Washington State Archives
Washington State Archives
ESSENTIAL RECORDS PROTECTION
SECURITY BACKUP, DISASTER PREPAREDNESS, RESPONSE AND RECOVERY
Presented by:
Scott Roley
Northwest Regional Branch
scott.roley@wwu.edu
360-650-2813

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The Role of the
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As provided by RCW 40.10:
• Coordinate the Essential Records
Protection Program
• Provide training materials, workshops
and on-site technical assistance

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

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“Essential Records:
Security Backup, Preparedness, and Response”
http://www.secstate.wa.gov/archives/RecordsManagement/EssentialRecordsDisaster
PreparednessManual.aspx
• Covers all the basics of essential records
protection and disaster preparedness.
• Procedures and templates for:
– Essential Records Protection
– Records Disaster Planning, Response and Recovery

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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

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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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Types of Disasters
• Earthquake
• Flood
• Fire
• Storm
• Human Error
• Computer Viruses
• Terrorism / Vandalism
• Power, Plumbing/Equipment Failure

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Results of Disasters
• Water Damage
• Fire Damage
• Contamination
• Loss of Access to Records
• Loss of Electronic Data

Example:
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Thousands of Starbucks Corporation
records were flooded in the 2001 Earthquake
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

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Example: Eco Terrorism at the UW
The Center for Urban Horticulture arson
fire on May 21, 2001 at 3:00 AM. The
Earth Liberation Front took credit.

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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

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

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Team Approach
•Essential Records Coordinator
•Essential Records Protection and Recovery Team

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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

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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

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Part I: Essential
Records Protection
• Essential Records Protection Plan
• The Role of Records Management
• Electronic Records Protection
• Risk Analysis

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

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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

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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
• No Smoking
• Key Control

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Protect Essential Records On-site:
• 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

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Duplicate Essential
Records Off-Site:
• Existing Duplicates
• Paper Copies
• Microfilm Duplicates
• Digital Duplicates

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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
Template – Appendix B – Page B-1

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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

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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

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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?

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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

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Risk Analysis:
•Functional Analysis
•Physical Threat Assessment
•See Appendix B

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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
RISK ASSESSMENT
PROBABILITY CONSEQUENCES RISK
OF DISASTER OF DISASTER NUMBER
NO. NAME OF FUNCTION 0-5 0-5 0 - 25
1 Accounts Payable 3 5 15
2 Payroll Records 4 5 20
3 Police Incident Reports 1 5 5
4 General Correspondence 4 2 8
5 Working Files 5 1 5

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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

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Part II: Planning
Records Disaster Prevention and Recovery Plan
A plan that includes actions and procedures to reduce the
risk, respond to and recover from records disasters.
• Benefits
• Key Elements
• Testing
• How does the Plan fit in?

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Benefits:
•Speed
•Correct Decisions
•Response Team
•Coordination
•Policy, Authority, Delegations
•Resources
•Communications

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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

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Testing:
• Desktop Test
• Large Scale Test

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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

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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

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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

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Part III: Disaster
Response and Recovery
• Six Keys to Success
• Responding to Disasters
• Recovering from Disasters

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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 Drying and Repair Options
•Assemble Recovery Resources

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

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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

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Stabilize Records:
•Get or Make a Records Inventory, including
―Records Series
―The Office of Record
―Location
•Avoid Moving & Storing Valueless Records

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

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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

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Recovering from Records Disasters:
•Recovery Defined
•Recovery Rules of Engagement
•Basic Recovery Procedures
•Post Recovery

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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

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Recovery Rules of Engagement:
• Do not enter a site or remove records without a plan
• Work safely
• Watch for contamination
• Know what you have

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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)

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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

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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