Example Back Up
Policy
Produced by: Information Facilitators
Date:July 2005
Version: 1.3
Document status: Active
Date effective from: December 2004
Date of review: July 2006
This document is based on Model Back up Protocol by Becky
Gayler, Sussex Downs and Weald PCT
Example Back Up Policy
Document version control
Number Date issued Issued to Comments
v1.0 01 December PRIMIS Steering Group 1st draft for comment
2004
V1.1 15 December PRIMIS Steering Group Amendments
2004 following review
V1.2 April 2005 Add appointment
back up details
V1.3 July 2005 Amend details to
include nGMS
requirements
Page 2 of 11 v1.3 July 2005
Example Back Up Policy
Summary
This example policy may be adapted for use by practices to suit their
individual requirements. This protocol should form part of your practice
Information Security / Governance Policy. Items in square brackets are for
completion by the practice.
Page 3 of 11 v1.3 July 2005
Example Back Up Policy
Contents
Summary........................................................................................................................3
Contents .........................................................................................................................4
1 Introduction.................................................................................................................5
2 Frequency and Timing of Backups.............................................................................5
3 Backup Rota................................................................................................................5
4 Verification of Backup Status ....................................................................................5
5 Backup Log.................................................................................................................6
6 House-keeping of the Backup System.........................................................................6
7 Managing Backup Failure...........................................................................................6
8 Storage of Backup Tapes.............................................................................................6
9 Validation of Backup Tapes........................................................................................7
10 Management of Tapes...............................................................................................7
11 Practice Software.......................................................................................................7
Appendix 1 Back-Up Appointment System EMIS......................................................8
Back-Up Appointments To Floppy Disc........................................................................8
View Appointments On PC............................................................................................9
Appendix 2 Back-Up Appointment System Vision......................................................9
Appendix 3 Example Backup Log.............................................................................11
Page 4 of 11 v1.3 July 2005
Example Back Up Policy
1 Introduction
The practice is responsible under the Data Protection Act for ensuring
that all personal and identifiable data is recoverable in the event of
accident loss or damage.
The policy was last reviewed on [date] and will be reviewed again on
[date] by the practice Information Security / Governance Lead [name].
2 Frequency and Timing of Backups
A full back up of practice data is taken every day including:
• All clinical records and system audit trail¹
• All files held on the [specify] area of the network²
The backup is scheduled to run automatically at [time] daily.
The following should also be backed up where these are held on
computer. However, a separate backup routine may be required which
should also be detailed in this policy.
• Appointments
• Payroll
• Files held elsewhere on the network
• Other relevant software
3 Backup Rota
[Insert name of practice staff] and [deputy] are responsible for :
1. Changing tapes: inserting tape at close of day and
removal of tape first thing in the morning, from the
backup unit – see attached instructions³
2. Storing the backup tapes
3. Checking the backup has been successful
4. Managing a backup failure
5. Maintaining the backup log.
The rota should include clear deputising arrangements for cover in the
event of staff absence (both planned and unplanned).
¹Practice with managed server system will have data backed up centrally by
the supplier
²Please check which areas of the network are included in the backup e.g.
clinical server / shared directory etc. – this will depend on your clinical
system.
³Practice to add step-by-step instructions on how to change tapes
4 Verification of Backup Status
The designated member of staff must check the backup status on the
Page 5 of 11 v1.3 July 2005
Example Back Up Policy
system first thing each morning and report any failures to the practice
manager and system supplier.
5 Backup Log
A daily backup log (see attached example) is issued to keep a report of
backups, their status, which tapes are used and housekeeping of the
backup system. These logs are stored in [specify location].
6 House-keeping of the Backup System
Regular maintenance of the backup device is carried out to ensure it is
kept in good working order.
Cleaning tapes are used in accordance with manufacturer’s
instructions. DLT tape drives should be cleaned monthly or more often
if the cleaning light is illuminated.
7 Managing Backup Failure
In the event of an unsuccessful backup, the staff responsible for
checking the backup must immediately:
1. Note any messages / information on the server monitor
2. Contact [system supplier name and helpline number] to report
the failure
3. Report the failure to the practice manager
4. Record the failure in the backup log and any actions taken as a
result
5. Clean the tape drive using the manufacturer’s recommended
cleaning cartridge
6. Check the age of the tape used. Destroy tape and replace if
near or over its age limit
7. If the backup fails repeatedly, it may be necessary to perform a
manual backup. This takes time, and must be performed when
all users are logged out.
8 Storage of Backup Tapes
The backup tapes when removed from the server are stored securely
in a locked fire-proof media safe in [specify location] at the practice.
Every [specify day(s) of the week] the tape is taken off-site when
removed from the server and stored in a fire-proof media safe at
[name of custodian: bank, solicitor, another practice (but not next
door)]. At the same time, the tape deposited [two or three] weeks
previously will be collected and returned to the practice media safe for
reuse the following week. A spare key / combination to the practice
media safe is stored at the off-site location.
Page 6 of 11 v1.3 July 2005
Example Back Up Policy
At any time there should be:
• [Two or more, depending on tape rotation] complete backup
tapes (both less than four days old) stored on the practice
premises
• [Two or more, depending on tape rotation] complete backup
tapes (both less than fifteen days old) stored off-site at a secure
location.
9 Validation of Backup Tapes
A backup tape is validated by [clinical system supplier] every 3 months.
As part of this process the supplier will check to ensure data can be
fully restored from the tape.
10 Management of Tapes
Tapes are clearly labelled with a [number or day of the week] and used
in strict rotation to ensure even wear and immediate identification of
any problems with a specific tape.
An example of a typical backup cycle:
All data is backed up to tape on a daily basis overnight Monday to
Friday. A cycle of three complete weeks tapes are used in rotation (15
tapes). Each month one tape is removed from the cycle and kept for 4
months (4 tapes). This means that a total of 19 tapes are required for
this backup cycle.
Tapes must be replaced at the first sign of deterioration. Tapes are
labelled to show age, and date due for replacement 4, according to the
manufacturer’s recommendations.
Old tapes are reformatted or physically disrupted so as to render any
data on them unrecoverable.
Tapes left in the server over the weekend are used three times instead
of once a week. This additional wear is taken into account when
determining its replacement date.
4
DDS Tape Drives: tapes should be replaced after 6 months of use
DLT Tape Drives: Cartridges should be replaced every 2 years. If the
practice is using two weekly sets of tapes, time to replacement will be
approximately double.
11 Practice Software
Only the following member(s) of staff are authorised to load software
onto any part of the practice network: [name of staff]. Any other
member of staff found to be loading software without authorisation may
be subject to disciplinary procedures.
Page 7 of 11 v1.3 July 2005
Example Back Up Policy
[Member of staff] will ensure that all staff are aware of this by [signing
policy, induction etc].
Original copies of practice software and licensing agreements are
stored in the fireproof media safe.
Appendix 1 Back-Up Appointment System EMIS
Back-Up Appointments To Floppy Disc
Ensure a floppy disk is inserted into the floppy drive of the EMIS server.
On EMIS choose options:
AO – advance options
AM – appointment maintenance
B - backup appointments to floppy disk
Page 8 of 11 v1.3 July 2005
Example Back Up Policy
If you want to accept the defaults i.e. backup all clinicians, all sites for the
next 3 days choose option:
A – back up specified appointment to floppy disk
If you want to change of the above e.g. to change the number of days backed
up choose option
C – change appointment configuration
Enter details you want to change
When you are satisfied choose option A to back up appointments to floppy
disk
View Appointments On PC
To view appointments on PC, take floppy disk out of the server and put into
one of the PCs.
Explore A drive
Double click on appoint.bak
You may get message, windows cannot open file.
Select program from the list.
Choose Excel
Appendix 2 Back-Up Appointment System Vision
THESE INSTRUCTIONS SHOULD ONLY BE USED FOR STANDALONE
VISION SYSTEMS. PRACTICES ON A SHARED SERVICE SHOULD
CONTACT VISION FOR ADVICE.
These instructions back-up appointments onto a PC or floppy disk and could
be used in case of server failure, network failure or power failure.
Page 9 of 11 v1.3 July 2005
Example Back Up Policy
Select workstation to run back-ups on. This should be on a PC that is used
throughout the day. The back-up will not work unless someone has logged
onto Vision on that workstation. The backup will not work unless someone
has logged onto Vision on that PC.
On selected workstation start Vision.
Select appointments, maintenance, system constants
Choose tab which says back-ups.
Tick from this workstation
Enter interval to back-up e.g. every 5 minutes, 30 or 60
Enter filename, the default is c:\appt_back.txt. You could choose to back-up
to floppy disk so in the event of a power failure the appointment system could
be printed from a laptop or member of staffs PC. This does take a little longer
to back-up. You may want to consider setting up one workstation to back-up
the entire appointment book once or twice a day onto floppy disk, whilst
another workstation backs up a smaller time frame e.g. the next weeks
appointments every 10 minutes.
To view or print the appointment list, browse to the location of file e.g.
c:\appt_bak.txt or a drive. Open file
If you want to print you should change the font to make it easier to read.
From the menu choose edit, select all, format, font. Choose courier.
From the menu choose File, Print
Page 10 of 11 v1.3 July 2005
Appendix 3 Example Backup Log
Week Day Drive Tape Date Tap Tape Date Location of Backup Status Action Taken Where Backup
Beginnin Cleaned Inserted by e Removed by tape (Complete / Failed
g No. Failed)
Monday
Tuesday
Wednesda
y
Thursday
Friday
Saturday
Monday
Tuesday
Wednesda
y
Thursday
Friday
Saturday
