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Establishing disaster recovery and business continuity


Disaster recovery and business continuity means having a plan for catastrophic failures to ensure a smooth recovery process. You'll need regular backups and replication of critical configurations and data to a secure location. You'll need to conduct periodic disaster recovery drills help validate the effectiveness of your plan, as well as proactive monitoring, alerting systems, and good communication plans. The strategies provided in this pathway will help you accomplish these goals. You can work through them sequentially or in any order that suits your current level of progress in disaster recovery and business continuity.

This article is part of the Mitigate Risk Outcome. For additional pathways to help you succeed with this outcome, click here to see the Mitigate Risk overview.

Developing a disaster recovery plan (DRP)

When it comes to preparing for the unexpected in your Splunk environment, a well-formulated disaster recovery plan is crucial. Not only does it provide peace of mind, but it ensures that your Splunk data remains accessible and intact, even in the event of unforeseen disruptions.

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In this article, you will learn about the following steps in creating a disaster recovery plan:

  1. Evaluating your Splunk environment
  2. Designing the disaster recovery plan
  3. Updating the disaster recovery plan as the Splunk environment evolves

Evaluating your Splunk environment

The Splunk platform integrates with a variety of data types ranging from security logs to system performance metrics. Understanding these sources and their significance is vital for effective disaster recovery planning.

Cataloging and assessing the importance of data sources

  1. List All Data Sources: Begin by creating a comprehensive list of all the data feeds into your Splunk instance. This could include logs from web servers, network devices, applications, databases, and other system logs.
  2. Characterize Data Source: For each source, provide a brief description. For instance:
    • Web server logs: Capture website activity, user interactions, and potential security breaches.
    • Database transaction logs: Track changes and transactions within the primary database.
    • Network device logs: Monitor network traffic, possible breaches, and device health.
  3. Evaluate Criticality: For every data source, assess its importance using criteria such as:
    • Operational Significance: How crucial is the source for day-to-day operations? For instance, an e-commerce company might consider web server logs as vital due to their role in tracking user activity and sales.
    • Compliance and Legal Requirements: Some logs, like those for financial transactions or personally identifiable information (PII), might be mandated for retention by laws or industry regulations.
    • Historical Value: Some logs, though not critical for immediate operations, might be valuable for long-term analysis or historical trending.
  4. Assign Importance Rankings: Based on the assessment, label each data source with a ranking indicating its importance:
    • Essential: Data sources vital for daily operations, without which the business would face significant disruptions.
    • Secondary: Important but not immediately critical. Restoration can wait after primary sources are addressed.
    • Tertiary: Data sources whose restoration can be further deferred without major impacts.
  5. Document the Information: Maintain a centralized document or database detailing each data source, its description, and its assigned importance. This serves as a reference during disaster recovery scenarios.

Understanding potential threats and risks in your Splunk environment

Reference your company’s internal documentation around threats and risks. For example, an organization using the Splunk platform for security information and event management (SIEM) might catalog these common threats:

  • Hardware Failure of Splunk Indexer:
    • Type: Physical threat
    • Impact: High – This can disrupt real-time security event logging and analysis.
  • DDoS Attack on Splunk Web Interface:
    • Type: Digital threat
    • Impact: Medium – might prevent users from accessing Splunk dashboards but won't affect data ingestion.
  • Configuration Mistakes during a Splunk platform Upgrade:
    • Type: Operational risk
    • Impact: High – Incorrect configurations can lead to data loss or service interruptions.

Designing the disaster recovery plan

Questions to answer

  1. What are your recovery objectives?
    • Recovery Time Objective (RTO): How quickly do you need to restore Splunk operations after a disruption?
    • Recovery Point Objective (RPO): How much data can you afford to lose?
  2. What are the critical components of your Splunk deployment?
    • Which indexers, search heads, forwarders, or other components are most critical?
  3. Where will the recovery site be located?
    • Will you use an off-site data center, a cloud solution, or another alternative? Is geographic redundancy necessary for your business?
  4. How frequently will backups occur?
    • This relates directly to your RPO. More frequent backups mean less potential data loss but might also require more resources.
  5. How will data be restored?
    • Will it be from backups, replicated data, or some other source?
  6. Who are the stakeholders and what are their roles in recovery?
    • Clearly define the roles and responsibilities of IT staff, Splunk administrators, and other relevant personnel.
  7. How will communication occur during a disaster and recovery?
    • Establish clear lines of communication internally (among the recovery team) and externally (with stakeholders, end-users, etc.)
  8. What risks and threats are specific to your Splunk deployment and environment?
    • This can be determined from the risk assessment you've already conducted.

Determining Recovery Time Objective (RTO) and Recovery Point Objective (RPO)

  • RTO is the targeted duration of time within which a business process or system must be restored after a disaster to avoid unacceptable consequences.
  • RPO is the maximum targeted period in which data might be lost due to a major incident.

The data-intensive Splunk platform can contain a mix of critical real-time data and less time-sensitive logs. How RTO and RPO influence disaster recovery in the Splunk platform depends on the function. For example:

  • Real-time Security Monitoring: For Splunk deployments that focus on real-time security monitoring, a low RTO is essential because prolonged downtime can expose the organization to unidentified threats. Similarly, a low RPO is crucial as losing even a short period of security logs can hinder incident detection and response.
  • Historical Data Analysis: If the Splunk platform is primarily used for historical data analysis, the RTO might be more lenient. However, the RPO might still be strict, especially if data feeds are infrequent but critical.

Suggested recovery procedures

  1. Initial Assessment and Declaration of a Disaster Event
    • Document the steps on how to assess the situation and determine if it qualifies as a disaster scenario that warrants the activation of the DRP.
    • Identify who has the authority to declare a disaster and initiate the recovery process.
  2. Notification and Communication
    • List the contact details of all key personnel involved in the DRP. This might include Splunk administrators, IT support, business unit leaders, and external vendors.
    • Outline a communication protocol. Who gets informed first? How are they notified (for example, phone, email, alert systems)?
  3. Activation of the Recovery Site (if applicable)
    • If you have a standby recovery site, detail the steps to activate it. This might involve booting up servers, initializing databases, or redirecting network traffic.
  4. Restoration of Data
    • Based on the RPO, guide the team on where to restore data from (for example, the most recent backup, a replicated server).
    • Detail the order of data restoration. As per your earlier prioritization, some data sources might need to be restored before others.
  5. Restoration of Applications and Services
    • Detail the sequence in which services need to be restored. Some services might be dependent on others. For Splunk, this might involve ensuring that indexers are up before search heads.
    • Provide instructions on how to verify that a service is operational. This could be through internal tests or external monitoring tools.
  6. Network Configuration
    • If there are network-related tasks (e.g., updating DNS entries, reconfiguring load balancers), provide explicit instructions. Network misconfigurations can exacerbate recovery times.
  7. Verification of System Functionality
    • After systems are restored, there should be procedures to verify that they are working as expected. This might involve running specific tests, checking data integrity, or validating against external systems.
  8. Notification of Stakeholders
    • After successful recovery, stakeholders (both internal and external) need to be informed about the system's operational status.
    • Provide templates or guidelines for such communications to ensure clarity and transparency.
  9. Transition Back to Normal Operations
    • If the recovery involved a switchover to a standby site, guide the team on transitioning back to the primary site, if and when it becomes available.
  10. Post-Recovery Review
    • After the system is stable, a review of the recovery process should be conducted. This involves:
      • Documenting what went well and what didn’t.
      • Analyzing any data loss or disruptions.
      • Suggesting improvements for the future.

Throughout this procedure, ensure that all actions are logged, including times, issues encountered, and any deviations from the plan. This log becomes crucial for post-recovery analysis and for any regulatory or compliance needs.

Lastly, remember that the recovery procedure should be a living document. It requires regular updates, reviews, and drills to ensure its effectiveness during a real disaster scenario.

Suggested roles and responsibilities during recovery 

Splunk Administrator’s responsibilities

  • Restoring Splunk configurations, apps, and knowledge objects.
  • Verifying the functionality of Splunk post-restoration, ensuring all dashboards, saved searches, and alerts are intact and operational.
  • Coordinating with the data restoration specialist to ensure indexed data is appropriately restored.
  • Ensuring that Splunk components, such as indexers, search heads, heavy forwarders, and universal forwarders, are communicating and operating correctly.
  • Troubleshooting and resolving any component-specific issues, like a search head not recognizing an indexer.
  • Coordinating with Splunk (the vendor) for support.
  • Collaborating with the network specialist to make sure network routes and ports required for Splunk platform operation are functional.
  • Collaborating with the data restoration specialist to ensure all indexed data is available and searchable post-restoration.
  • Performing sample searches across various time frames to validate the completeness and accuracy of the indexed data.
  • Monitoring the Splunk environment for any performance degradation post-recovery.
  • Addressing performance issues, possibly through optimizations or liaising with the system/infrastructure lead.
  • Confirming that Splunk licenses are valid post-recovery.
  • Resolving any license conflicts or overages that might occur due to the restoration process.
  • Logging all Splunk restoration activities and challenges faced during the process.
  • Providing feedback on the Splunk recovery procedures based on the disaster recovery exercise's learnings.

Suggested supported roles

  • Recovery Lead
  • Storage SME
  • Communication Lead
  • System/Infrastructure SME
  • Network SME
  • Business Continuity Lead
  • Security SME
  • External Vendor

For every role:

  • Clearly document their specific responsibilities.
  • Ensure they have the required resources and access rights to perform their duties.
  • Designate backups for each role, so there's always someone available to take over if the primary person is unavailable.
  • Ensure role-holders are adequately trained and are familiar with the disaster recovery plan.

By having specific roles outlined in your DRP, you streamline the recovery process, reduce downtime, and ensure efficient communication and collaboration among all involved parties.

Updating the DRP as the Splunk environment evolves

Your Splunk deployment will change over time. Any environment changes approved via the customer change control system should include a step to check that no modifications are needed for the DRP itself.  New data sources might be added; others might become obsolete. As you scale or restructure, ensure your DRP reflects these changes. Review and update the DRP at least annually or after significant infrastructure changes, such as:

  • Changes in Data Sources: As your organization grows and evolves, you're likely to add new data sources to your Splunk environment. These could include new applications, servers, cloud services, or even IoT devices. To ensure that your DRP remains effective, it's important to incorporate these new data sources into your recovery plan. This means identifying how these sources will be backed up, restored, or replicated in the event of a disaster.
  • Obsolete Data Sources: Conversely, some data sources that were once critical might become obsolete or less important over time. When this happens, it's important to update your DRP to reflect these changes. This might involve removing references to outdated data sources or adjusting recovery priorities to focus on the most critical systems and data.
  • Scaling or Restructuring: Organizations often undergo changes in their infrastructure, such as scaling up to accommodate increased data volumes or restructuring to improve efficiency. These changes can impact your DRP, as the processes and procedures for disaster recovery might need to be adapted to suit the new infrastructure. Regularly reviewing and updating your DRP ensures that it remains in sync with your infrastructure's current state.
  • Significant Infrastructure Changes: In addition to the annual review, update your DRP promptly after any significant infrastructure changes. These changes could include major system upgrades, data center relocations, or other strategic decisions that impact the configuration of your Splunk environment. Prompt updates ensure that your DRP remains accurate and reliable in the face of sudden disruptions.

Helpful resources

Splunk OnDemand Services: Use these credit-based services for direct access to Splunk technical consultants with a variety of technical services from a pre-defined catalog. Most customers have OnDemand Services per their license support plan. Engage the ODS team at if you require assistance.

Configuring backup and replication 

This section guides you through the details of backup and replication within the Splunk platform. It explains the distinctions between backups, replications, and redundancy. Whether you're venturing into data backup for the first time or seeking to refine your existing processes, this guide will try to equip you with the knowledge to make informed decisions, keeping data integrity and business continuity in mind.

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  1. Prerequisite knowledge
  2. Questions to answer before beginning backup
  3. Built-in replication compared to additional backups
  4. Challenges and considerations with traditional backup strategies for indexes
  5. Configuration backup

Prerequisite knowledge

Before you begin working on this section, you should be familiar with the concepts in the following articles from Splunk documentation:

Questions to answer before beginning backup

  1. Business Continuity Objectives:
    • What are your recovery time objectives (RTO) and recovery point objectives (RPO) for your Splunk data?
  2. Splunk Infrastructure:
    • How is your Splunk deployment structured? Are you utilizing clustered features, such as indexer clustering or search head clustering?
    • How many indexers are in your Splunk deployment, and what is their average data ingest rate?
    • Are you using Splunk Enterprise Security or Splunk ITSI?
  3. Current Backup Mechanism:
    • Do you have an existing backup mechanism in place? If so, what are its capabilities and limitations?
    • How frequently do you currently perform backups of your critical systems?
  4. Operational Constraints:
    • Are there specific time windows when backups must (or must not) occur due to operational needs or system loads?
    • Are there any bandwidth or resource constraints to be aware of when planning backup strategies?
  5. Data Retention and Compliance:
    • Are there specific data retention requirements or policies that your organization adheres to?
    • Do you have any industry or regulatory compliance standards (for example, GDPR, HIPAA) that affect how data is backed up and retained?
  6. Disaster Recovery Scenarios:
    • Have you identified specific disaster scenarios (for example, data corruption, server failure, data center outages) you want to protect against?
    • Have you ever had to restore Splunk data in the past? If so, what was that experience like?
  7. Budget and Resource Allocation:
    • Do you have a dedicated budget for backup and disaster recovery solutions?
    • What internal or external resources (personnel, hardware, software) are available or allocated for backup and disaster recovery efforts?
  8. Data Integrity and Validation:
    • How will you validate the integrity of backups? Do you need to perform regular test restores?
    • Do you have mechanisms or processes in place to monitor and alert on backup failures?
  9. Geographic Considerations:
    • Is geographic redundancy necessary for your backup strategy (for example, backing up data to a different region or data center)?
  10. Integration with Other Systems:
    • Are other systems or data sources interdependent with your Splunk data, which might need to be considered in a coordinated backup or restore strategy?

Built-in replication compared to additional backups

While the native replication mechanisms, which are the Replication Factor (RF) and Search Factor (SF), offer real-time data resilience, traditional backups provide a safety net against data corruption, failures, or other significant disruptions. As we get deeper into this section, we'll contrast the proactive, immediate recovery benefits of built-in replication in the Splunk platform against the more retrospective, long-term data retention advantages of backups. By the end, you'll have a clear understanding of when and why to apply each method, and how they collaboratively enhance the overall resiliency of your Splunk deployment.

In the context of safeguarding Splunk index data, the primary approach should revolve around utilizing the search factor and replication factor. These built-in mechanisms provide an intrinsic layer of data protection, ensuring that indexed data is appropriately duplicated across multiple peers in the Splunk cluster. By leveraging these factors, organizations can maintain data accessibility and resilience even in the face of potential node failures or data corruption scenarios. Before considering additional backup strategies, it's imperative to set and optimize these factors according to the specific needs and infrastructure of the deployment, as they serve as the foundational pillars of data reliability within the Splunk platform.

Reference the Splunk Validated Architectures for assistance in designing the Splunk deployment that will meet your organization's backup and recovery goals.

Challenges and considerations with traditional backup strategies for indexes

While traditional backups can provide a snapshot of your Splunk data at a particular point in time, there are inherent risks associated with this method. These include the following:

  • The dynamic nature of Splunk data means that backups can quickly become outdated, potentially leading to data gaps in the event of a restore.
  • Restoring the Splunk platform from a conventional backup can be time-consuming, potentially leading to prolonged service disruptions.
  • The restoration process might not always guarantee the integrity of the indexed data, especially if the backup was taken during heavy indexing or searching operations.

As such, while traditional backups can serve as a supplementary layer of protection, they should not replace the native resiliency provided by the proper configuration of the search factor and replication factor in the Splunk platform. Before embarking on a traditional backup strategy, you should weigh the benefits for each index type against these potential challenges to make informed decisions.

  • Hot Indexes:
    • Challenges: Hot indexes are the active indexes, where new data is continuously being written. They can be volatile and are often locked, making them more challenging to backup.
    • Considerations: Due to their active nature, it is typically recommended to avoid direct backups of hot indexes. Instead, rely on Splunk's inherent replication capabilities to ensure data durability.
  • Warm Indexes:
    • Challenges: While not as volatile as hot indexes, warm indexes still see significant read activity. They are rotated data sets are no longer written to, and therefore can be backed up effectively via traditional backup solutions, but are still readily searchable.
    • Considerations: Periodic snapshots of warm indexes, especially for critical data, can be a good idea.
  • Cold Indexes:
    • Challenges: Cold indexes are older, archived data that has been rolled out from the warm phase, typically onto slower, less expensive storage. Their sheer size can make backups lengthy and storage-intensive.
    • Considerations: Given that cold indexes are stable (no new data is written here), it's feasible to employ traditional backup methods. A complete backup of all cold indexes ensures a safeguard against any unforeseen data loss. Additionally, consider storage solutions that are both cost-effective and reliable for these larger backups.
  • Thawed and Frozen Indexes: While not part of the standard data lifecycle in the same way, it's worth noting thawed and frozen indexes when discussing backup strategies.
    • Thawed Indexes: These are resurrected cold indexes, brought back for specific reasons, like a particular investigation or analysis.
    • Frozen Indexes: Data in this state is effectively considered disposable by the Splunk platform. Before data transitions to the frozen state, ensure you've made the necessary backups if retention is required.

When crafting a traditional backup strategy, you should understand the distinct characteristics and challenges associated with each index state. It informs not only the backup methods employed but also the frequency, storage considerations, and recovery strategies to ensure the optimal safeguarding of your Splunk data.

Configuration backup

Splunk configurations dictate how the platform behaves, ingests and processes data, and visualizes your data. If these configurations are lost or corrupted, you might end up with disrupted services, data ingestion issues, or inaccurate insights. Consider scheduled backups to ensure resilience for your core configurations. These backups should be stored in secure and redundant storage solutions. Don’t just trust that your backups happened, even if the jobs show as successful. Periodically validate the backups and ensure integrity and completeness.

Version control

Version control systems permit better management and discipline of changes. Storing Splunk configuration files in repositories, such as Git, is a best practice that streamlines and complements backup, high-availability, and disaster recovery. When committing changes, leave messages that clearly detail both the specific changes and the underlying reasons. This helps recover the correct configurations post restore.

Recommendations for specific Splunk components

  • Deployer
    • Regularly back up deployment-app directory.
    • Regularly back up custom deployer configurations.
    • Use version control to track configuration changes, especially when pushing configurations to search head cluster members.
  • Deployment Server
    • Back up serverclass.conf and other deployment-related configurations.
    • Back up deployment-apps directory.
    • Use version control to track changes and deployments to clients.
  • Cluster Manager
    • Back up manager-apps directory configurations and replication settings.
    • Regularly back up custom cluster manager configurations
    • Use version control to track changes.
  • License Manager
    • Regularly back up your licensing details and configuration.

Helpful resources

Splunk OnDemand Services: Use these credit-based services for direct access to Splunk technical consultants with a variety of technical services from a pre-defined catalog. Most customers have OnDemand Services per their license support plan. Engage the ODS team at if you require assistance.

Testing disaster recovery procedures

Organizations that leverage the Splunk platform for critical data analytics and insights depend on continuity of services. An effective disaster recovery procedure (DRP) can mitigate the risk of data loss and service disruptions, but their mere existence is not enough. You must regularly test these procedures to validate their effectiveness and ensure business continuity in the wake of unforeseen events.

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  1. Implications of data loss or service disruptions
  2. Value of a disaster recovery procedure
  3. Importance of regular DRP testing

Implications of data loss or service disruptions

Any disruption to Splunk services or loss of data can have far-reaching consequences, such as the following:

  • Operational Disruption: Real-time monitoring and alerting can get hampered, leaving systems vulnerable to undetected issues.
  • Regulatory Repercussions: Non-compliance due to missing logs can result in penalties, audits, or legal ramifications.
  • Loss of Trust: Data breaches or loss can erode stakeholder and customer trust, potentially leading to reputational damage.

Value of a disaster recovery procedure

A robust DRP provides the following benefits:

  • Quick Recovery: A step-by-step guide to recover services swiftly, minimizing downtime.
  • Data Integrity: The DRP ensures not just data recovery but also its integrity, ensuring that restored data is consistent and uncorrupted.
  • Service Continuity: Even in the face of disasters, critical Splunk services, such as real-time monitoring, alerting, and reporting, continue with minimal disruptions.

Importance of regular DRP testing

  • Validation of Procedures: To gauge the practicality and efficiency of the delineated steps in the DRP. Given the complexity and dynamic nature of Splunk deployments, it's important to ensure that the recovery steps align with the latest configurations and are adaptable to evolving data architectures. Regular testing certifies that the DRP remains relevant and actionable, mitigating potential data loss or extended service outages.
  • Skill Familiarity: To maintain a high level of proficiency and readiness among the team members responsible for disaster recovery. The typical Splunk environment - comprising various indexers, search heads, and forwarders - requires specific expertise for efficient restoration. Regular DRP drills reinforce familiarity with Splunk-specific recovery tasks, ensuring a swift and informed response during actual disruptions, thereby minimizing downtime.
  • Infrastructure Assessment: To identify and rectify potential infrastructure challenges that could compromise a successful recovery. By conducting test recoveries, organizations can pinpoint bottlenecks or vulnerabilities within their Splunk deployment, such as inadequate storage capacity or network constraints. Addressing these proactively ensures uninterrupted access to critical data insights even post-recovery.

Conducting a Splunk platform disaster recovery drill

  1. Planning the Test
    • Scope Definition: Decide whether the test will cover a partial failure scenario (for example, the loss of a single indexer) or a full disaster scenario.
    • Communication: Inform all relevant stakeholders about the test, its duration, and any potential service disruptions.
  2. Execution
    • Initiate the Disaster Scenario: This could involve simulating a data loss, service disruption, or system corruption.
    • Activate the DRP: Follow the outlined recovery procedures, documenting any deviations or challenges encountered.
    • Monitor Recovery: Track recovery time, data integrity post-recovery, and system performance.
  3. Review
    • Document Results: Record the effectiveness of the DRP, time taken for recovery, and any data losses.
  4. Identify Gaps: Highlight any weaknesses or inefficiencies in the DRP.
  5. Gather Feedback: Collect feedback from the team and stakeholders about the test and the effectiveness of the DRP.

Addressing identified weaknesses

Based on the findings from the DRP test:

  • Update the DRP: Modify the DRP to address identified gaps or inefficiencies.
  • Upgrade Infrastructure: If infrastructure issues hindered recovery, consider upgrades or adjustments to better support DRP implementation.
  • Retrain Personnel: If team members were unsure of their roles or steps during the test, consider additional training sessions.

Helpful resources

Splunk OnDemand Services: Use these credit-based services for direct access to Splunk technical consultants with a variety of technical services from a pre-defined catalog. Most customers have OnDemand Services per their license support plan. Engage the ODS team at if you require assistance.

Monitoring and alerting for disaster recovery and business continuity

Being prepared for potential system failures, resource shortages, or network disruptions is crucial to ensure uninterrupted operations. In this section, we will explore how to set up monitoring and alerting in the Splunk platform to proactively detect potential issues, enabling timely response and mitigation to safeguard your disaster recovery and business continuity efforts.

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  1. Define key metrics for monitoring
  2. Select appropriate data sources
  3. Create alerting rules
  4. Set up PICERL-based escalation procedures
  5. Test your monitoring and alerting set up
  6. Monitor performance and optimize

Define key metrics for monitoring

Before implementing monitoring and alerting, identify the critical metrics that need monitoring. Focus on system health (CPU, memory, disk space), network connectivity, and data replication status. Understanding your organization's specific needs will help you choose the right metrics to track and ensure proactive monitoring.

  1. Assess Critical Splunk Systems and Services: Start by assessing the critical systems: indexers, search heads, license managers, deployment server, services, and applications essential to your organization's Splunk deployment. This might include servers, networking equipment, cloud resources, and other critical services. Identify the dependencies between these components to understand their interconnectivity.
  2. Identify Potential Failure Points: After you clearly understand your critical systems, identify potential failure points or weak links that could lead to disruptions. For example, consider CPU and memory utilization, disk space availability, network latency, and data replication status. These metrics are crucial for detecting resource shortages or system failures.
  3. Determine Acceptable Thresholds: Establish acceptable thresholds for each metric. These thresholds define the limits beyond which a metric is considered abnormal or indicative of a potential issue. For example, you might set a threshold for CPU utilization at 80%, indicating that a sustained CPU usage above this level could be a cause for concern.
  4. Align Metrics with Business Objectives: Ensure that the chosen metrics align with your organization's business objectives and disaster recovery priorities. Focus on metrics that directly impact critical business processes, customer experience, and regulatory compliance. This alignment ensures that your monitoring efforts are targeted and impactful.
  5. Consider Historical Data and Trends: Analyze historical data to identify patterns and trends that might indicate potential issues. Understanding historical behavior helps in setting dynamic thresholds that adapt to changing usage patterns. For instance, you might notice that disk utilization tends to spike during specific time frames, and adjusting thresholds accordingly will prevent false alerts.
  6. Collaborate with Stakeholders: Involve key stakeholders, including IT teams, business owners, and disaster recovery experts, in the process of defining monitoring metrics. Gathering input from different perspectives will lead to a comprehensive and well-rounded monitoring strategy.
  7. Continuously Review and Update: Monitoring requirements evolve over time due to changes in technology, business processes, and external factors. Regularly review and update your monitoring metrics to stay aligned with the organization's changing needs.

Select appropriate data sources

The Splunk platform offers various options for monitoring and setting up alerts across diverse data sources. Choose data sources that provide relevant information to monitor your disaster recovery and business continuity efforts effectively. Consider using built-in monitoring apps, along with relevant add-ons or custom data sources tailored to your requirements.

  • Splunk Indexer and Search Head Status: Monitor the availability and performance of your Splunk indexers and search heads. Check for any service disruptions or issues that could affect data indexing and search capabilities. Consider checking the health endpoint for Splunk service status from the cluster manager by using | rest /services/server/health-config.
  • License Usage: Keep track of your Splunk license usage, including daily indexing volume and the number of indexed events. Ensure that you do not exceed your licensed limits to prevent disruptions to data ingestion.
  • Disk Space Utilization: Monitor the disk space usage on all Splunk servers, particularly on indexers, to avoid data loss due to insufficient storage. Set up alerts for low disk space conditions to take timely action.
  • System Resource Utilization: Monitor CPU, memory, and network utilization on your Splunk servers. High resource usage can lead to performance degradation or even system crashes.
  • Indexing Performance: Track the rate at which data is being indexed and the time it takes for events to become searchable. Monitoring indexing performance helps identify bottlenecks and optimize data ingestion.
  • Search Performance: Monitor the response times of search queries. Slow searches can impact user experience and might indicate issues with system performance.
  • Forwarder Status: Monitor the health of Universal Forwarders to ensure that data collection from various sources is functioning correctly.
  • Splunk Internal Logs: Monitor Splunk's internal logs, including logs related to licensing, indexing, and search activities. These logs provide valuable insights into the health of the Splunk platform itself.
  • Replication Status (for Distributed Environments): In distributed Splunk environments, monitor data replication across indexers and search heads to ensure data redundancy and high availability.
  • Splunk Web Interface: Regularly check the accessibility and performance of the Splunk Web interface to ensure users can access and interact with the platform without interruptions.
  • Health Check Dashboards: Leverage pre-built health check dashboards or design custom ones to consolidate the essential metrics mentioned earlier, using both the Monitoring Console and Cloud Monitoring Console. These dashboards offer a comprehensive overview of the overall health of the Splunk platform.

By monitoring these critical items in the Splunk platform, you can proactively identify and address any issues, optimize performance, and ensure the reliability and stability of your Splunk deployment. Regular monitoring and alerting enable quick responses to potential problems, contributing to the overall effectiveness of your Splunk environment.

Create alerting rules

Crafting well-defined alerting rules is essential for timely response to potential issues. Establish thresholds for each metric that, when breached, will trigger an alert. For instance, set alerts for disk space reaching a certain capacity or replication delays exceeding specific time frames. These rules will help you detect issues early and take appropriate actions swiftly. A good starting point is the built-in Monitoring Console, which you can learn about in Monitoring Splunk Enterprise overview.

Set up PICERL-based escalation procedures

PICERL is an acronym for a structured incident response process that encompasses six phases. These phases guide how organizations respond to and recover from security incidents. The stages are:

  1. Preparation: This involves setting up and maintaining an incident response capability. It includes establishing an incident response policy, setting up an incident response team (IRT), creating a set of guidelines for the IRT, and ensuring that all members are trained and equipped with the necessary tools and resources.
  2. Identification: This is the stage where potential security incidents are detected and acknowledged. Tools and systems can flag unusual activities, which then need to be analyzed to determine if they represent a genuine security incident.
  3. Containment: After an incident is identified, you must contain the damage. Containment is often divided into two phases:
    • Short-term Containment: Immediate actions to temporarily halt the threat (for example, disconnecting a compromised system from the network).
    • Long-term Containment: More permanent measures to ensure the threat does not spread or recur.
  4. Eradication: After containment, the root cause of the incident is found and completely removed from the environment. This could involve patching software, removing malicious code, or strengthening security measures.
  5. Recovery: This stage is about restoring and validating system functionality for business operations to resume. It might involve restoring systems from backups, validating the integrity of system data, or ensuring that systems are free from any remnants of threats.
  6. Lessons Learned: After handling the incident, teams review the incident, the effectiveness of the response, and the lessons learned. This review helps improve the incident response process for future incidents. Feedback from this phase might loop back to the preparation phase to refine and improve procedures and training.

Organizations that adopt the PICERL model are better prepared to handle incidents systematically, ensuring they are both reactive to current threats and proactive in preventing future incidents. Utilizing the PICERL response methodology for alerts in the Splunk platform ensures a systematic approach to handling and mitigating threats in real-time.

Here's a breakdown of how PICERL can be integrated into your Splunk environment:


  • Define Alert Severity Levels: Categorize alerts into severity levels like "Critical," "Warning," and "Informational," each with distinct criteria. This step provides clarity on conditions that trigger each alert.
  • Establish Roles and Responsibilities: Assign key personnel to specific roles like "Initial Responder", "Incident Manager", or "Forensic Analyst". Detail each role's responsibilities.


  • Automate Alert Routing: If possible, automate the alert routing process to ensure alerts are delivered to the appropriate personnel automatically. Use tools like email notifications, messaging platforms, or ticketing systems to route alerts to the designated recipients based on their roles.
  • Set Response Time Targets: Determine the maximum allowable time for acknowledging and responding to alerts at each severity level. For example, "Critical" alerts might require an immediate response within minutes, while "Warning" alerts might have a response time target of a few hours.


  • Design the Containment Strategy: Develop strategies for both short-term and long-term containment of threats identified by the alerts.
  • Design the Escalation Flow: Create a step-by-step flowchart or documentation that outlines the escalation process. Define the sequence of actions to be taken when an alert is triggered, including the contact details of personnel at each escalation level.
  • Implement Escalation Hierarchies: In case an alert remains unaddressed at one level, establish escalation hierarchies to ensure it gets escalated to the next level of expertise. For instance, if a "Critical" alert is not acknowledged within a certain timeframe, it should automatically escalate to higher-level engineers or managers.


  • Determine Root Causes: Analyze alerts to identify the root causes and take steps to remove the source of the threats.


  • Monitor Environment Post-Eradication: After addressing the alert, continue monitoring to ensure the Splunk environment returns to its normal state.
  • Validate the Alert Clearance: Perform checks to ensure that threats have been fully eradicated before moving systems back to regular operations.

Lessons Learned

  • Test the Escalation Procedures: Conduct mock drills and tests of the escalation process to validate its effectiveness. Simulate different alert scenarios and ensure that alerts are correctly routed, and the response times are met.
  • Document and Communicate the Procedures: Document the entire escalation process along with contact details and response time targets. Share this documentation with all relevant team members and stakeholders to ensure everyone is aware of the procedures.
  • Regularly Review and Improve: Periodically review the escalation procedures and analyze past incidents to identify any gaps or areas for improvement. Adjust the procedures based on feedback and lessons learned to optimize the response process continually.

By setting up well-defined PICERL-based escalation procedures, Splunk users can ensure that critical alerts are promptly addressed by the appropriate personnel. This approach minimizes response delays, reduces downtime, and contributes to a more effective disaster recovery and business continuity strategy.

Test your monitoring and alerting setup

Conduct mock disaster recovery drills and test scenarios to simulate potential issues. Evaluate how your system responds to alerts and fine tune the setup if necessary. Here's a detailed procedure for testing your alerting setup in the Splunk platform:

  1. Test Alert Conditions: Verify that your alert conditions are set correctly and capture the desired events. Run test queries or searches against sample data to ensure that the alert conditions accurately match the events you want to monitor.
  2. Use Test Data: Create test data or use synthetic events that mimic real-world scenarios. This allows you to trigger alerts without impacting your production data or systems. Ensure that the test data includes a mix of scenarios covering different severity levels.
  3. Disable Real Notifications: Before starting the testing, disable any real notifications or actions that could be triggered by the alerts. This prevents unnecessary escalations or actions during the testing phase.
  4. Trigger Test Alerts: After you have your test data and disabled real notifications, manually trigger the test alerts. This can be done by generating events that match the alert conditions you've set up.
  5. Verify Alert Triggering: Check the Splunk system to confirm that the test alerts were triggered correctly. Validate that the triggered alerts are appearing in the Splunk interface and are listed as triggered in the alert management section.
  6. Review Alert Content: Examine the details of the triggered alerts to ensure that the information included in the alerts is relevant and provides sufficient context for further investigation.
  7. Check Notifications: If you have configured email or other notification methods, verify that the alerts are being sent to the designated recipients. Confirm that the notification content is clear and includes essential information for immediate action.
  8. Test Escalation: If your alerting setup includes escalation procedures, simulate scenarios where alerts should escalate to higher-level personnel. Verify that the escalation process functions as intended and that alerts reach the appropriate individuals within the defined response time targets.
  9. Assess Response Actions: If the alerting setup triggers any automated response actions, such as restarting services or running scripts, evaluate whether these actions run correctly and have the outcome you want.
  10. Review Logs and Reports: Analyze the logs and reports generated during the testing to identify any errors or issues. Address any problems and make necessary adjustments to the alerting configurations.
  11. Document the Results: Document the results of the testing, including the alerts triggered, notifications sent, and any issues identified. Use this documentation to make improvements and adjustments to your alerting setup.

Monitor performance and optimize

After implementing the monitoring and alerting system, continuously monitor its performance and effectiveness. Regularly review the alerting rules and adjust them based on changing business needs and evolving IT environments. Optimize your setup to ensure it remains relevant and efficient. Here's a detailed explanation of monitoring performance and optimizing the setup:

  • Continuous Monitoring: Regularly monitor the alerting system to ensure it is operational and capturing events as expected. Keep track of the number of alerts triggered, their frequency, and their severity levels. Monitoring helps you identify any irregularities or potential issues with the alerting rules and system.
  • Performance Metrics: Define and track key performance metrics for your alerting setup. Measure the time taken for alerts to trigger, the time taken for notifications to be sent, and the time taken for responses to occur. Performance metrics provide insights into the responsiveness and efficiency of the alerting system.
  • Review Alerting Rules: Conduct periodic reviews of the alerting rules to assess their relevance and effectiveness. Ensure that the alert conditions still align with your business needs and IT environment. Remove or update rules that are no longer necessary or are producing excessive false positives.
  • Business Needs Alignment: Align the alerting system with changing business needs and goals. Work closely with stakeholders to understand their evolving requirements and adjust the alerting rules accordingly. This ensures that the monitoring focuses on critical areas that align with business objectives.
  • IT Environment Changes: Stay aware of any changes in your IT environment, such as infrastructure updates, software upgrades, or changes in data sources. Ensure that the alerting system adapts to these changes to continue providing relevant and accurate alerts.
  • Optimization Strategies: Implement optimization strategies to improve the efficiency and effectiveness of the alerting setup. This might involve refining search queries, adjusting threshold levels, or employing statistical models to reduce false positives.
  • Automated Responses: Explore opportunities to automate response actions for certain alerts. Automating responses can lead to faster mitigation of issues, reducing manual intervention and minimizing downtime.
  • Performance Tuning: Optimize the performance of your monitoring and alerting system by tuning hardware resources, such as memory and CPU, to handle increasing data volumes and maintain responsiveness.
  • Capacity Planning: Perform capacity planning to ensure that the monitoring infrastructure can handle future growth in data and events. Anticipate resource requirements and scale the system accordingly.
  • Continuous Improvement: Maintain a culture of continuous improvement for your monitoring and alerting setup. Encourage feedback from users and stakeholders to identify areas for enhancement and implement iterative improvements.
  • Security Considerations: Regularly review the security measures of the monitoring system to ensure that sensitive data and configurations are protected from unauthorized access.
  • Training and Education: Provide training and education to the team responsible for managing the alerting system. Ensure they are equipped with the knowledge and skills to optimize and troubleshoot the setup effectively.

By continuously monitoring and optimizing your alerting system, you can proactively address issues, ensure its alignment with changing requirements, and maintain its efficiency and relevance over time. This approach enhances the overall reliability of your disaster recovery and business continuity strategies, allowing for timely responses to potential issues and minimizing downtime.

Helpful resources

Splunk OnDemand Services: Use these credit-based services for direct access to Splunk technical consultants with a variety of technical services from a pre-defined catalog. Most customers have OnDemand Services per their license support plan. Engage the ODS team at if you require assistance.