Backup Controls

Aira Vicencio
Marian Samiley

Backup Controls
A backup is a duplicate of a file
Backup is the activity of copying files or databases so that they will
be preserved in case of equipment failure or other catastrophe.
Controls provide reasonable assurance that data is backed up and
management procedures are appropriate.

Controls may not provide reasonable assurance that data is backed up and
that data management procedures are appropriate. If controls relating to
data backup and management are not adequate, it increases the risk that:
(1) Historical records may be unavailable or inaccurate;
(2) IS&T personnel may not be able to restore and recover systems in the
event of an operating incident or erroneous processing;
(3) The procedures that are followed to archive data may not satisfy legal and
regulatory requirements; and,
(4) The procedures followed to manage and control data backups may be
inferior to controls for on-line data leading to sensitive data being damaged,
lost, modified or inappropriately disclosed.

Backup Options/Techniques
The backup technique to be employed in an organization is
dependent on the media and file structure.
1. Grandparent-Parent-Child (GPC) Backup
2. Direct Access File Backup
3. Off-site Storage

Grandparent-Parent-Child (GPC) Backup

Used in the case of sequential file batch system
The backup procedure begins, when the current master file (the
parent), is processed against the transaction file, to produce a new
updated master (child).
With the next batch of transaction, the child becomes the parent
(current master file) and the parent becomes the backup
(grandparent). The new master file that is updated, becomes the
child.
This procedure continues, with each new batch of transactions,
creating a series or generations of backup files.

 When the desired number of backup copies is reached, the oldest

backup is erased. In this case, if the current master file is deleted,
then the same can be processed from the current transaction file.
Number of backup files needed for each application is depedent on
two factors
1) the relative sensitivity or importance of the application to the
organization
2) The degree file activity (the number of times the master file gets
updated)

Direct Access File Backup

Data values in direct access files are changed in place through a
process called destructive replacement
Once a data value is changed, the original value is destroyed leaving
only one version (the current version) of the file. To provide backup,
direct access files must be copied before being updated.
Real-time systems use timed backup. Transactions processed
between backup runs will need to be reprocessed after restoration
of the master file.
In a batch processing system using direct access files, the master file
is backed up before the update run.

 The time of direct access back up will depend on the processing

method being used.
If the current version of the master file is destroyed through a disk
failure or corrupted by a program error, it can be recontstructed
with a specila recovery program from the most current backup file.

Off-site Storage
As an added safeguard, backup files created under both the GPC
and direct access approached should be stored off-site in a secure
location.

Audit Objective Relating to Flat0file

Backup
Verify that backup controls in place are effective in protecting data
files from physical damage, loss, accidental erasure, and data
corruption through system failures and program errors.

Audit Procedures for Testing Flat-file

Backup Controls
Sequential File (GFC) Backup. The auditor should select a sample
o f systems and determine from the system documentation that the
number of GFC backup files specified for each system is adequate.
If insufficient backup versions exist, recovery from some types of
failures may be impossible.
Backup Transaction Files. The auditor should verify through
physical observation that transaction files used to reconstruct the
master files are also retained. Without corresponding transaction
files, reconstruction is impossible.

 Direct Access File Backup. The auditor should select a sample of

applications and identify the direct access files being updated in
each system. From system documentation and through observation,
the auditor can verify that each of them was copied to tape or disk
before being updated.
Off-Site Storage. The auditor should verify the existence and
adequacy of off-site storage. This audit procedure may be
performed as part of the review of the disaster recovery plan or
computer center operations control.