Preventing Data Loss During Backups Due to Open Files
A White Paper
For IT Managers, CTOs, and Security Administrators Concerned About Corrupt Files and the Loss Of Data During Backup
St. Bernard Software - 16882 W. Bernardo Drive - San Diego CA 92127 - Toll Free: 1-800-782-3762 www.stbernard.com
Table of Contents
Executive Summary...... 1
The Explosion in Data = Increased Potential for Data Loss...... 2
The Open File Problem: Skipped, Corrupt, or Unsynchronized Files ...... 2
Conventional Solutions to the Open File Dilemma ...... 3
Application Agents ...... 3
Generic Open File Tools ...... 4
Weighing the Alternatives: Compatibility Issues ...... 4
Weighing the Alternatives: Synchronization Methods ...... 5
The Importance of System-Wide Synchronization in Ensuring Transactional Integrity...... 5
Partial Synchronization Methods ...... 5
Limitations of File-by-File Synchronization...... 6
Limitations of Volume-by-Volume Synchronization...... 6
Limitations of Manually Grouping Files ...... 7
St. Bernard Software and Open File Manager: Bringing Closure to the Open File Problem ...... 7
Open File Manager Works with All Applications and Backup Software...... 8
Open File Manager Provides Transactional Integrity Via System-Wide Synchronization...... 8
How Open File Manager and the Backup Application Work Together ...... 8
Backup Verify Pass ...... 9
Write Inactivity Period...... 10
Open File Manager’s Copy Feature...... 10
Summary of Open File Manager’s Advantages ...... 10
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Benefits of Using Open File Manager ...... 12
Conclusion...... 13
Appendix: Backup Software Supported by Open File Manager ...... 14
NT/2000/XP...... 14
NetWare...... 14
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Executive Summary
Data integrity and redundancy have always been vital to the success of a business. But, against the backdrop of the events of 2001 and today’s 24x7x365 business environment, IT decision makers are looking at backup strategies and disaster recovery plans with an even keener eye.
With global networks, huge storage systems that maintain ever-increasing amounts of data, and a universal time zone of “now,” IT administrators can no longer schedule backup after hours, when the system is not in use. Nor can they afford to adopt backup strategies that are not trustworthy.
In short, enterprises today require backup and recovery solutions that offer maximum reliability while also supporting full productivity and efficiency. But, in order to achieve both of these goals, companies must look for tools that address an age-old dilemma – preventing data loss during backup due to open files.
Disaster recovery plans are only as good as the backup strategies that underlie them. Without an open file backup solution, organizations are at risk of losing significant amounts of data. In the end, companies must identify software that can reliably back up data while files are in use and while internal and external transactions are still in progress.
When selecting an open file solution, there are three main issues to consider:
• Application support
• Backup software compatibility
• Synchronization methods, which will determine the level of transactional integrity
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The Explosion in Data = Increased Potential for Data Loss
The quantity of mission-critical information that organizations are storing, managing, and maintaining on computers is growing at an exponential rate. According to the Hurwitz Group, by the year 2003, the average large company will store over 150 terabytes of data – which is equivalent to the storage capacity of approximately 240,000 compact discs.
With the explosion in data comes an increased potential for data loss. Because an organization’s data must be available around the clock, and its applications – its email, Web servers and transaction servers – must be up and running regardless of the time of day, a solid backup and recovery plan is more critical than ever.
Companies must ensure that data is backed up in a reliable manner, yet many backup strategies are missing one fundamental piece: The ability to ensure a full system backup without skipped, corrupt or unsynchronized files. In fact, file corruption and data loss are becoming much more common than in the past (7th Annual ICSA Lab’s Virus Prevalence Survey, March 2002). The impact of this problem is enormous, with annual costs due to lost data estimated at more than $12 billion (The Cost of Lost Data, September 1999, Pepperdine University).
The bottom line: Most organizations have a costly backup infrastructure in place to protect their critical data, but all too often these backup strategies ultimately fail.
What is needed is an open file solution that consistently captures open and in-use files without interrupting applications or continuous system operation.
The Open File Problem: Skipped, Corrupt, or Unsynchronized Files
Open files have historically been a backup administrator’s biggest challenge, as they are often skipped or corrupted during the backup process. The alternative – forcing open files closed or asking users to log out so applications can be shut down – is no longer viable.
When high availability demands 24x7 uptime on a global basis, the “backup window” – the amount of time when a system can be shut down to back it up, not only shrinks – it disappears. For most companies, there is no such thing as a clear backup window. Backups must be done when systems are up and running.
But this leads to several problems – problems that result in incomplete backups and corrupted files that compromise an organization’s most vital processes. During a backup, files that are open or in use get skipped. Some backup programs will try to access them again at the end of backup, but if the files are still open, they will be ignored, and critical data will not be backed up.
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And, even if the backup software backs up previously open files during a later attempt, synchronization problems can occur. In particular, groups of open files that contain related data at the beginning of a backup will lose relational integrity if they are changed after backup has commenced.
For example, consider a company whose customer relationship management (CRM) system is linked to the enterprise’s accounting database. As transactions occur within the CRM database – such as new customer information being added – modifications are automatically written to the accounting database. In this way, data from one system is always present and current in the other.
If these integrated databases are backed up while files are open and transactions are still going on, the backup may capture a transaction that occurred in the CRM database but, because of timing issues, it may be forced to skip the related open or locked file on the accounting database side. If there is a subsequent system failure and the files need to be restored, they will no longer match up.
Alternatively, backup software may lock users out of applications or force a backup of open files, creating a corrupt image on tape. Each of these scenarios can have staggering financial, legal, and productivity ramifications on an organization.
Conventional Solutions to the Open File Dilemma
There are two conventional ways to deal with the open file dilemma. (1) One solution is to purchase an agent that works with specific applications to solve the open file dilemma. (2) Another solution is to install a generic open file utility that provides the backup software with a “window” to the data in the open files.
Application Agents
Dedicated application agents are available for a handful of database and email applications. They typically are designed by backup software companies to support open file backup of a specific application’s data using their backup program. Because of a direct integration, they provide powerful capabilities, such as object-level restores.
Pricing typically runs from $695 to $2,995 per agent, which can be a costly investment when you consider that each dedicated application agent only works with its one defined application. Additionally, agents require ongoing maintenance, as they often must be upgraded when the application or backup software is updated.
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Generic Open File Tools
Unlike application-specific tools, generic open file tools are application agnostic. They give backup software access to open files across the board, regardless of originating software application.
However, many generic open file tools are designed to function only with a single specific backup package. If the backup package changes, or a company switches backup tools, an upgraded generic agent is often needed.
Weighing the Alternatives: Compatibility Issues
Choosing between a generic open file tool and an application-specific agent raises important compatibility issues. A major strength of generic open file tools, as compared to application agents, is that they work with all software applications.
Unfortunately, many generic open file tools are not compatible with all types of backup software. Generic open file tools that function regardless of backup package being used are therefore at a distinct advantage, especially if an enterprise frequently changes versions or types of backup software, or its primary backup package fails.
For example, consider a company that normally uses third-party software for backup purposes. If the company has deployed a generic open file tool that only works with that particular backup package, it would be unable to support other emergency backup solutions such as the standard operating system default backup utility. With a generic open file tool that works with all backup programs, the company could conduct a reliable backup even if its third-party software suddenly failed.
In addition, customers with multiple platforms (such as migrations between NetWare and NT servers) must often purchase a new generic agent license in order to protect open files on the new system.
Because of this, companies must be wary about the type of generic open file tool they choose. If they do not select wisely, they may have to obtain frequent updates to their generic open file agents or be unable to obtain complete backups using alternate backup programs.
Application-specific open file agents have different compatibility issues. Because they function only with specific applications, changes to the application or backup package might require a corresponding change in the agent. As a result, the customer is always playing catch-up, installing new software and then going through extensive testing to ensure that it is working and configured properly.
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Additionally, because they work with specific versions of specific applications and only with designated backup software, upgrading an application version or changing backup software will generally require replacing the original agent.
Weighing the Alternatives: Synchronization Methods
Another factor to consider is whether the open file solution is capable of providing system-wide synchronization, which ensures the most complete and reliable backup and restore.
The Importance of System-Wide Synchronization in Ensuring Transactional Integrity
System-wide synchronization is at the root of transactional integrity. A “transaction” is a set of multiple operations that are logically inseparable. Either all or none of the operations must occur for the system state to remain logically consistent.
If only some but not all of the changes that comprise a logical set are tracked, this is considered a “partial transaction.” Partial transactions can exist anywhere that relationships between data exist – e.g., within a single file, between files, within databases distributed across multiple volumes, between file content and file attributes, or within file system metadata.
A backup set has transactional integrity if it contains no partial transactions; and conversely, a backup set is corrupt if it does contain partial transactions.
As a simple example, consider a file that includes the text:
Our database is very valuable.
As the file is being backed up without an open file solution, the text is replaced with:
Valuable data is not corrupt!!
Since the text is modified as it is backed up, the resulting backup set may then contain:
Our database is very corrupt!!
Partial Synchronization Methods
Most open file agents are limited in their synchronization capabilities. Instead of system-wide synchronization, the best they can offer is file-by-file or volume-by-volume synchronization. In
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some cases, administrators can overcome the shortcomings of partial synchronization processes by manually grouping related files.
Limitations of File-by-File Synchronization
With file-by-file synchronization, synchronization is initiated for each open file individually when the backup application first accesses each file. The backup set will contain many synchronization points, one for each open file backed up, rather than a single point-in-time view. This does not achieve transactional integrity for data that is logically related but physically distributed between multiple files, such as databases with separate table files, separate data and index files, or separate data files and transaction logs – i.e., virtually all enterprise database management systems (DBMSs) and email systems.
Limitations of Volume-by-Volume Synchronization
Volume-by-volume synchronization uses automatic grouping of files, where a file group consists of all files that reside on the same volume. Files on different volumes are synchronized to different points in time. This addresses the impractical requirement of manually maintaining related groups, but does not address inter-application relationships between files. It also does not address intra-application relationships spanning volumes, which are very common.
A standard technique to optimize performance, particularly for DBMSs, is to distribute a file set across multiple volumes, where the volumes reside on separate physical devices. This takes advantage of the I/O parallelism (true simultaneous operation) possible across multiple physical devices. Volume-by-volume synchronization invalidates this technique, if coherent backups are to be achieved.
More generally, application data is commonly distributed across multiple volumes, even without any explicit intent to do so. Application-specific data can exist in the application’s installation directory, in its data directory, and in the system directory, which may all reside on separate volumes.
Operating systems allow directory structures to span volumes. This feature permits data sets to grow beyond the limitations of their original volumes, and beyond the administrator’s projections of capacity requirements. The feature is supported by mount points, for example, which allow one volume’s directory tree to seamlessly exist within another volume’s directory structure. Volume-by-volume synchronization will provide two points in time in this case, even though individual application data sets may transparently span the volumes.
Ultimately, volume-by-volume synchronization is appropriate and reliable only for systems that have just a single volume.
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Limitations of Manually Grouping Files
In some situations, administrators can overcome the limitations of partial synchronization processes by manually identifying groups of related files that need to be handled in a synchronized manner. This approach allows the system administrator to explicitly specify groups of files that are interrelated. The generic agent then synchronizes those files together, while still applying file-by-file synchronization to all other files on the system.
However, this approach has several shortcomings that result in corrupt backups:
• It relies on the administrator knowing precisely which files on the system are interrelated, which can be a substantial undertaking.
• It requires the administrator to constantly update group definitions, which is burdensome and often impossible.
• Relationships span applications. Any application that supports “links” to other applications’ data can create relationships that the administrator cannot foresee and protect.
St. Bernard Software and Open File Manager: Bringing Closure to the Open File Problem
Open File Manager™ by St. Bernard Software brings closure to the open file problem. Open File Manager is a partner utility that helps backup software consistently capture open and in-use files and relational applications, even if they are changing during the backup – all without locking users out of applications or forcing them to log off the network.
Open File Manager supports coherent backup of corporate data while it remains in use and serves system administrators in their most critical mission – assuring secure, efficient, round-the- clock operation of their corporate infrastructure.
With Open File Manager working alongside a company’s backup software, popular databases like Oracle and Lotus Notes, SQL servers, and email servers can be in use and running while backup occurs. Because backups can be run at any time without the risk of skipped or corrupt files, the need for a specific "backup window" has now been “closed.”
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Open File Manager Works with All Applications and Backup Software
Open File Manager is the only generic open file tool that works with all backup programs and software applications. It supports Windows NT/2000/XP and NetWare.
Open File Manager Provides Transactional Integrity Via System-Wide Synchronization
Open File Manager is the only open file tool that reliably provides total transactional integrity. It does this through “system-wide synchronization.” The process behind Open File Manager’s approach to system-wide synchronization involves identifying a point in time when no partial transactions exist in a data set. The changing, or dynamic, data is maintained in a Pre-Write Cache. These changes are tracked so that a stable point-in-time view can be presented to backup applications. In effect, Open File Manager takes a transient state of the data, as it existed without partial transactions, and makes that state persistent for at least the duration of the backup.
How Open File Manager and the Backup Application Work Together
1. Open File Manager monitors the file system for read requests coming from the backup program. When the backup application accesses the first file for backup, Open File Manager determines when there are no partial transactions pending.
2. When it discovers this state, it then begins maintaining Preview Data in a dynamically allocated Pre-Write Cache for all open files on the system. The cache is in the form of standard disk files and is distributed across all volumes in order to reduce the load on any one volume. It grows and shrinks dynamically, so that the system administrator isn’t required to pre-allocate the peak usage cache space. In comparison, other backup programs have a cache that is limited to a single volume. If the cache grows too large for one volume, or if the administrator doesn’t pre-allocate enough space, the operation will fail.
During this time, Open File Manager is constantly monitoring the file system for read requests coming from the backup program.
3. When the application reaches a part of a file that has been changed, Open File Manager substitutes the original (pre-write) data from the Pre-Write Cache to fulfill the backup request.
As the backup progresses, any file-write operation from another application goes directly to the proper file, while a copy of the Preview Data (the data that will be overwritten) is placed by Open File Manager into the Pre-Write Cache. When the backup program reaches a part of the file that has been changed during the backup of that file, Open File Manager then substitutes the original
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Preview Data from the Pre-Write Cache to fulfill the backup request. As a result, the file on tape will look exactly like it did when the backup application started.
The diagram below illustrates how Open File Manager maintains the Pre-Write Cache for use by the backup program.
File “A” is open when the backup session starts.
Open File Manager synchronizes the file system including file “A”.
A user (or application) makes a change to file “A”. The original block of data is overwritten by the change. New Data
Open File Manager first copies the original block from file “A” to a “Preview Data” file.
Preview Data File
Open File Manager delivers the original block of data to the data flow for backup.
Backup App Backup App
Backup App Preview Data File
Backup Verify Pass
Open File Manager is configurable to release the Preview Data for a file after it is backed up, after it is verified, or after the entire backup is completed. If system disk space is scarce, Open File Manager can discard the Preview Data on a file-by-file basis as soon as each file is backed up. If disk space isn’t quite so constrained, Open File Manager can hold the Preview Data after a file is backed up, then release it on a file-by-file basis upon the completion of a verify pass of each open file by the backup agent. This allows the results of the backup pass and the verify pass to agree and avoids backup log errors. Open File Manager can also be configured to hold the Preview Data until it determines that all backup activity has stopped, for all files, and the Backup Inactivity Timeout has expired. This option is particularly useful if multiple overlapping backup jobs are run for the same computer.
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Write Inactivity Period
Open File Manager uses a Write Inactivity Period (WIP) to detect when the files on a system are in a synchronized state. The WIP is measured in seconds. If data is modified more frequently than the WIP, then the modifications are treated as being related. As long as this frequency of modification persists, the data is not synchronized – it may contain only a part of a series of related modifications, and therefore must be regarded as transiently corrupt and not ready for backup.
Conversely, when modifications are separated by a period of time greater than the WIP, then the modifications are treated as unrelated, and the data is coherent. The data is synchronized and reliable for backup and restore. If the backup attempts to access a changing file before the system is synchronized, Open File Manager will delay that access, until the WIP occurs.
Open File Manager’s Copy Feature
Open File Manager can also be used to make copies of open files for system management purposes other than backup. A system manager might, for example, wish to place a copy of a live database on another machine for training or testing purposes. Normally, this cannot be done if the database is in use, and even if access is allowed, the problem of integrity over one or more files remains. The administrator can use the Open File Copy feature by simply logging into the server containing the live database, using a login ID that has been registered in the Open File Manager agent configuration (a login agent called "Open File Copy" is provided for this purpose). The system manager can then use any normal copy utility (e.g. Windows Explorer, or the DOS COPY command) to easily copy the live files.
Summary of Open File Manager’s Advantages
Open File Manager offers these advantages over other open file tools:
• Compatible with all Windows- and NetWare-supported backup software programs.
• Compatible with all Windows- and NetWare-supported software applications.
• Provides system-wide synchronization to ensure that related files are backed up together in a coherent fashion.
• Enables backup software to handle all open files without interfering with users' access to those files.
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• Distributes its dynamically-allocated cache across all volumes to reduce the load on any one volume.
• Enables uncompromised backup throughput during increased application demands on the system. If server inactivity cannot be accomplished in the designated time period for system- wide synchronization, Open File Manager defaults to file-by-file synchronization, unlike other open file tools that disable open file backup altogether.
• Includes the Open File Copy capability to copy open and dynamic files to other locations.
• Supports multiple levels of “exclude” granularity; as compared to other open file tools that only exclude at the drive level, Open File Manager will exclude at the file, sub-directory, and drive levels. This allows Open File Manager to safely work side-by-side with application- specific agents.
• Provides license flexibility. Open File Manager allows you to easily move a license from one supported operating system to another.
• Supports Microsoft Cluster Server technology, providing open file protection in high availability environments. Open File Manager automatically detects volume mounts and dismounts. Thus, volumes with open files are protected through cluster failover and failback. Additionally, if failover occurs to a system where Open File Manager is running during a backup, it will automatically un-synchronize and then re-synchronize, allowing the new volume to join the current backup, ensuring the highest standard for data protection.
• Is backup hardware independent. The choice of tape drives, controllers, autoloaders, etc. is solely dependent on backup software.
• Shares resources between the backup package and applications, without compromising the performance of either.
• Recognizes backup programs running on the same system, as well as backup programs running on a remote system.
• Supports backup verify pass. Open File Manager is configurable to release the Preview Data for a file after it is backed up, after it is verified, or after the entire backup job is completed. This gives the network administrator the flexibility to manage system disk space with respect to backup program functionality.
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Benefits of Using Open File Manager
As a result of these advantages, enterprises that deploy Open File Manager can enjoy the following benefits:
• Data integrity and reliability. Open File Manager does not skip files and ensures your backup set is free from corrupt data due to open files. It also handles relationally dependent files such as transaction logs, accounting systems, and customer databases with transactional integrity. Open File Manager not only allows these files to be backed up, it also ensures they are synchronized to a single point in time.
• Increased uptime and productivity. Mission-critical applications such as email, Web applications and groupware all require continual access. Corporate personnel from every time zone can rest assured that they will never be forced off the network when it is time for backup.
• Ease of administration. With Open File Manager there is no need for administrators to manually group related files, like database applications or other examples of linked files that need to be handled in a synchronized manner. Related files are automatically treated as a logical set, and sets of related files that are updated together by an application are treated as a single unit to insure a coherent backup.
• Compatibility leads to cost savings. Because Open File Manager is compatible with so many backup packages, a change in backup package does not mean reinvesting in a new open file solution. There is no need to buy costly application-specific agents.
• Open File Manager provides simplified license management. A NetScan Management Utility simplifies license management and upgrades by providing a detailed report of Open File Manager’s network coverage. Open File Manager’s license stays in effect even if a company changes backup software, applications or versions of applications, or switches from one supported operating system to another.
• No noticeable overhead is added to the system. The speed of the backup is fully dependent on the backup software, tape drives and network bandwidth available (when backing up across a LAN). Open File Manager only caches data necessary to ensure an accurate image of open files for backup, and does so in 1KB increments.
• Installation is quick and easy. Open File Manager is installed by loading either a NetWare Loadable Module (NLM) or a Windows driver and executable on the system, generally with no changes to the existing backup configuration required. Using the Mass Deployment
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feature, Open File Manager can be pre-configured once, then installed to many computers with no additional user interaction.
• Reliable full-data synchronization. All user data on a system is simultaneously synchronized to the same point in time. Open File Manager extends the file systems to provide synchronization of data at the file level. It transparently detects the start of backup activity, and synchronizes all files on all volumes, simultaneously, to ensure absolute data integrity.
Conclusion
In today’s global 24/7/365 environment, organizations require unlimited access to mission-critical applications such as messaging systems, groupware applications, Web sites, and database and accounting systems. In fact, the most critical files in any enterprise network are those that are continually open.
At the same time, there are more security risks today than ever before. According to the 2001 ICSA Labs Virus Prevalence Survey, 72 percent of the surveyed companies reported that overall virus problems were either somewhat worse or much worse than the previous year, with total costs of lost data estimated at between $100,000 and $1 million per company per year.
The increased incidence of security breaches, when combined with the parallel explosion in data storage, has created a huge potential drain on a business’ bottom line. The more data there is to lose and the more vulnerable a network is, the more important it is to implement reliable backup and recovery strategies. Without a backup solution that includes an effective open file solution, organizations can face crippling data loss and downtime in the aftermath of a virus encounter or other disaster.
St. Bernard Software’s Open File Manager addresses this problem by allowing a company’s existing backup software to successfully capture files that are open and in use during the backup process. As a result, all data is backed up completely and without risk of corruption, even if the files are open and in use during the backup. Open File Manager is the only product that reliably performs system-wide synchronization, ensuring that related files are backed up together and coherently. With support for Windows NT/2000/XP and NetWare and universal support of all backup packages and applications, Open File Manager solidifies a company's data protection and disaster recovery strategies.
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Appendix: Backup Software Supported by Open File Manager
NT/2000/XP • Tantia Technologies • Teradactyl • 1Vision • Tivoli • Alexandria Corp. • ValueComm • American Backup Services • Veritas • Atempo Inc. (formerly Quadratec • VytalVault Software) • Workstation Solutions • B & L Associates • Yosemite Technologies • BakBone (NetVault)
• BEI NetWare • CommVault • Computer Associates • Atempo Inc. (formerly Quadratec • Connected Corporation Software) • Cristie • BakBone • Dantz Development Corporation • BEI • EMC • CommVault Systems • Fujitsu Siemens • Computer Associates • Functional Software • EMC • Gresham Computing • Gresham Computing • HP OpenView • HP OpenView • Hicomp Hiback • Innovation Data Processing • Host Interface International • Knox Software • Innovation Data Processing • Legato • Knox Software • NovaStor • Legato Systems • Novell • LinkPro • SMS • Maximum Output Software • SCH Technologies • Mensk Technologies • StorageTek • NetMass • SyncSort • NovaStor • Tantia Technologies • NSI Software • Tivoli • NT Backup • Veritas • RepliWeb • VytalVault • Rutilus Technologies • Yosemite Technologies • SCH Technologies • SkyDesk • Software Pursuits • StorageTek • SyncSort 14
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