Washington State Archives BE PREPARED! Essential Records and Disaster Preparedness, Response and Recovery Presented by: Leslie Koziara Electronic Records Management Consultant, Western Washington May 2010 Washington State Archives Essential Records - September 2009

Course Outline: Introduction I. Essential Records Protection II. Disaster Prevention and Response Plan Give the audience a nutshell summary of the whole course and what they will gain from it.

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 You may want to include personal stories of your work experience in helping local agencies with disasters to their records.

Includes procedures and templates 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 Pass out the manuals to each student. Summarize the major elements of the manual. The Instructor should hold up the manual for a moment while discussing it..

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 Differentiate between important and essential records. All records are important to some degree and for some period of time or they wouldn’t be created in the first place. Essential records are those the agency absolutely must have in order to fulfill one or more of the purposes listed on the slide.

Essential Records Include: Ordinances, resolutions, policy, procedures, oaths of office Disaster plans, as-built plans, recovery procedures Financial records: payables, receivables, payroll and retirement files Student Learning: Skills Center Patient Case Files Ask the students for examples of Essential Records. The basic test: Could the agency fulfill its essential obligations and maintain its authority without the record?

Essential Records Require Protection from Loss Identification/Designation Appropriate Storage Appropriate Backup (Duplication and Dispersal) Ask the students for examples of Essential Records. The basic test: Could the agency fulfill its essential obligations and maintain its authority without the record?

Essential Records Protection Plan Policies and procedures that enable an agency to secure mission-critical records against loss. The purpose of the plan is to protect the agency from loss of essential information in the event that agency records are destroyed or lost in a disaster or emergency. Lost or damaged records can’t always be recovered. Essential records need to be protected from disasters up front and back up off-site so information can be restored if the original records is damaged beyond recovery.

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 Just identify the steps. Details will follow.

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 Essential Records should be identified at the series level. Briefly review the concept of records series Repeat the concept that Essential Records as those that the agency absolutely must have in order to: Document its legal authorities and responsibilities (repeat examples) Resume or maintain operations during an emergency or disaster (repeat examples) Document the rights of individuals (repeat examples) Emphasize that the Local Government General Records Retention Schedules identifies most essential records common to local government agencies. The inventory should start with the General Schedule. Additional series should be added to the Essential Records inventory very sparingly. With limited time and resources, not every records can be adequately protected from damage or loss.

Step 2. Select Protection Methods Protect the Facility Protect Essential Records On-Site Duplicate Essential Records Off-Site Greater detail follows for each. A good Essential Records Protection Plan will incorporate all three methods of protection. Each method has limitations in time, expense and effectiveness.

Protect the Facility Fire-Resistant File Cabinets and Safes Sprinkler Systems Smoke and Intrusion Alarms Fire Resistant Vaults Key Control Examples of basic steps that can be used to protect facilities where records are kept, especially essential records.

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 These are simple, inexpensive steps that can be taken to protect essential records where they are actually stored and used.

Duplicate Essential Records Offsite Existing Duplicates? Microfilm Duplicates (Security Microfilm) Digital Duplicates (Disaster Recovery Storage Service) Duplication May Already Exist: Copies exist elsewhere. If other offices hold copies, these may serve as duplicates if located in another building. Information exists elsewhere. The information contained in essential paper documents may also reside in electronic systems. May serve as duplicates (if backed up). Paper Copies Copy paper file and maintain second set. Store off-site. Update regularly. Reliable, but labor and space intensive and difficult to keep current. Microfilm Duplicates Microfilm is best for long term records (over 10 years). Store master copy off-site. Works best when file is completed; otherwise file gets split among multiple reels. Computer Output Microfilm (COM) creates microfilm copy of electronic images or reports, automatically. Store off-site. State Archives provides microfilming services, including COM. State Archives provides security storage free of charge. Digitally Imaged Duplicates Scan paper documents. Best for short term records with high retrieval frequency, multiple access, multiple location (No unit record problem). Images should be backed up. Store security copy of images and indexes off-site. Other electronic documents, including Web pages, word processing, Email, PDF, etc., should be backed up (the) same as any electronic system.

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)

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 Ask the students for examples of Essential Records. The basic test: Could the agency fulfill its essential obligations and maintain its authority without the record?

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 Ask the students for examples of Essential Records. The basic test: Could the agency fulfill its essential obligations and maintain its authority without the record?

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

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

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. For More information: DRSS@digitalarchives.wa.gov

Step 3. Develop An Essential Records Protection Schedule Each Essential Records Series Office of Record Media Update Cycle/Total Retention Protection Instructions Reference the template for the schedule in Appendix B of the Manual and on the CD. Also note that a list of all the essential records series identified in the Local Government General Records retention Schedule is also included in appendix B. The listing for each series includes the appropriate type of backup.

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 Emphasize that the Plan will not remain useful or workable through time unless it is reviewed and updated on a regular cycle. Records change. Systems change. The plan needs to adapt as the records, functions and conditions of the agency change.

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 Annual testing is also essential to the effectiveness of an agency’s Essential Records Protection Plan. Like updates, there is a time commitment involved, but the payoff is that the system will actually work when the agency needs it.

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? The point of this slide is to figure out if the organization has a back-up procedure and or an electronic records disaster plan. If so, it doesn’t need another one. If not, one should be developed.

Risk Analysis Functional Analysis Physical Threat Assessment This is a summary slide. The bullets list the major points to be covered in the following slides. You may have convinced your audience that Essential Records must be backed up. But what if they don’t have money or time to back them all up? How do you set priorities?

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 There may not be enough time or money to protect all the records, or even all the essential records. Here is a simple tool to help set priorities that balances risk and value Probability Number: The likelihood of a disaster affecting a function or record series. Scale = 1- 5 Consequence Number: The adverse results if a disaster happens. Scale = 1-5 Risk Number: Product of the above two numbers. Scale = 0 – 25. The higher the risk number, the higher the priority for essential records backup protection.

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 Who are your neighbors? Emphasize that many physical threats can be identified and resolved before disasters occur.

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. COVER SLIDE FOR PART II. This is a summary slide. The bullets list the major points to be covered in the following slides.

Types of Disasters Earthquake Flood Fire Storm Terrorism / Vandalism Human Error Computer Viruses Power/Plumbing/Equipment Failure Disasters happen every day They can be large or small They happen here They can happen to you! Some parts of the country face other dangers such as tsunamis, tornados and hurricanes. Luckily Washington State is usually spared from these. The usual natural disasters that we encounter in Washington are earthquakes, floods and fires. All these usually result in water damage. Terrorism is a growing threat. There have been several terrorist attacks on records in Washington State in recent years.

It can happen to you! 2010 May Grant County Public Health District Sprinkler system sprung a leak! 2008 December Capital High School, Olympia Roof collapse on Christmas day due to snow

Six Keys to Successful Response and Recovery A detailed Disaster Recovery Plan – who do you call? Committed management Educated and trained staff Timely initial response Effective communication Quick, informed decisions The key point is to emphasize the importance of planning, preparedness, and their application to a quick response and informed decision making.

First Responsers Gain Access to the Site Assemble the Recovery Team Establish Controls Make an Initial Damage Assessment Establish Communications The key point is that RDC should take a step by step approach to getting access to the site, assembling the team, assessing damage and setting up the processes of stabilization and recovery

Stabilize Records Get or Make a Records Inventory Records Series The Office of Record Location Avoid Moving & Storing Valueless Records Protection Priorities described in Part I may not apply to a specific disaster. Some records may not be recoverable. Perform Triage (allocation of resources) based on such factors as: Damage Impact Value of the Records: (Essential, important, needed immediately, marginal, unnecessary) Work according to the extent of the damage Medium damage first Minor damage – these can wait a little while Extensive damage – may not be recoverable

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 The six methods of drying are described in detail in Appendix E. Remember most damage is from water. That is why we go into detail here on drying alternatives. Make sure they know that interleaving and air drying are different. Many people think they are the same thing. Make sure they understand these are for small scale disasters only and are labor and space intensive. Make sure they understand the basic idea of sublimation and freeze drying. Make sure they know that the Archives has 2 Freeze Drying Chamber units that local agencies can use. Make sure they understand that cold storage is important to stabilize the records and that this should occur within 24 hours if at all possible. Also make them understand that cold storage can also dry them all the way but it takes a long time. If there are a lot of damaged records and not much money available, then cold storage is the ONLY realistic alternative. The other alternatives require outside firms under contract.

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 You may not be able to do all of the work yourselves and must call in available people and resources. Some agencies are beginning to have pre-arranged agreements or understandings with contractors. Example City of Bothell.

Managing Websites - February 2010 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 What is a Record Series? KEY = information that’s related (same action or same subject) This records retention schedule documents the life cycle of a records series. This means: all books, papers, microforms, computer-readable materials, maps, photographs, film, video and sound recordings, or other documentary materials, regardless of physical form or characteristics, made or received by any agency in connection with the transaction of public business Records Series can be: Simple: Birth Certificates; Complex: Case Files and Personnel File Combined media types: may contain paper, electronic, photographed, imaged. Example: OFFENSE/INCIDENT REPORTS Investigation reports and notes; witnesses and suspects statements; results of chemical analysis and polygraph tests; crime scene information and photograph, citations. No matter what media types they must all be disposed of as a unit! Washington State Archives - http://www.sos.wa.gov/archives

Managing Websites - February 2010 Thank you! Washington State Archives: Partners in preservation and access