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					Washington State Archives
 Washington State Archives



   ESSENTIAL RECORDS PROTECTION
     SECURITY BACKUP, DISASTER PREPAREDNESS, RESPONSE AND RECOVERY


Presented by:
Scott Sackett

Electronic Records Management Consultant,
Eastern Washington

Washington State Archives,
Central Region Branch
Washington State Archives




  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
Washington State Archives




           Course Outline:
            Introduction

            I. Essential Records Protection

            II. Planning

            III. Response and Recovery

            Course Summary
Washington State Archives

                            Manual available
            Essential Records:
               Security Backup,
          Preparedness and Response

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

        • Includes procedures and templates
Washington State Archives




                            Definition
  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
Washington State Archives




       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
Washington State Archives
Washington State Archives



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



    Results of Disasters
     • Water Damage
     • Fire Damage
     • Contamination
     • Loss of Access to Records
     • Loss of Electronic Data
Washington State Archives


Example:

Thousands of Starbucks
Corporation records were
flooded in the 2001
earthquake
Washington State Archives

 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
Washington State Archives



     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.
Washington State Archives




      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
Washington State Archives




Team Approach
 •Essential Records Coordinator


 •Essential Records Protection and Recovery Team
Washington State Archives



   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
Washington State Archives




                     Essential Records
                   Protection and Recovery Team:

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


        •Participates in Response and Recovery from Records
        Disasters


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




               Part I: Essential
              Records Protection
              • Essential Records Protection Plan
              • Electronic Records Protection
              • Risk Analysis
Washington State Archives




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


        Appendix B – Page B-1
Washington State Archives




         Five Basic Steps to Develop an
         Essential 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
Washington State Archives




   Step 1. Identify Essential Records

    Inventory Records Series held by your agency

    Identify records series that perform essential
    functions

    The Local Government General Records
    Retention Schedules identify Essential Records
Washington State Archives




    Step 2. Select Protection Methods

     Protect the Facility

     Protect Essential Records On-Site

     Duplicate Essential Records Off-Site
Washington State Archives




Protect the Facility:
                            • Fire Resistant File Cabinets and Safes
                            • Sprinkler Systems
                            • Smoke and Intrusion Alarms
                            • Fire Resistant Vaults
                            • Key Control
Washington State Archives


    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
 Washington State Archives



Duplicate Essential Records Offsite

                             • Existing Duplicates

                             • Paper Copies

                             • Microfilm Duplicates

                             • Digital Duplicates
Washington State Archives


            Step 3. Develop An Essential
            Records Protection Schedule

           • Each Essential Records Series
           • Office of Record
           • Media
           • Update Cycle/Total Retention
           • Protection Instructions
           • See Appendix B, Page B-1 for template
Washington State Archives




       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
Washington State Archives


             Step 5. Test the System
   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
Washington State Archives




     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?
Washington State Archives



       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
Washington State Archives




          Risk Analysis:
        •Functional Analysis

        •Physical Threat Assessment

        •See Appendix B
Washington State Archives


        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
                              RISK ASSESSMENT
                                    PROBABILITY CONSEQUENCES    RISK
                                    OF DISASTER  OF DISASTER   NUMBER
  NO.        NAME OF FUNCTION           0-5          0-5        0 - 25
   1 Accounts Payable                     3            5          15
   2 Payroll Records                      4            5          20
   3 Police Incident Reports              1            5           5
   4 General Correspondence               4            2           8
   5 Working Files                        5            1           5
Washington State Archives




 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
Washington State Archives



          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.
Washington State Archives



                            Benefits:
                            •Speed
                            •Correct Decisions
                            •Response Team
                            •Coordination
                            •Policy, Authority, Delegations
                            •Resources
                            •Communications
Washington State Archives
        Washington State Archives




                                    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
Washington State Archives             Page 24

                            Testing:
                            • Desktop Test

                            • Large Scale Test
Washington State Archives




                            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
Washington State Archives


                            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
Washington State Archives



  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
Washington State Archives



       Part III: Disaster
     Response and Recovery
                            • Six Keys to Success

                            • Responding to Disasters

                            • Recovering from Disasters
Washington State Archives



       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
Washington State Archives




 Responding to Records Disasters:
                            •Strategic Response

                            •Tactical Response

                            •Stabilize Environment and Records

                            •Select Drying and Repair Options

                            •Assemble Recovery Resources
Washington State Archives                         Page 25

      Strategic Response:
                            •Gain access to the site
                            •Assemble the Recovery Team
                            •Establish Controls
                            •Make an Initial Damage Assessment
                            •Establish Communications
Washington State Archives                   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
Washington State Archives




   Stabilize Records:
   •Get or Make a Records Inventory, including
        ―Records Series
        ―The Office of Record
        ―Location
   •Avoid Moving & Storing Valueless Records
Washington State Archives



  Select Drying & Repair Options:
Drying Options              Factors to Consider
Air Drying                  Volume

                            Media
Interleaf Drying
                            State and Degree of Damage
Desiccant Drying
                            Sensitivity of Media
Freeze Drying
                            Location of Drying Facilities
Vacuum Thermal Drying
                            Reference Accessibility
Vacuum Freeze Drying        Decision Logic Charts (Figures 6a. and 6b.)
Washington State Archives



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
Washington State Archives
        Washington State Archives
                                                 Page 31

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


     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
Washington State Archives




 Recovery Rules of Engagement:

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

 • Work safely

 • Watch for contamination

 • Know what you have
Washington State Archives



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 (Appendices C-4 & C-6)

•   Recovery of paper records by water, fire, mold (Appendices C5 & C6)

•   Recovery of contaminated records (Appendix C-7)

•   Recovery of film and photographs (Appendix C-9)

•   Recovery of electronic records (Appendix C-10)
Washington State Archives



    Post-Recovery:
    Returning Recovered Records to Office and Storage Spaces
    Disasters traumatize and physically change records
    Recovered records may need more containers/more space
    Sterilize records storage area before returning records
    Inspect for residual contamination
    Make follow-up inspections for at least 1 year

    Recovery Analysis and Reporting
    Determine and remedy causes of the disaster
    Meet with the Records Disaster Team to review response and recovery
    Evaluate Records Disaster and Essential Records Protection Plans
    Report findings to policy makers
Washington State Archives



                            Thank you!

                            Scott Sackett
   Electronic Records Management Consultant,
                Eastern Washington
             ssackett@secstate.wa.gov
          (509) 413-3296; (509) 963-2136

				
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