Washington State Archives Presented by: Scott Roley Northwest Regional Branch Washington State Archives ESSENTIAL RECORDS PROTECTION ESSENTIAL RECORDS PROTECTION SECURITY 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

Washington State Archives Course Outline: Introduction I. Essential Records Protection II. Planning III. Response and Recovery Course Summary

Washington State Archives Covers all the basics of essential records protection and disaster preparedness. Procedures and templates for: –Essential Records Protection –Records Disaster Planning, Response and Recovery “Essential Records: Security Backup, Preparedness, and Response” PreparednessManual.aspx

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 Types of Disasters Earthquake Flood Fire Storm Human Error Computer Viruses Terrorism / Vandalism 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 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: Thousands of Starbucks Corporation records were flooded in the 2001 Earthquake

Washington State Archives 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

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 Elements of an Essential Records & Disaster Preparedness Program Prevention Planning Response and Recovery

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 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 The Role of Records Management Electronic Records Protection Risk Analysis Page 4

Washington State Archives Essential Records Policies and procedures that enable an agency to secure mission-critical records against loss. Protection Plan Appendix B – Page B-1

Washington State Archives Step 1. Identify Essential Records Inventory Records Series held by your agency Identify records series that perform essential functions Records Retention Schedules identify Essential Records Essential Records List – Appendix B – Page B-1

Washington State Archives Step 2. Select Protection Methods Protect the Facility Protect Essential Records On-Site Duplicate Essential Records Off-Site Page 6

Washington State Archives Protect the Facility: Fire Resistant File Cabinets and Safes Sprinkler Systems Smoke and Intrusion Alarms Fire Resistant Vaults No Smoking Key Control

Washington State Archives 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:

Washington State Archives Duplicate Essential Records Off-Site: Existing Duplicates Paper Copies Microfilm Duplicates Digital Duplicates Page 7

Washington State Archives Step 3. Develop An Essential Records Protection Schedule The Essential Records Protection Schedule should include: Each Essential Records Series Office of Record Media Update Cycle/Total Retention Protection Instructions See Appendix B Page 8 Template – Appendix B – Page B-1

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 off-site Security copies are up-dated 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 procedure? Are Essential Records included? Are smaller work group 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 Page 13

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

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 Benefits Key Elements Testing How does the Plan fit in? A plan that includes actions and procedures to reduce the risk, respond to and recover from records disasters. Page 16

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

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 Appendix A – Page A-1

Washington State Archives Testing: Desktop Test Large Scale Test Page 24

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 Page 25

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 Strategic Response: Gain access to the site Assemble the Recovery Team Establish Controls Make an Initial Damage Assessment Establish Communications Page 25

Washington State Archives 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 Page 26

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 : Factors to Consider Volume Media State and Degree of Damage Sensitivity of Media Location of Drying Facilities Reference Accessibility Decision Logic Charts (Figures 6a. and 6b.) Drying Options Air Drying Interleaf Drying Desiccant Drying Freeze Drying Vacuum Thermal Drying Vacuum Freeze Drying Page 29

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 Page 30

Washington State Archives Recovering from Records Disasters: Recovery Defined Recovery Rules of Engagement Basic Recovery Procedures Post Recovery Page 31

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 (Appendix C Pages C-9 - C-11) Recovery of paper records by water, fire, mold (Appendix C – Page C15 & C16) Recovery of contaminated records (Appendix C – Page C-17) Recovery of film and photographs (Appendix E) Recovery of electronic records (Appendix E) Page 32

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 Page 33

Washington State Archives Course Summary: The Manual provides Basic Concepts, Detailed Procedures and Templates Designate an Essential Records Coordinator Train and Maintain Essential Records Protection and Recovery Team Essential Records Protection is the Key to Records Disaster Prevention Off-site Backup Duplication is the Best Form of Protection Response to Records Disasters Must be Fast and Sure A Records Disaster Prevention and Recovery Plan is Key Adapt the Response and Recovery Plan to Specific Situations Test the Records Disaster Prevention and Recovery Plan Periodically Interactive Training soon to be Available Online

Washington State Archives CENTRAL BRANCH Bledsoe-Washington Building Central Washington University MS: East 8th Ellensburg, WA Scott Sackett, Acting Regional Archivist Phone: (509) FAX: (509) EASTERN BRANCH Eastern Washington University 960 Washington Street Cheney, WA Sherry Bays, Regional Archivist Phone: (509) FAX: (509) NORTHWEST BRANCH Goltz-Murray Building Western Washington University th Street Bellingham, WA Scott Roley, Regional Archivist Phone: (360) FAX: (360) PUGET SOUND BRANCH Pritchard - Fleming Building 3000 Landerholm Circle SE MS: N-100 Bellevue, WA Mike Saunders, Regional Archivist Phone: (425) FAX: (425) SOUTHWEST BRANCH State Archives Building 1129 Washington Street SE PO Box Olympia, WA Terry Badger, Regional Archivist Phone: (360) FAX: (360)