Disaster Recovery and Records Management: Essential Strategies for Agency Continuity

1. Disaster Recovery 1/10/2018

2. COOP, Disaster Recovery, and Records Recovery • Continuity of Operations Plan’s purpose is to be prepared to relocated your agency in the event of a long term disaster. • Disaster Recovery refer to the initial steps during or following a disaster to maintain law and order, and the continuity of government. • Records recovery’s focus is maintaining an agencies ability to fulfill its mission.

3. Steps of Disaster Recovery • Plan • Prepare • Respond • Recover

4. Planning • Identify Vital Records • Identify Disaster response team • Locate local contractors to rebuild and repair facilities, equipment and documents • Identify temporary/new facility requirements

5. Vital Records • Vital records are any record essential to fulfill the mission of your agency. • Know where all of the vital records for your agency are kept. • Make sure that vital records are backup. • If they cannot be backed up take steps to protect them from disaster. • Make sure vital records are accessible for everyone who will need to access them.

6. Non-Vital Records • Vital Records you will need on day one to continue working. • Identify records you will need within: • 1 Week • 1 Month • 2 Months to 1 Year • Identify where and how these records are stored.

7. First Response Team • Assign a Lead Disaster Records Coordinators (DRC) to take charge in the event of an incident. • Typically agency/department head • Pick a back up Lead in the event the Lead DRC is unavailable. • Assistant agency head, or anyone who can be counted on to take charge in the event of a disaster • Identify parties that need to be on the first call list. • Department head • On site Facilities manager • Team leads

8. Outside Resources • DAS Facilities • Contact if a new facility or facility repairs need to be made. • Local Emergency Services • Make sure to have both the emergency and non-emergency numbers for all of the local emergency services • Freezer/Cold Storage • One of the best ways to save wet documents is to freeze them • Professional Consultants • Collect the numbers of Recovery Service consultants • Have the number for any consulting firms or professionals that can provide insight to the recover of your specific agency

9. Facility Requirements • Know your agencies facility requirements • Minimum square feet your department/agency requires to operate • The number of Computers and any hardware Number of internet/intranet connections • Number of phone lines • Security concerns • Parking (low priority)

10. Prepare • Create a disaster response plan • Compile a list of names and phone numbers of the first action response team, agency staff, and relevant contractors and vendors. • Create a recovery/clean up supply list • Back up vital records • Obtain proper software and permissions to continue work after a disaster • Train Staff

11. Creating a Plan • Compile all of the information from the planning phase • Prioritize each work group within the agency • Include all numbers for: • First response team • All agency staff • Vendor and consultants • Facility contacts • Distribute the plan • Regular review • Annual or as staff changes

12. Nebraska Secretary of State Records Management Disaster Recovery Plan • Purpose • Policy • Scope • Responsibility • Introduction • 7 Steps • Organizing for response • Business Systems priorities • Floor Plans • Security • Appendices

13. Respond • Activate the Disaster response team • Make sure everyone is safe • Prevent any further damage to records, equipment, or facilities where possible • Contact relevant vendors and contractors • Contact Agency Staff • Recover through backups the ability to continue agency business. • Document all steps of the process as they unfold

14. Recover • Identify which records need attention • Vital • One Week • One Month • Two Months - 1 year • If needed identify and shift to a new facility • Reestablish network connections • Notify staff when and where to return to work

15. After Action Report • Vital to the Document Recovery Process • Include all actions taken • What worked/what didn’t work • Include a complete list of records that were lost to the disaster • Create a record disposition report for these records

16. Records Managements Seven Steps to Disaster Emergency Response • Activate First Response Team • Establish Safety and Security • Stabilize Environment • Assess Damage • Prioritize Records • Treat Records • After Action Report

17. Contact Us • Austin Rhodes RIM Specialist/DISC Supervisor Austin.Rhodes@Nebraska.gov 402-471-9778 • Jeanette Greer Records Management Division Manager Jeanette.Greer@Nebraska.gov 402-471-2747