Washington State Archives

1. ESSENTIAL RECORDS PROTECTION SECURITY BACKUP, DISASTER PREPAREDNESS, RESPONSE AND RECOVERY Washington State Archives April 15, 2010

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

3. Introduction I. Essential Records Protection II. Disaster Prevention and Response Plan Course Outline:

4. Manual available Essential Records Manual: Security Backup, Disaster Preparedness, Response and Recovery • Covers all the basics of essential records protection and disaster preparedness • Includes procedures and templates http://www.sos.wa.gov/archives/ RecordsManagement/ DisasterPreparednessandRecovery.aspx

5. 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 Defined

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:

9. Identification/Designation Appropriate Storage Appropriate Backup (Duplication and Dispersal) Essential Records Require Protection from Loss

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

11. 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

12. Inventory Records Series held by your agency Identify records series that perform essential functions Approved Records Retention Schedules identify Essential Records Step 1. Identify Essential Records

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

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

16. Protect Essential Records Onsite • 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

17. Duplicate Essential Records Offsite • Existing Duplicates? • Microfilm Duplicates (Security Microfilm) • Digital Duplicates (Disaster Recovery Storage Service)

18. Security Microfilm Program (Olympia) and Disaster Recovery Storage Service (Cheney) 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)

19. 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 Security Microfilm Program

20. Contact securitymicrofilm@sos.wa.gov, 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 Utilizing Security Microfilm

21. Contact your Electronic Records Management Consultant Visit http://www.sos.wa.gov/archives/EssentialRecordsProtectionProgram.aspx Email securitymicrofilm@sos.wa.gov For more information on the Security Microfilm Program

22. Utilizing Disaster Recovery Storage Service (DRSS) • Legal Agreement • Statement of Work 1. Service Level Agreement 2. Vault Storage 3. Emergency Support

23. Utilizing Disaster Recovery Storage Service (DRSS) • Low risk of natural hazards • Tight security • RFID tracking from customer to vault and back to customer 1. Service Level Agreement 2. Vault Storage 3. Emergency Support

24. Utilizing Disaster Recovery Storage Service (DRSS) 1. Service Level Agreement 2. Vault Storage 3. Emergency Support • Emergency support 24 hours a day, 7 days a week, 365 days a year. • 800 emergency phone number during non-business hours.

25. Contact your Electronic Records Management Consultant Visit http://www.digitalarchives.wa.gov/Content.aspx?txt=drss Email DRSS@digitalarchives.wa.gov For more information on DRSS

26. Each Essential Records Series Office of Record Media Update Cycle/Total Retention Protection Instructions Step 3. Develop An Essential Records Protection Schedule

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

29. 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 Step 5. Test the System Annually

30. 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?

31. Risk Analysis • Functional Analysis • Physical Threat Assessment

32. 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

33. 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.

34. 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.

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

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

37. Example: Starbucks Corporation 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

38. 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. 

39. 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

40. Manual available Essential Records Manual: Security Backup, Disaster Preparedness, Response and Recovery • Covers all the basics of essential records protection and disaster preparedness • Includes procedures and templates http://www.sos.wa.gov/archives/ RecordsManagement/ DisasterPreparednessandRecovery.aspx

41. 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

42. Responding to Records Disasters • Strategic Response • Tactical Response • Stabilize Environment and Records • Select Recovery Options

43. Strategic Response • Gain Access to the Site • Assemble the Recovery Team • Establish Controls • Make an Initial Damage Assessment • Establish Communications

44. 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

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

46. Selecting Recovery Options - Example: Paper Records 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

47. 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

48. Additional training/consultation available Contact Records Management or your Regional Archives Branch for advice and assistance recordsmanagement@sos.wa.gov www.sos.wa.gov/archives You Are Not Alone

49. Thank you! Washington State Archives: Partners in preservation and access