Washington State Archives

Washington State Archives Documenting Democracy

Washington State Archives

April 15, 2010

ESSENTIAL RECORDS PROTECTIONSECURITY BACKUP, DISASTER PREPAREDNESS,

RESPONSE AND RECOVERY


The Role of the Washington State Archives

As provided by Chapter 40.10 RCW:

• Coordinate the Essential Records Protection Program

• Provide training materials, workshops and onsite technical assistance


Course Outline:

Introduction

I. Essential Records Protection

II. Disaster Prevention and Response Plan


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

• Includes procedures and templates

http://www.sos.wa.gov/archives/ RecordsManagement/

DisasterPreparednessandRecovery.aspx

Manual availableEssential Records Manual: Security

Backup, Disaster Preparedness, Response and Recovery


Essential Records Defined

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


Essential Records Require Protection from Loss

• Identification/Designation

• Appropriate Storage

• Appropriate Backup (Duplication and Dispersal)


Essential Records Protection Plan

Policies and procedures that enable an agency to secure

mission-critical records against loss.


Five Basic Steps to Develop anEssential Records Protection Plan

1. Identify Essential Records Series

2. Select Protection Methods

3. Develop the Essential Records Schedule

4. Implement the Protection Measures

5. Test Annually


Step 1. Identify Essential Records

Inventory Records Series held by your agency

Identify records series that perform essential functions

Approved Records Retention Schedules identify Essential Records


Step 2. Select Protection Methods

Protect the Facility

Protect Essential Records On-Site

Duplicate Essential Records Off-Site


Protect the Facility

• Fire-Resistant File Cabinets and Safes

• Sprinkler Systems

• Smoke and Intrusion Alarms

• Fire Resistant Vaults

• 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 and 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 Onsite


Duplicate Essential Records Offsite

• Existing Duplicates?

• Microfilm Duplicates (Security Microfilm)

• Digital Duplicates (Disaster Recovery Storage Service)


Local government offices may coordinate the protection of their

essential records with the state archivist as necessary to provide continuity of local government under emergency

conditions.

(RCW 40.10.010)

Security Microfilm Program (Olympia) and Disaster Recovery

Storage Service (Cheney)


Security Microfilm Program• Located at the Archives’ Olympia Branch

• Free to agencies for storage of their security (silver halide) microfilm for Essential Records

• Inspected at time of transfer for compliance with Washington State Microfilm Standard

• Secure, climate-controlled vault storage

• More than 680 million pages backed up and stored in our microfilm vaults


Utilizing Security Microfilm

• Contact [email protected], or 360-753-0740

• Complete Microfilm Transmittal Form

• Ship reels and form to Olympia via trackable means

• Security Microfilm staff will inspect reels and contact your agency regarding results

• Reels are tagged, entered in database, moved to vault


For more information on the Security Microfilm Program

• Contact your Electronic Records Management Consultant

• Visit http://www.sos.wa.gov/archives/EssentialRecordsProtectionProgram.aspx

• Email [email protected]


1. Service Level Agreement

2. Vault Storage

3. Emergency Support

•Legal Agreement

•Statement of Work

Utilizing Disaster Recovery Storage Service (DRSS)



2. Vault Storage


•Low risk of natural hazards

•Tight security

•RFID tracking from customer to vault and back to customer




2. Vault Storage


• Emergency support 24 hours a day, 7 days a week, 365 days a year.

• 800 emergency phone number during non-business hours.



For more information on DRSS

• Contact your Electronic Records Management Consultant

• Visit http://www.digitalarchives.wa.gov/Content.aspx?txt=drss

• Email [email protected]


Step 3. Develop An Essential Records Protection Schedule

• Each Essential Records Series

• Office of Record

• Media

• Update Cycle/Total Retention

• Protection Instructions


Step 4. Implement the Plan

• Implement in each agency office

• Implement the update cycle for each series

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


Step 5. Test the System Annually

Check to see that:

• Facilities are secure

• Essential records are stored properly

• Security copies exist and are stored offsite

• Security copies are updated according to schedule


Electronic Records Protection: 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?

How often does backup take place?

What is backed up? Are Essential Records included?

Where is backup stored?


Risk Analysis

•Functional Analysis

•Physical Threat Assessment


Functional Analysis• Balances Risk and Value• Probability Number: Scale = 1- 5• Consequence Number: Scale = 1-5• Risk Number = Probability x Consequences• 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

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

Identify physical threats to office and records storage areas.


A plan that includes actions and procedures to reduce the risk of,

respond to, and recover from records disasters.

Records Disaster Prevention and Recovery

Plan


Types of Disasters

• Earthquake

• Flood

• Fire

• Storm

• Terrorism / Vandalism

• Human Error

• Computer Viruses

• Power/Plumbing/Equipment Failure


Example: Starbucks

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


Lessons Learned:• Planning and teamwork were critical

• 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 essential

• Recovery took considerable time and money

• Electronic records were back in operation in 3 days

Example: Starbucks Corporation


Example: University of Washington - Center for Urban Horticulture

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


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

Example: Center for Urban Horticulture


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

• Includes procedures and templates

http://www.sos.wa.gov/archives/ RecordsManagement/

DisasterPreparednessandRecovery.aspx

Manual availableEssential Records Manual: Security

Backup, Disaster Preparedness, Response and Recovery


Six Keys to Successful Response 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 Recovery Options


Strategic Response

•Gain Access to the Site

•Assemble the Recovery Team

•Establish Controls

•Make an Initial Damage Assessment

•Establish Communications


Tactical Response

•Choose Methods for Stabilizing the Environment and Records

•Stabilize the Environment

•Reassess Recovery Priorities as Necessary

•Choose Methods for Drying and Recovery

•Assemble Recovery Resources


Stabilize Records

•Get or Make a Records Inventory

―Records Series

―The Office of Record

―Location

•Avoid Moving & Storing Valueless Records


Selecting Recovery Options - Example: Paper Records

Factors to Consider

Volume

Media

State and Degree of Damage

Sensitivity of Media

Location of Drying Facilities

Reference Accessibility

Drying Options

Air Drying

Interleaf Drying

Desiccant Drying

Freeze Drying

Vacuum Thermal Drying

Vacuum Freeze Drying


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 Onsite as Necessary


You Are Not Alone

• Additional training/consultation available

• Contact Records Management or your Regional Archives Branch for advice and assistance

[email protected]

www.sos.wa.gov/archives


Washington State Archives: Partners in preservation and access

Thank you!

Washington State Archives

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