washington state archives presented by: scott roley northwest regional branch [email protected]...

Washington State Archives

Presented by:

Scott RoleyNorthwest Regional [email protected] 360-650-2813


ESSENTIAL RECORDS PROTECTIONESSENTIAL RECORDS PROTECTIONSECURITY BACKUP, DISASTER PREPAREDNESS, RESPONSE AND RECOVERY


The Role of the Washington State Archives

As provided by RCW 40.10:

• Coordinate the Essential Records Protection Program

• Provide training materials, workshops and on-site technical assistance


Course Outline:Introduction

I. Essential Records Protection

II. Planning

III. Response and Recovery

Course Summary


• Covers all the basics of essential records protection and disaster preparedness.

• Procedures and templates for:

– Essential Records Protection

– Records Disaster Planning, Response and Recovery

“Essential Records:Security Backup, Preparedness, and Response”

http://www.secstate.wa.gov/archives/RecordsManagement/EssentialRecordsDisasterPreparednessManual.aspx


DefinitionEssential Records: Records that an agency absolutely must have in order to:

• Document legal authorities, rights, and responsibilities

• Resume or maintain operations in a disaster / emergency

• Document the rights of individuals


Essential Records Include:• Ordinances, resolutions, policy, procedures, oaths of

office

• Disaster plans, as-built plans, recovery procedures

• Recorded documents, excise tax affidavits, binding site plans


Types of Disasters• Earthquake

• Flood

• Fire

• Storm

• Human Error

• Computer Viruses

• Terrorism / Vandalism

• Power, Plumbing/Equipment Failure


Results of Disasters• Water Damage

• Fire Damage

• Contamination

• Loss of Access to Records

• Loss of Electronic Data


Lessons Learned:• Records Retention Schedules and the Essential Records Protection

program were critical to recovery

• The walk-through was the first key element of recovery

• Documenting the damage to records and equipment is key

• Tracking records through pack-out, recovery and restoration is key

• Planning and teamwork were essential

• Recovery took time and money

• Electronic records were back in operation in 3 days

Example:Thousands of Starbucks Corporationrecords were flooded in the 2001 Earthquake


Example:

The Center for Urban Horticulture arson fire on May 21, 2001 at 3:00 AM. The Earth Liberation Front took credit.

Eco Terrorism at the UW


Lessons Learned:

• Staff could not enter the building immediately

• Records weren’t stabilized in time to prevent mildew

• Paper documents were partially restored by freezing

• The restoration process took more than 4 months

• Electronic records were restored faster than paper


Elements of an Essential Records & Disaster Preparedness Program

• Prevention

• Planning

• Response and Recovery


Team Approach

•Essential Records Coordinator

•Essential Records Protection and Recovery Team


Essential Records Coordinator

Responsible for:•Essential Records Protection Plan

•Records Disaster Prevention, Response and Recovery Plan

•Records Disaster Response Team

•Coordination with Agency Emergency Management Plan

•Response and Recovery of Records from Specific Disasters

•Training Disaster Response Team and Other Key Personnel

•Test and updating plans


Essential RecordsProtection and Recovery Team:

•Assists in Developing Essential Records Protection and Disaster Prevention, Response and Recovery Plans

•Participates Response and Recovery from Records Disasters

•Individual Team Members Supervise Records Disaster Response and Recovery in their Departments or Work Units


Part I: EssentialRecords Protection• Essential Records Protection Plan

• The Role of Records Management

• Electronic Records Protection

• Risk Analysis

Page 4


Essential Records

Policies and procedures that enable an agency to secure mission-critical records against loss.

Protection Plan

Appendix B – Page B-1


Step 1. Identify Essential Records

Inventory Records Series held by your agency

Identify records series that perform essential functions

Records Retention Schedules identify Essential Records

Essential Records List – Appendix B – Page B-1


Step 2. Select Protection Methods

Protect the Facility

Protect Essential Records On-Site

Duplicate Essential Records Off-Site

Page 6


Protect the Facility:• Fire Resistant File Cabinets and Safes

• Sprinkler Systems

• Smoke and Intrusion Alarms

• Fire Resistant Vaults

• No Smoking

• Key Control


• Minimize the time they are maintained in office space

• Locate them on the office floor plan

• Keep them separate from other records

• Keep them close together

• Locate them near an exit

• Keep them off desks

• Keep them off the floor

• Keep them in metal file cabinets

• Keep them out of bottom file drawers

• Use fire and water resistant file drawer labels

Protect Essential Records On-site:


Duplicate EssentialRecords Off-Site:

• Existing Duplicates

• Paper Copies

• Microfilm Duplicates

• Digital Duplicates

Page 7


Step 3. Develop An Essential Records Protection Schedule The Essential Records Protection Scheduleshould include:

• Each Essential Records Series• Office of Record• Media• Update Cycle/Total Retention• Protection Instructions• See Appendix B

Page 8

Template – Appendix B – Page B-1


Step 4. Implement the Plan

• Implement in each agency office.

• Implement update cycle for each series

• The more frequent the update cycle, the better the protection


Step 5. Test the SystemTest the effectiveness annually. Check to see that:

• Facilities are secure

• Essential Records are stored properly

• Security copies exist

• Security copies are stored off-site

• Security copies are up-dated according to schedule

• Copies held by other offices still exist


Know the Agency’s IT System:

Is there a central IT department in the agency?

Does IT have a disaster plan and/or backup procedure?

Are Essential Records included?

Are smaller work group level servers or PCs included?


Protect Data on Small Systems:

•Back up data to the LAN, if possible, Daily or Weekly

•Otherwise, back up routinely onto removable media

•Store backup data off-site

•Store copies of applications and programs off-site

•Store copies of procedures and instructions off-site


Risk Analysis:

•Functional Analysis

•Physical Threat Assessment

•See Appendix B

Page 13


Functional Analysis:• Balances Risk and Value• Probability Number: Scale = 1- 5• Consequence Number: Scale = 1-5• Risk Number: Probability X Consequence• Scale: 0 = Low Risk 25 = Highest Risk

PROBABILITY CONSEQUENCES RISKOF DISASTER OF DISASTER NUMBER

NO. NAME OF FUNCTION 0 - 5 0 - 5 0 - 251 Accounts Payable 3 5 152 Payroll Records 4 5 203 Police Incident Reports 1 5 54 General Correspondence 4 2 85 Working Files 5 1 5

RISK ASSESSMENT


Physical Threat Assessment:Identify physical threats to office and records storage areas.

Examples:• Building Security• Earthquake Bracing• Fire Alarms• Water Lines and Drains• Fire Suppression System


Part II: Planning Records Disaster Prevention and Recovery Plan

• Benefits

• Key Elements

• Testing

• How does the Plan fit in?

A plan that includes actions and procedures to reduce the risk, respond to and recover from records disasters.

Page 16


Benefits:•Speed

•Correct Decisions

•Response Team

•Coordination

•Policy, Authority, Delegations

•Resources

•Communications



Key Elements:•Complete Template in Appendix A

•Policy (Management Approval and Support)

•Authority and Responsibility

•Training and Supplies

•Support

•Communications

•Essential Records Schedule – Appendix B-2

•Preparedness and Prevention Procedures – Appendix B

•Response and Recovery Procedures – Appendices C, D, E

Appendix A – Page A-1


Testing:

• Desktop Test

• Large Scale Test

Page 24


Desktop Test:• A small exercise for single Disaster Recovery Team

• Write a scenario

• Call relevant Disaster Team Members and Staff

• Assemble the Disaster Recovery Team

• Assess damage

• Plan appropriate response

• Evaluate results


Large Scale Test:• Fully developed test • Wider participation• Simulated records damage• Write Scenario• Assemble teams• Test operations center• Detailed assessment of damages• Test IT restoration procedures• Plan appropriate response• Move records to simulated repair and

storage area• Test documentation procedure• Test availability of supplies• Return and shelve “restored” records• Evaluate results


How does the Records Disaster Prevention and Recovery Plan fit in?

• Must be compatible with overall Agency Disaster Plan

• Must be compatible with IT Disaster Plan

• Must cover IT recovery in the absence of an IT Disaster Plan

• Should be referenced in Agency Disaster & IT Disaster Plans

• Should not duplicate other Agency disaster directives


Part III: Disaster Response and Recovery

• Six Keys to Success

• Responding to Disasters

• Recovering from Disasters

Page 25


Six Keys to SuccessfulResponse and Recovery:

1. A detailed Disaster Recovery Plan

2. Committed Management

3. Educated and Trained Staff

4. Timely Initial Response

5. Effective Communication

6. Quick, Informed decisions


Responding to Records Disasters: •Strategic Response

•Tactical Response

•Stabilize Environment and Records

•Select Drying and Repair Options

•Assemble Recovery Resources


Strategic Response:

•Gain access to the site

•Assemble the Recovery Team

•Establish Controls

•Make an Initial Damage Assessment

•Establish Communications

Page 25


Tactical Response: •Choose Methods for Stabilizing the Environment and Records

•Stabilize the Environment

•Re-Assess Recovery Priorities as Necessary

•Choose methods for drying and recovery

•Assemble Necessary Supplies

Page 26


Stabilize Records: •Get or Make a Records Inventory, including

―Records Series

―The Office of Record

―Location

•Avoid Moving & Storing Valueless Records


Select Drying & Repair Options:

Factors to ConsiderVolume

Media

State and Degree of Damage

Sensitivity of Media

Location of Drying Facilities

Reference Accessibility

Decision Logic Charts (Figures 6a. and 6b.)

Drying Options

Air Drying

Interleaf Drying

Desiccant Drying

Freeze Drying

Vacuum Thermal Drying

Vacuum Freeze Drying

Page 29


Assemble Recovery Resources:

•Use Lists of Staff, Volunteers and Temporary Help

•Use Pre-Arranged Spending and Hiring Authorities

•Move Supplies and Equipment to the Damage Site

•Contact and Bring Recovery Contractors on Site as Necessary

Page 30



Recovering from Records Disasters: •Recovery Defined

•Recovery Rules of Engagement

•Basic Recovery Procedures

•Post Recovery

Page 31


Records RecoveryActions and treatments that restore records to a usable state:• Establish intellectual and physical control• Pack out records• Dry wet records or freeze them for later recovery• Repair or replace charred records• Duplicate and destroy documents contaminated or damaged beyond repair

– Use the Essential Records Schedule to determine if copies or backups available– Replace records with security copies– Retrieve and install electronic record backups

• Destroy unnecessary records• Repair salvageable records using appropriate conservation techniques• Store undamaged records

• Re-house salvaged records


Recovery Rules of Engagement:

• Do not enter a site or remove records without a plan

• Work safely

• Watch for contamination

• Know what you have


Basic Recovery Procedures:• Pack out and recover essential records first

• Inspect the site and undamaged records for mold and other contamination

• Pack records according to how they will be recovered (Appendix C Pages C-9 - C-11)

• Recovery of paper records by water, fire, mold (Appendix C – Page C15 & C16)

• Recovery of contaminated records (Appendix C – Page C-17)

• Recovery of film and photographs (Appendix E)

• Recovery of electronic records (Appendix E)

Page 32


Post Recovery:Returning Recovered Records to Office and Storage SpacesDisasters traumatize and physically change recordsRecovered records may need more containers/more spaceSterilize records storage area before returning recordsInspect for residual contaminationMake follow-up inspections for at least 1 year

Recovery Analysis and ReportingDetermine and Remedy Causes of the DisasterMeet with the Records Disaster Team to Review Response and RecoveryEvaluate Records Disaster and Essential records Protection PlansReport findings to policy makers

Page 33


Course Summary:The Manual provides Basic Concepts, Detailed Procedures and Templates

Designate an Essential Records Coordinator

Train and Maintain Essential Records Protection and Recovery Team

Essential Records Protection is the Key to Records Disaster Prevention

Off-site Backup Duplication is the Best Form of Protection

Response to Records Disasters Must be Fast and Sure

A Records Disaster Prevention and Recovery Plan is Key

Adapt the Response and Recovery Plan to Specific Situations

Test the Records Disaster Prevention and Recovery Plan Periodically

Interactive Training soon to be Available Online

washington state archives presented by: scott roley northwest regional branch [email protected]...

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