemented

( Y/N)        Other Comments Application Manager Backup Manager

(10)

Revision No. Date Approved by: Details of Change

1 10 April 2015 Ian McKenzie New Document

2 01 July 2015 Ian McKenzie External application management

added in ‘Application Manager Definition’

3 20 August

2015

Brendan Dore Restructured the document based on

key activities.

Included timelines for completion of key steps.

Amended the definitions of application manager & backup manager

4 16

September 2015

Brendan Dore Incorporated feedback received from the ITD Management team:

 Removal of server backups

requires signoff by Deputy Director ITD

 Addition of a server backup should be closely monitored by the Backup Manager for at least 3 days

 Reordered purpose statement

to put first focus on protection of data

5 30

September 2015

Brendan Dore Included RMS as a means of raising issues to the Backup Manager.