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Emergency Preparedness for Government Records

Emergency Preparedness for Government Records. Texas State Library and Archives Commission State and Local Records Management Division. P.O. Box 12927, Austin, TX 78711-2927 (512) 463-7610 | slrminfo@tsl.state.tx.us www.tsl.state.tx.us/slrm/. Agenda. Records emergencies in Texas

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Emergency Preparedness for Government Records

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  1. Emergency Preparedness for Government Records Texas State Library and Archives Commission State and Local Records Management Division P.O. Box 12927, Austin, TX 78711-2927 (512) 463-7610 | slrminfo@tsl.state.tx.us www.tsl.state.tx.us/slrm/

  2. Agenda • Records emergencies in Texas • Records management basics • Legal obligations • Essential records – how to identify, protect, and ensure access • Records emergency planning and response – how to prepare for and recover from a records emergency

  3. Government Record • Created or received by a local government, officer, or employee in transaction of public business; or by or on behalf of a state agency or an elected state official documenting activities in the conduct of state business or use of public resources • Any medium – paper, letter, book, map, photograph, audio, video, microform, magnetic tape, electronic • Open or confidential information

  4. Does not include the following: • Convenience copies • Copies of documents furnished to the public (Public Information Act) • Blank forms/stocks of publications • Library or museum materials • Alternative Dispute Resolution working files

  5. Records Emergencies in Texas

  6. Tornadoes Photo: Associated Press March 2000 (Fort Worth)

  7. Tornadoes Photo: Associated Press May 27, 1997 (Cedar Park)

  8. Wildfires Photo: Associated Press December 26, 2005 - April 1, 2006 (Northeastern Panhandle)

  9. Wildfires Photo: Victoria Yarbrough September 4 – October 10, 2011 (Bastrop County)

  10. Floods Photo: Texas State Library and Archives Commission / Steve Drake Severe storms, flooding across 29 counties, 2002 (Bexar County)

  11. Tropical Storms Photo: Houston Chronicle / Dr. Neil Frank Tropical Storm Allison, June 2001 (Houston)

  12. Hurricanes Photo: Mark Wilson/Getty Images North America Hurricane Ike, 2008 (Galveston)

  13. Courthouse Fires Photo: Texas Association of Counties Newton County (2000)

  14. Power Outages Photo: EPA/Bob Pearson Hurricane Dolly, July 2008 (South Padre Island)

  15. Security Breaches • Hackers: • University of Texas at Arlington – prescription records & SSNs of 27,000 individuals potentially exposed to unauthorized source • Houston teenager hacked into protected computers of federal agencies (White House, U.S. Army), a community college, & large telecommunications firms – estimated $1.5 million in damages • Computer Virus: • Texas Tech Health Sciences Center website down 24 hours due to virus that slipped past anti-virus software

  16. The Basics • Information is an asset • Risks related to emergencies • Emergencies are not the same for everyone • Active records management is crucial • Routine disposition

  17. Emergencies • Natural • Hurricanes • Floods • Technological • Building or equipment failures • Electrical malfunctions • Civil • Arson • Vandalism • Terrorism

  18. Legal Obligations • Local governments’ duties: • Essential records program • Local Government Code, Chapter 203.021(5) • Emergency management program • Government Code, Chapter 418 (Texas Disaster Act of 1975) • State agencies’ duties: • Vital records program • Government Code, Chapter 441.183(4) • Emergency management program • Government Code, Chapter 418 (Texas Disaster Act of 1975)

  19. Continuity of Operations (COOP) The 11 elements of viable COOP capability: • Essential functions • Vital (Essential) records • Orders of succession • Delegations of authority • Alternate facilities • Interoperable communications • Human capital • Tests, training, and exercises • Devolution • Reconstitution • Written COOP Plan

  20. Essential Records

  21. Essential Records • Definition • How to identify • How to protect • How to ensure access in the event of an emergency

  22. What are Essential Records? • Records that are needed to: • Resume or continue operations • Re-create legal and financial status • Protect and fulfill obligations to the people of the state Local Government Code, Section 201.003(5)

  23. Resume or Continue Operations • Examples: • Delegations of authority • Rules, policies, and procedures • Prison, jail, and parole records • Maps and building plans (as-built plans) • Emergency or COOP plan

  24. Re-create Legal and Financial Status • Examples: • Contracts and leases • Accounts receivable / payable • Insurance records • Payroll

  25. Protect & Fulfill Obligations to the People of the State • Examples: • Deeds, mortgages, land records • Birth and marriage records • Active court proceedings • Voting records Birth records, Brownsville City Hall storage vault

  26. How To Identify Essential Records • Need to differentiate essential records from other records • Less than 5% of all government records are essential

  27. How To Identify Your Essential Records • Factors to consider: 1. Your essential functions 2. Your records 3. Your stakeholders 4. Relevant statutes, regulations, and standards

  28. 1. Essential Functions • During an emergency, essential functions: • Provide vital services • Exercise civil authority • Maintain safety and well-being of the general population • Sustain the jurisdiction’s industrial economic base • Must continue under all circumstances

  29. Determining Essential Functions • Analyze your business functions: • What business functions must you continue to perform? • Which of those functions are performed only by you? • Is there any alternative method of carrying out those functions? • All remaining functions are your essential functions

  30. 2. Your Records • Importance of a good records management program • Records inventories • Records retention schedules

  31. 3. Stakeholders • Know your stakeholders • Who depends on you? • Who provides mission-critical support? • Interview stakeholders • What if you didn’t have access to that information for 24 hours or longer? • How long could you operate without those records?

  32. 4. Relevant Statutes, Regulations and Standards • Statutes and ordinances that apply to your organization • Regulations issued by state and local governments • Standards from federal agencies and national organizations

  33. Photo: Ross Tuckerman/AFP/Getty Images

  34. How To Protect Essential Records • Identify and evaluate hazards and risks • Determine and evaluate preparedness and mitigation measures

  35. Identify and Evaluate Hazards and Risks • Hazard • Risk Pipes over filing cabinets = HAZARD Wet records = RISK

  36. Risk Assessment Techniques • Expert interviews • Brainstorming – “What if?” • Site survey

  37. Site Survey • Environmental • Physical • Personnel • Information security • Preparedness Above: Boxcar storage: environmental and physical risks Left: Restricted access areas on the computer network improve information security

  38. Risk Analysis • Establish rating system • Rate your risks • Evaluate your findings

  39. 1. Establish Rating System • Probability rating • Impact rating

  40. 2. Rate Your Risks • Rate each risk identified • Examples: • Water damage • Theft • Mold and mildew

  41. 3. Evaluate Your Findings • Determine your threshold for action =Action

  42. Preparedness and Mitigation Measures • On-site protection • Dispersal • Evacuation • Tape backup • Data replication • Mirroring Image: “The History of Tape Storage” http://flic.kr/p/4HYNgX

  43. How To Ensure Access to Essential Records • Prioritize access • Develop procedures

  44. Prioritize Access • Based on the type of essential record: • Emergency and/or COOP plans • Maps and building plans • Delegations of authority Priority 1: First 0-12 hours • Active court proceedings • Bail bond forfeitures • Contracts & leases Priority 2: First 12-72 hours • Inactive case papers • Historical photographs • Medical records Priority 3: After first 72 hours

  45. Access Priorities

  46. Procedures to Ensure Access • Cycling • Periodically replacing or updating copies of essential records • Develop duplication schedule • Documenting • Policies • Delegations of authority • Responsibilities

  47. Photo: AP/Roswell Daily Record, Mark Wilson

  48. Records Emergency Planning and Response

  49. Records Emergency Action Plan (REAP) • Outlines the information and actions needed to respond to and recover from a records emergency • Purpose is to prevent the following: • Loss of records and information • Costly salvage of records and information • Delay in restoring critical business functions

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