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

2. Washington State Archives Documenting Democracy 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

3. Washington State Archives Documenting Democracy Course Outline: Introduction I. Essential Records Protection II. Disaster Prevention and Response Plan

4. Washington State Archives Documenting Democracy 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 available Essential Records Manual: Security Backup, Disaster Preparedness, Response and Recovery

5. Washington State Archives Documenting Democracy 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

6. Washington State Archives Documenting Democracy 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

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

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

11. Washington State Archives Documenting Democracy 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

12. Washington State Archives Documenting Democracy 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

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

15. Washington State Archives Documenting Democracy Protect the Facility Fire-Resistant File Cabinets and Safes Sprinkler Systems Smoke and Intrusion Alarms Fire Resistant Vaults Key Control

16. Washington State Archives Documenting Democracy 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

17. Washington State Archives Documenting Democracy Duplicate Essential Records Offsite Existing Duplicates? Microfilm Duplicates (Security Microfilm) Digital Duplicates (Disaster Recovery Storage Service)

18. Washington State Archives Documenting Democracy 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)

19. Washington State Archives Documenting Democracy 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

20. Washington State Archives Documenting Democracy Utilizing Security Microfilm 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

21. Washington State Archives Documenting Democracy For more information on the Security Microfilm Program Contact your Electronic Records Management Consultant Visit http://www.sos.wa.gov/archives/ EssentialRecordsProtectionProgr am.aspx Email securitymicrofilm@sos.wa.gov

22. Washington State Archives Documenting Democracy 1. Service Level Agreement 2. Vault Storage 3. Emergency Support Legal Agreement Statement of Work Utilizing Disaster Recovery Storage Service (DRSS)

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

24. Washington State Archives Documenting Democracy 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. Utilizing Disaster Recovery Storage Service (DRSS)

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

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

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28. 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

29. Washington State Archives Documenting Democracy 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

30. Washington State Archives Documenting Democracy 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. Washington State Archives Documenting Democracy Risk Analysis Functional Analysis Physical Threat Assessment

32. Washington State Archives Documenting Democracy 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. Washington State Archives Documenting Democracy 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. Washington State Archives Documenting Democracy 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

35. Washington State Archives Documenting Democracy Types of Disasters Earthquake Flood Fire Storm Terrorism / Vandalism Human Error Computer Viruses Power/Plumbing/Equipment Failure

36. Washington State Archives Documenting Democracy Example: Starbucks Thousands of Starbucks Corporation records were flooded in the 2001 earthquake.

37. Washington State Archives Documenting Democracy 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

38. Washington State Archives Documenting Democracy 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. Washington State Archives Documenting Democracy 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. Washington State Archives Documenting Democracy 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 available Essential Records Manual: Security Backup, Disaster Preparedness, Response and Recovery

41. Washington State Archives Documenting Democracy 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

42. Washington State Archives Documenting Democracy Responding to Records Disasters Strategic Response Tactical Response Stabilize Environment and Records Select Recovery Options

43. Washington State Archives Documenting Democracy Strategic Response Gain Access to the Site Assemble the Recovery Team Establish Controls Make an Initial Damage Assessment Establish Communications

44. Washington State Archives Documenting Democracy 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. Washington State Archives Documenting Democracy Stabilize Records Get or Make a Records Inventory ― Records Series ― The Office of Record ― Location Avoid Moving & Storing Valueless Records

46. Washington State Archives Documenting Democracy 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

47. Washington State Archives Documenting Democracy 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. Washington State Archives Documenting Democracy You Are Not Alone 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

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