1. Washington State Archives Documenting Democracy Washington State Archives Presented by: September 2010 Scott Sackett Electronic Records Management Consultant, Eastern Washington Don’t Get Soaked! Case Studies in Disaster Preparedness, Response and Recovery

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

3. Washington State Archives Documenting Democracy Results of Disasters Water Damage Fire Damage Contamination Loss of Access to Records Loss of Electronic Data

4. Washington State Archives Documenting Democracy Provides information necessary to: Identify Essential Records Set protection and recovery priorities Avoid unnecessary records salvage and repair costs Remove inactive/obsolete files from vulnerable office space Return salvaged records to their correct place in the system The Role of Records Management

5. Washington State Archives Documenting Democracy The Lincoln County Courthouse is destroyed by fire. The cause is determined to be arson. Case Study #1: Davenport, WA December 21, 1995

6. Washington State Archives Documenting Democracy Lincoln County Courthouse Fire: Challenges Building destroyed; no desks, computers, supplies Multiple agencies affected Arson = Crime scene; access delayed

7. Washington State Archives Documenting Democracy Lincoln County Superior Court Clerk: What made the difference? Built-in, fire-safe vault S.O.P.: Staff filed the day’s court records in vault each evening Security microfilm created regularly

8. 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

9. Washington State Archives Documenting Democracy 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 Superior Court Case Files, Daily Order Journal

10. Washington State Archives Documenting Democracy Essential Records Require Protection from Loss Identification/Designation Appropriate Storage Appropriate Backup (Duplication and Dispersal)

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

12. 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

13. 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

14. Washington State Archives Documenting Democracy Duplicate Essential Records Offsite Existing Duplicates? Microfilm Duplicates (Security Microfilm) Digital Duplicates

15. 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

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

17. 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?

18. Washington State Archives Documenting Democracy A man breaks into the Okanogan County Courthouse and douses Superior Court case files in gasoline and diesel fuel. Case Study #2: Okanogan, WA July 21, 2002

19. Washington State Archives Documenting Democracy Okanogan County Courthouse Break-In: Challenges Contamination by hazardous substances Volume (40+ cubic feet) and disorder of records Happened on a weekend

20. Washington State Archives Documenting Democracy Okanogan County Courthouse Break-In: Assessment and Stabilization Agency called State Archives and contracted with disaster recovery firm; both assisted in initial assessment Contaminated records moved to a fruit warehouse to keep cool Happened on a weekend

21. Washington State Archives Documenting Democracy Okanogan County Courthouse Break-In: Recovery Decision: Copying, rather than decontamination Recovery crew sorted and prepped records for copying in adjacent building

22. Washington State Archives Documenting Democracy Okanogan County Courthouse Break-In: Recovery Copied files were reassembled by Clerk’s Office personnel and certified by a judge

23. 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

24. Washington State Archives Documenting Democracy Disaster Plan: Key Elements Policy (Management Approval and Support) Authority and Responsibility Training and Supplies Outside Resources Communications Essential Records Schedule Preparedness and Prevention Procedures Response and Recovery Procedures

25. Washington State Archives Documenting Democracy First Responders Gain Access to the Site Assemble the Recovery Team Establish Controls Make an Initial Damage Assessment Establish Communications

26. 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

27. Washington State Archives Documenting Democracy The basement of the Grant County Health District’s Moses Lake office floods when an irrigation pipe breaks. Case Study #3: Moses Lake, WA May 13, 2010

28. Washington State Archives Documenting Democracy Grant Co. Health Dist. Flood: Damage

29. Washington State Archives Documenting Democracy Grant Co. Health Dist. Flood: Stabilization Volume of records: 30-35 cubic feet Contacted State Archives immediately for advice Records placed in plastic crates and frozen at a local cold storage facility

30. Washington State Archives Documenting Democracy Grant Co. Health Dist. Flood: Removal

31. Washington State Archives Documenting Democracy Grant Co. Health Dist. Flood: Removal

32. Washington State Archives Documenting Democracy Grant Co. Health Dist. Flood: Recovery Records picked up from Moses Lake and transferred to cold storage in Fife State Archives picked up records from Fife in batches and transported to Olympia Archives employed freeze-dryer units to dry records (~10 cf, 5 days/batch)

33. Washington State Archives Documenting Democracy Pickup from Moses Lake

34. Washington State Archives Documenting Democracy Delivery to State Archives, Olympia

35. Washington State Archives Documenting Democracy Wei T’o Freeze Dryer Units

36. Washington State Archives Documenting Democracy Salvaged Records, Post-Recovery

37. Washington State Archives Documenting Democracy Salvaged Records, Post-Recovery

38. Washington State Archives Documenting Democracy Pocket Response Plan (PReP) Emergency Communication Directory Emergency Response Checklist Complements Agency Disaster Plan Downloadable templates at www.statearchivists.org/ prepare/framework/prep.htm

39. Washington State Archives Documenting Democracy Stabilize Records Get or Make a Records Inventory ― Records Series ― The Office of Record ― Location Avoid Storing (and Salvaging) Records Past Their Required Retention Wet Paper Records? Freeze Them

40. 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

41. 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

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