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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: - PowerPoint PPT Presentation
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Washington State Archives
Presented by:
Scott Sackett
Electronic Records Management Consultant, Eastern Washington
Washington State Archives,Central Region Branch
Washington State Archives
ESSENTIAL RECORDS PROTECTIONESSENTIAL RECORDS PROTECTIONSECURITY BACKUP, DISASTER PREPAREDNESS, RESPONSE AND RECOVERY
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
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Course Outline:Introduction
I. Essential Records Protection
II. Planning
III. Response and Recovery
Course Summary
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• Covers all the basics of essential records protection and disaster preparedness.
• Includes procedures and templates
Manual availableEssential Records:
Security Backup, Preparedness and Response
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DefinitionEssential 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
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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
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Results of Disasters• Water Damage
• Fire Damage
• Contamination
• Loss of Access to Records
• Loss of Electronic Data
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Example:
Thousands of Starbucks Corporation records were flooded in the 2001 earthquake
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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
Example: Starbucks Corporation
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Example:
The Center for Urban Horticulture arson fire on May 21, 2001 at 3:00 AM. The Earth Liberation Front took credit.
Eco Terrorism at the UW
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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
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Team Approach
•Essential Records Coordinator
•Essential Records Protection and Recovery Team
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Essential Records CoordinatorResponsible 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 RecordsProtection 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
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Part I: EssentialRecords Protection• Essential Records Protection Plan
• Electronic Records Protection
• Risk Analysis
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Essential Records
Policies and procedures that enable an agency to secure mission-critical records against loss.
Protection Plan
Appendix B – Page B-1
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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
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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
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Step 2. Select Protection Methods
Protect the Facility
Protect Essential Records On-Site
Duplicate Essential Records Off-Site
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Protect the Facility:
• Fire Resistant File Cabinets and Safes
• Sprinkler Systems
• Smoke and Intrusion Alarms
• Fire Resistant Vaults
• Key Control
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• 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
Protect Essential Records On-site:
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Duplicate Essential Records Offsite
• Existing Duplicates
• Paper Copies
• Microfilm Duplicates
• Digital Duplicates
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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
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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
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Step 5. Test the SystemTest 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
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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?
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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
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Risk Analysis:•Functional Analysis
•Physical Threat Assessment
•See Appendix B
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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
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
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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 ArchivesPart II: Planning
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
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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
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Testing:• Desktop Test
• Large Scale Test
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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
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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
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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
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Part III: Disaster Response and Recovery
• Six Keys to Success
• Responding to Disasters
• Recovering from Disasters
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Six Keys to SuccessfulResponse 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
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Responding to Records Disasters: •Strategic Response
•Tactical Response
•Stabilize Environment and Records
•Select Drying and Repair Options
•Assemble Recovery Resources
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Strategic Response: •Gain access to the site
•Assemble the Recovery Team
•Establish Controls
•Make an Initial Damage Assessment
•Establish Communications
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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
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Washington State Archives
Stabilize Records: •Get or Make a Records Inventory, including
―Records Series
―The Office of Record
―Location
•Avoid Moving & Storing Valueless Records
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Select Drying & Repair Options:
Factors to ConsiderVolume
Media
State and Degree of Damage
Sensitivity of Media
Location of Drying Facilities
Reference Accessibility
Decision Logic Charts (Figures 6a. and 6b.)
Drying OptionsAir Drying
Interleaf Drying
Desiccant Drying
Freeze Drying
Vacuum Thermal Drying
Vacuum Freeze Drying
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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
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Washington State Archives
Recovering from Records Disasters: •Recovery Defined
•Recovery Rules of Engagement
•Basic Recovery Procedures
•Post Recovery
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Records RecoveryActions 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
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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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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)
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Post-Recovery:Returning Recovered Records to Office and Storage SpacesDisasters traumatize and physically change recordsRecovered records may need more containers/more spaceSterilize records storage area before returning recordsInspect for residual contaminationMake follow-up inspections for at least 1 year
Recovery Analysis and ReportingDetermine and remedy causes of the disasterMeet with the Records Disaster Team to review response and recoveryEvaluate Records Disaster and Essential Records Protection PlansReport findings to policy makers
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Thank you!
Scott Sackett Electronic Records Management Consultant,
Eastern Washington [email protected]
(509) 413-3296; (509) 963-2136