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Transcript of Washington State Archives
Washington State Archives Documenting Democracy
Washington State Archives
April 15, 2010
ESSENTIAL RECORDS PROTECTIONSECURITY BACKUP, DISASTER PREPAREDNESS,
RESPONSE AND RECOVERY
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
Washington State Archives Documenting Democracy
Course Outline:
Introduction
I. Essential Records Protection
II. Disaster Prevention and Response Plan
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 availableEssential Records Manual: Security
Backup, Disaster Preparedness, Response and Recovery
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
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
Washington State Archives Documenting Democracy
Washington State Archives Documenting Democracy
Washington State Archives Documenting Democracy
Essential Records Require Protection from Loss
• Identification/Designation
• Appropriate Storage
• Appropriate Backup (Duplication and Dispersal)
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Essential Records Protection Plan
Policies and procedures that enable an agency to secure
mission-critical records against loss.
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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
Approved Records Retention Schedules identify Essential Records
Washington State Archives Documenting Democracy
Washington State Archives Documenting Democracy
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 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
Washington State Archives Documenting Democracy
Duplicate Essential Records Offsite
• Existing Duplicates?
• Microfilm Duplicates (Security Microfilm)
• Digital Duplicates (Disaster Recovery Storage Service)
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)
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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
Washington State Archives Documenting Democracy
Utilizing Security Microfilm
• Contact [email protected], 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
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For more information on the Security Microfilm Program
• Contact your Electronic Records Management Consultant
• Visit http://www.sos.wa.gov/archives/EssentialRecordsProtectionProgram.aspx
• Email [email protected]
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1. Service Level Agreement
2. Vault Storage
3. Emergency Support
•Legal Agreement
•Statement of Work
Utilizing Disaster Recovery Storage Service (DRSS)
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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)
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)
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 [email protected]
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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
Washington State Archives Documenting Democracy
Washington State Archives Documenting Democracy
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
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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
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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?
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Risk Analysis
•Functional Analysis
•Physical Threat Assessment
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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
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
Examples:• Building Security• Earthquake Bracing• Fire Alarms• Water Lines and Drains• Fire Suppression System
Identify physical threats to office and records storage areas.
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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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Types of Disasters
• Earthquake
• Flood
• Fire
• Storm
• Terrorism / Vandalism
• Human Error
• Computer Viruses
• Power/Plumbing/Equipment Failure
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Example: Starbucks
Thousands of Starbucks Corporation records were flooded in the 2001 earthquake.
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
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.
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
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 availableEssential Records Manual: Security
Backup, Disaster Preparedness, Response and Recovery
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
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Responding to Records Disasters
•Strategic Response
•Tactical Response
•Stabilize Environment and Records
•Select Recovery Options
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Strategic Response
•Gain Access to the Site
•Assemble the Recovery Team
•Establish Controls
•Make an Initial Damage Assessment
•Establish Communications
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
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Stabilize Records
•Get or Make a Records Inventory
―Records Series
―The Office of Record
―Location
•Avoid Moving & Storing Valueless Records
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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
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
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
www.sos.wa.gov/archives
Washington State Archives Documenting Democracy
Washington State Archives: Partners in preservation and access
Thank you!