Policy Based Management – Tricks & Tips

In continuation of my original post for TSQL Tuesday on the benefits and issues with Policy Based Management, I’d like to discuss options and suggestions for a basic, yet powerful, policy for evaluating the last backup date of each database. While this policy sounds simple enough, successfully evaluating it against every server in your environment may not be so easy. Each server might have special rules, and if you use high availability, you have an even bigger mess to deal with.

The first step is to create a blank policy, which I covered in detail in my original post. To verify a last backup, we need to use the Database Facet. This will cause the policy to evaluate against all databases by default, with some exceptions – see Targets below, but that can be altered per your whims, which I will address at the end.

Once the Create Policy dialogue box is open, we need to create a detailed condition for evaluation. This is going to require the easy-to-use but hard-to-figure-out-which-one-you-really-need built in fields, as well as some specialized ExecuteSql statements to make a robust policy.

Starting off, we only want to check the backups on databases that are in a normal state. We do this by selecting the Field, Operator, and Value of @Status = Normal. Simple enough, but now let’s dive into the trickier parts.


The meat of the policy are the next two steps. Select AND @LastBackupDate = DATEADD(‘DAY’,-1,GETDATE()). Immediately create another line OR LastDifferentialBackupDate = DATEADD(‘DAY’,-1,GETDATE()). Note that unlike the normal sql script, you need single quotes around DAY. The Condition will error and remind you about this if you forget though. These expressions will check that a full or differential backup has been taken within the last 24 hours. Modify the date to fit your needs and remove the differential test if you never use them. You can then group the full and differential backup clauses together, and insert another clause to verify that a full backup has been taken within the last week. You can try using DATEADD(‘WEEK’) and that will not even error, however, it does not evaluate successfully. Stick with days and make your life easier.  Getting comfortable making grouped clauses is an imperative to successfully implementing complicated policies and this one ensures that some form of backup has been done every day, but still verifies that a full backup was done at least each week.


If you need to apply different rules for specific databases or instances, you can do that too, but it won’t be fun. Create an ExecuteSQL statement that will test the Database name using @Name = ‘YourDatabase’ or create a custom field using ExecuteSql(‘String’, ‘SELECT SERVERPROPERTY(”InstanceName”)’) = ‘InstanceNotToBackup’. You can also evaluate based on database size if necessary. Perhaps you only perform full backups nightly on databases that are less than 100g in size, while larger databases only receive a differential backup. You can use the @Size Field (which is in megabytes) to check this value. Perform some grouping and you have a targeted policy.

Troubleshooting ExecuteSql If you have any problems with your ExecuteSql statements, test them by running the query in SSMS without the ExecuteSql wrapping. Get the query working first, then move onto evaluating the ExecuteSql string in the policy. When you write statements this way, don’t forget to add double quotes to your query since it will reside in a string when evaluated from the policy.

Mirroring By default, policies target Every Database. However, this is a lie. Policy Based Management actually targets every non system database that is accessible. This means that Mirroring takes care of itself. It will only evaulate against principal databases. The secondaries will not show up, and good luck trying to convince a policy to run against them. Even if you expicitly tell a database target to look at restoring or databases using mirroring, it will still skip them.

Availability Groups Since Avaibility Groups and their corresponding views did not exist prior to SQL2012, they provide a problem when you query a variety of SQL Server versions. In a multi-server query, you deal with this issue by first using the test: IF(SERVERPROPERTY('IsHadrEnabled')=1)

You’ll need to include that line in the condition to test AG queries successfully, so add it to your ExecuteSql string. If you forget, you will pay the price whenever you evaluate the policy against an older version of SQL.


In verions prior to 2012, SQL cannot use sys.fn_hadr_backup_is_preferred_replica because it does not exist. Using an IF statement will let you bypass this error.

If you perform your backups on a preferred replica, you can use the following expression, evaluating to equal two. This passes the policy for non preferred replicas.

'SELECT sys.fn_hadr_backup_is_preferred_replica(DB_NAME())

Perhaps you don’t care about preferred replicas though; you have no performance issues ever and live on the wild side – always performing your backups on the primary replica. You can allow all secondaries to automatically pass using the below condition, still checking for value two.

SELECT a.role FROM sys.dm_hadr_availability_replica_states a WHERE is_local = 1

This all hinges on you having readable secondaries for your AGs, if you do not, the policy will skip over them regardless since the databases are not accessible.


Grouping the backup expressions again ensures they function properly

Arrays All the above conditions assume that you want to see every database, even if you are automatically passing them. Well, obviously TempDB is never going to be backed up, so we need to provide an expression for that, luckily this is simple and done via the @Name Field with the Value ‘Tempdb‘. If you want to exclude other databases, you can do so using the Operator IN, but if you think this works exactly like SQL and write (‘DB1′,’DB2’), it will never work. After much frustration, I realized that you need to set the value to Array(‘DB1′,’DB2’). Without the word Array, the IN clause will not evaluate correctly. Aren’t you glad I saved you all that frustration?


I used an array to demonstrate how they are used, not because it was necessary for one value.

Targets Finally, you have the option of including all of these automatic passes not in the Condition you are checking, but in a custom Condition. Yes, it is very unfortunate that everything is a condition in PBM. So to make things easier, let’s call them Target Conditions and Evaluation Conditions. The same rules apply for creating an Evaluation Condition, but any databases that evaluate to True in the expression will be excluded from the evaluation results entirely. The main thing you need to be concious of is that when evaluating on the Database Facet, the default Every condition is false. It does not evaluate against nonaccessible databases (as I mentioned with Mirroring), and it does not target System databases. If you really want everything to be targeted, you need to create a Every Database Target Condition. This will seem rather redundant, but it works, and without explicitly stating you want both System and NonSystem objects, the target will try to do as little work as possible. It’s lazier than I am.

Don't even try making this a one line array, conditions hate that if you use standard fields.

Don’t even try making this a one line array, conditions hate that if you use standard fields.

Testing and Evaluation I’ve already mentiond that you should test ExecuteSql statements by running the query seperately. You’ll still have to do a lot of grouping testing and evaluating to get a complicated policy to work the way you want. When you evaluate a new policy, always view the results on a few databases and servers to verify that the actual results are in line with what your expected results are. If you get a bad statement, you might not be getting any actual results at all!

Test, test, test new policies!

Test, test, test new policies!

Automatic Passes vs. Targets For most policies I like to see every server and automatically pass the exceptions, hence why I presented conditions with so many automatic passes. Evaluating like this allows me to quickly determine that the server count is correct. It also quells the fear whenever anyone new evaluates a policy. Normally when someone notices a database is not evaluating, alarms go off in their head that the policy is broken and thus that it has never worked properly before. It can be quite a chore to calm them down and explain that was the intended result. That being said, all the Evaluation Conditions can be moved into the Target conditions instead, removing any unwanted results. You know TempDb is never going to be backed up, so moving it to the Target condition is of no consequence.

The main point to be stressed about Policy Management is that it is a powerful feature, but it does require you to learn how to use it through trial and error.


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