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Washington State Archives

ESSENTIAL RECORDS PROTECTION SECURITY BACKUP, DISASTER PREPAREDNESS, RESPONSE AND RECOVERY. Washington State Archives. Presented by: Scott Sackett Electronic Records Management Consultant, Eastern Washington Washington State Archives, Central Region Branch. As provided by RCW 40.10:

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Washington State Archives

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  1. ESSENTIAL RECORDS PROTECTIONSECURITY BACKUP, DISASTER PREPAREDNESS, RESPONSE AND RECOVERY Washington State Archives Presented by: Scott Sackett Electronic Records Management Consultant, Eastern Washington Washington State Archives, Central Region Branch

  2. As provided by RCW 40.10: Coordinate the Essential Records Protection Program Provide training materials, workshops and on-site technical assistance The Role of the Washington State Archives

  3. Introduction I. Essential Records Protection II. Planning III. Response and Recovery Course Summary Course Outline:

  4. Manual available Essential Records: Security Backup, Preparedness and Response • Covers all the basics of essential records protection and disaster preparedness. • Includes procedures and templates

  5. Essential 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 Definition

  6. Ordinances, resolutions, policy, procedures, oaths of office Disaster plans, as-built plans, recovery procedures Recorded documents, excise tax affidavits, binding site plans Essential Records Include:

  7. Types of Disasters • Earthquake • Flood • Fire • Storm • Terrorism / Vandalism • Human Error • Computer Viruses • Power, Plumbing/Equipment Failure

  8. Results of Disasters • Water Damage • Fire Damage • Contamination • Loss of Access to Records • Loss of Electronic Data

  9. Example: Thousands of Starbucks Corporation records were flooded in the 2001 earthquake

  10. Example: Starbucks Corporation 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

  11. Example: Eco Terrorism at the UW The Center for Urban Horticulture arson fire on May 21, 2001 at 3:00 AM.  The Earth Liberation Front took credit.

  12. 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

  13. Team Approach • Essential Records Coordinator • Essential Records Protection and Recovery Team

  14. 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

  15. Essential RecordsProtection and Recovery Team: • Assists in Developing Essential Records Protection and Disaster Prevention, Response and RecoveryPlans • Participates in Response and Recovery from Records Disasters • Individual Team Members Supervise Records Disaster Response and Recovery in their Departments or Work Units

  16. Essential Records Protection Plan Electronic Records Protection Risk Analysis Part I: EssentialRecords Protection

  17. Essential Records Protection Plan Policies and procedures that enable an agency to secure mission-critical records against loss. Appendix B – Page B-1

  18. 1. Identify Essential Records series 2. Select protection methods 3. Develop the Essential Records Schedule 4. Implement the protection measures 5. Test Annually Five Basic Steps to Develop anEssential Records Protection Plan

  19. Inventory Records Series held by your agency Identify records series that perform essential functions The Local Government General Records Retention Schedules identify Essential Records Step 1. Identify Essential Records

  20. Protect the Facility Protect Essential Records On-Site Duplicate Essential Records Off-Site Step 2. Select Protection Methods

  21. Protect the Facility: • Fire Resistant File Cabinets and Safes • Sprinkler Systems • Smoke and Intrusion Alarms • Fire Resistant Vaults • Key Control

  22. Protect Essential Records On-site: • 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

  23. Duplicate Essential Records Offsite • Existing Duplicates • Paper Copies • Microfilm Duplicates • Digital Duplicates

  24. Each Essential Records Series Office of Record Media Update Cycle/Total Retention Protection Instructions See Appendix B, Page B-1 for template Step 3. Develop An Essential Records Protection Schedule

  25. Implement in each agency office Implement update cycle for each series The more frequent the update cycle, the better the protection Step 4. Implement the Plan

  26. Test the effectiveness annually. Check to see that: Facilities are secure Essential records are stored properly Security copies exist Security copies are stored offsite Security copies are updated according to schedule Copies held by other offices still exist Step 5. Test the System

  27. Know the Agency’s IT System: • Is there a central IT department in the agency? • Does IT have a disaster plan and/or backup procedures? • Are Essential Records included? • Are smaller workgroup-level servers or PCs included?

  28. 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

  29. Risk Analysis: • Functional Analysis • Physical Threat Assessment • See Appendix B

  30. 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

  31. 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

  32. Part II: Planning Records Disaster Prevention and Recovery Plan A plan that includes actions and procedures to reduce the risk of, respond to, and recover from records disasters.

  33. Benefits: • Speed • Correct Decisions • Response Team • Coordination • Policy, Authority, Delegations • Resources • Communications

  34. Key Elements: Washington State Archives • 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

  35. Page 24 Testing: • Desktop Test • Large Scale Test

  36. 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

  37. 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

  38. 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

  39. Part III: Disaster Responseand Recovery • Six Keys to Success • Responding to Disasters • Recovering from Disasters

  40. Six Keys to Successful Response and Recovery: • A detailed Disaster Recovery Plan • Committed management • Educated and trained staff • Timely initial response • Effective communication • Quick, informed decisions

  41. Responding to Records Disasters: • Strategic Response • Tactical Response • Stabilize Environment and Records • Select Drying and Repair Options • Assemble Recovery Resources

  42. Page 25 Strategic Response: • Gain access to the site • Assemble the Recovery Team • Establish Controls • Make an Initial Damage Assessment • Establish Communications

  43. Page 26 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

  44. Stabilize Records: • Get or Make a Records Inventory, including • Records Series • The Office of Record • Location • Avoid Moving & Storing Valueless Records

  45. Select Drying & Repair Options: Drying Options Air Drying Interleaf Drying Desiccant Drying Freeze Drying Vacuum Thermal Drying Vacuum Freeze Drying Factors to Consider Volume Media State and Degree of Damage Sensitivity of Media Location of Drying Facilities Reference Accessibility Decision Logic Charts (Figures 6a. and 6b.)

  46. 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

  47. Page 31 Washington State Archives Recovering from Records Disasters: • Recovery Defined • Recovery Rules of Engagement • Basic Recovery Procedures • Post Recovery

  48. Records Recovery • Actions 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

  49. Recovery Rules of Engagement: • Do not enter a site or remove records without a plan • Work safely • Watch for contamination • Know what you have

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