VITAL RECORDS, DISASTER PLANNING AND RECOVERY

Transcription

1 VITAL RECORDS, DISASTER PLANNING AND RECOVERY KIMBERLY DECOLA, CRM RECORDS ANALYST AUSTIN CONVENTION CENTER

2 AGENDA VITAL RECORDS IDENTIFICATION AND PROTECTION YOUR DISASTER PLAN PICTURES RECOVERY 2

3 Fundamental to functioning: Needed to operate during and immediately following a disaster Recreate legal and financial status Preserve the rights, health, and safety of citizens, customers, and employees Support critical systems and equipment Required to operate the business Unique or irreplaceable Loss would be devastating VITAL RECORDS

4 Important Needed 72 hours after an emergency Records Can be reconstructed, though costly OTHER RECORD TYPES Useful Records Can be easily replaced NonEssential Records Of little or no value

5 CATEGORIES Emergency operating records Records to protect rights, health, and safety Records to resume or continue operations Records requiring massive resources to reconstruct Documentation of Information Systems Building Access and Security Records

6 RISK ASSESSMENT V1 6

7 RISK INDEX Impact on Records Risk Probability V1

8 DEVELOPING A PLAN VITAL RECORDS PLAN USED IN CONJUNCTION WITH RECORDS CONTROL SCHEDULE PROTECTS INFORMATION NEEDED TO PUT DRP IN EFFECT DISASTER RECOVERY PLAN FOCUSES ON RECORDS AND BUSINESS RECOVERY FOLLOWING A DISASTER OR EMERGENCY

9 VITAL RECORDS PLAN IDENTIFY: RECORDS THAT ARE VITAL LOCATION OF VITAL RECORDS ACCESS RESTRICTIONS AND PROCEDURES PROTECTION METHODS, INCLUDING COPIES OR BACKUPS OF ELECTRONIC RECORDS

10 Assign staff responsibilities Vital Records listed on Records Control Schedules Vital Records designations are current and complete Provide for training and distribution of information PLAN ELEMENTS

11 SAMPLE PLAN

12 Review mission statement Review statutory and regulatory responsibilities Review emergency plans Identify supporting records VITAL RECORDS IDENTIFICATION

13 IDENTIFY: MOST CRITICAL ACTIVITIES UNDER OTHER THAN NORMAL CIRCUMSTANCES RECORDS THAT SUPPORT THOSE ACTIVITIES RECORDS FOR RESUMPTION OF NORMAL OPERATIONS ELECTRONIC INFORMATION AND SYSTEMS WHICH ARE VITAL OR SUPPORT OTHER VITAL RECORDS

14 Works in progress Records available from other sources Internal and external Records documenting history of department/city Availability on other media Timeframe of vitality IDENTIFY:

15 VITAL RECORDS MATRIX How critical is our inability to do this work? Can work continue without the record? How high of an impact will the consequences have if the records are no longer available? How high of an impact would losing the record have on employees, tenants, or the public? How high would the cost be to reconstruct the record? How quickly is the information needed? Can the records be replaced from another source? Low Medium High Yes No Description Range Score Low Medium High Low Medium High Low Medium High Low (weeks) Medium (days) High (hours) Yes No TOTA L

16 PREPARATION VITAL RECORDS PROTECTION DUPLICATION/DISPERSAL MORE THAN ONE COPY IN MORE THAN ONE PLACE GEOGRAPHIC SEPARATION PROTECTIVE STORAGE ONSITE OFFSITE ELECTRONIC VAULTING FIND BEST, MOST COST-EFFECTIVE METHOD OF PROTECTION AND ACCESS

17 PROTECTION PROTECTION DEPENDS ON COMMON SENSE PRECAUTIONARY STEPS SECURITY UPDATE EMERGENCY LISTS UTILIZE BUILDING SERVICES CONTACTS

18 PROTECTION PROTECTION STRATEGY WILL VARY GREATLY DEPENDING UPON: ACCESS RISK RESOURCES PRESERVATION NEEDS

19 PROTECTION DEVELOP APPROPRIATE PROTECTIVE MEASURES: FIRE-RATED FILING EQUIPMENT FOR STORAGE ONSITE VAULTS SECURE OFFSITE STORAGE DUPLICATION AT TIME OF CREATION COMPUTER BACKUP MEDIA USING EXISTING DUPLICATES AS VITAL RECORD COPIES MICROFILMING

20 TEMPERATURE AND HUMIDITY CONTROLS FOR RECORDS ON MEDIA OTHER THAN PAPER: PROTECTION PHOTOGRAPHS AND NEGATIVES MICROFORMS OPTICAL MEDIA MAGNETIC MEDIA SOLID STATE MEDIA

21 DISASTER BY THE NUMBERS 54% 67% Companies experienced a downtime event lasting more than 8 hours in the past five years. In a site outage their business would lose $20k+ a day for every day of downtime. *ZETTA INFOGRAPHIC: STATE OF DISASTER RECOVERY

22 *ZETTA INFOGRAPHIC: STATE OF DISASTER RECOVERY

23 Satisfaction with DR Solutions *ZETTA INFOGRAPHIC: STATE OF DISASTER RECOVERY

24 PURPOSE AND SCOPE General Statement Reason What s included/ excluded 24

25 REVISION HISTORY Date Revision number Change Reference Section 25

26 RISKS 01 Natural Risks 02 Technological Risks 03 Civil Risks 26

27 POSITIONS AFFECTED LIST OF KEY PARTICIPANTS JOB TITLES MANAGERS RECORDS ANALYST/MANAGER RECORDS TEAM IT OTHER STAFF AS IDENTIFIED 27

28 01 Authority Statement 02 Safety 03 Security POLICY 28

29 Authority Who declares Who is in charge Authority Statement 01 POLICY Disaster Plan Activation 02 Notification Procedures When/How In What Order 29

30 POLICY 30

31 RESUMPTION RESUMPTION PROCEDURES Business Functions Manual vs. Electronic Processes Needs/Rights Essential (obligated) Non-essential (extra service) Backups Alternate methods Customers Employees 31

32 DEFINITIONS RMS Definitions Business Definitions 32

33 SOME EXAMPLES INCLUDE: EMERGENCY DISASTER DEFINITIONS RECOVERY RESUMPTION SALVAGE DISASTER PLAN VITAL RECORDS SUCCESSION 33

34 ACRONYMS RMS Acronyms Business Acronyms 34

35 RESPONSIBILITIES Chain of Command RMT/DRT Specialists/ Vendors Staff/Volunteers/ Temps 35

36 ALTERNATE WORK SITES Cold sites Warm sites Hot sites No equipment Equipment available Not set up Equipment available Set up 36

37 VITAL RECORDS Identification Protection Recovery 37

38 PLAN ALIGNMENT BUSINESS CONTINUITY INFORMATION GOVERNANCE IT HOURS WINDOW 38

39 DISASTER TEAM ROLES Names vs Titles Implement disaster plan Head recovery operations Document disaster and salvage Head Triage and Salvage Compose post-disaster report 39

40 INITIAL DISASTER PROCEDURES Damage Damage Assessment Stabilize Stabilize the Environment Recovery Triage and Salvage 40

41 RESUMPTION DAMAGE ASSESSMENT 01 Records Locations 02 Inventory 03 Damage Location Type Extent 41

42 RESUMPTION STABILIZE 01 Personal Protection Gear 02 Relocate Records 03 Temperature Humidity 42

43 RESUMPTION RECOVERY 01 Triage 02 Salvage 03 Disposal 43

44 ONGOING SAFETY/SECURITY Safety Staff Families of staff Public Security Building Records 44

45 RESUMPTION OTHER REQUIREMENTS Legal issues Legal Counsel Contracts Policy Funding Supplies Staff Emergency fund 45

46 RISKS Use Risks from Section 2 List By Disaster Type Be Specific Preservation vs Recovery 46

47 WATER MAIN BREAK WINDOWS BATHROOMS AND KITCHENS NEAR RECORDS RECOVERY PROCEDURES EXAMPLES WATER PIPES PREVENTION: REGULARLY INSPECT, WATER PIPES TO WATER FOUNTAINS, SINKS, TOILETS, DISHWASHERS, ICE MAKERS, REFRIGERATORS AND HVAC SYSTEMS AND WINDOW AND DOOR SILLS. AVOID STORING RECORDS AGAINST WALLS WHERE BATHROOMS, KITCHEN OR WATER PIPES ARE LOCATED. RECOVERY ACTIONS: IMMEDIATE ACTION SHOULD BE TAKEN TO DETERMINE WHERE THE LEAK IS COMING FROM. RECORDS (INCLUDING MEDIA OTHER THAN PAPER) SHOULD BE CAREFULLY MOVED TO A SAFER LOCATION AND CATALOGUED. IF RECORDS ARE ALREADY DAMAGED, CAREFULLY REMOVE THEM FROM THE DISASTER AREA. USE GREAT CARE NOT TO TEAR OR FURTHER DAMAGE THE MATERIAL. USE HEAVIER PAPER OR PLASTIC SHEETS TO PLACE WET MATERIALS ON, IN ORDER TO PROVIDE SUPPORT DURING TRANSPORT. 47

48 POWER OUTAGE A POWER OUTAGE IS USUALLY A SHORT-TERM INCONVENIENCE AND NOT A MAJOR EMERGENCY. IN THE EVENT OF AN EXTENDED POWER OUTAGE LASTING MORE THAN ONE (1) DAY, TEXTUAL RECORDS AND MICROFILM MAY BE VULNERABLE TO DAMAGE. HIGH TEMPERATURES AND/OR LOW RELATIVE HUMIDITY MAY CAUSE TEXTUAL RECORDS TO BECOME BRITTLE AND CRACK. RECOVERY PROCEDURES EXAMPLES MICROFILM MAY ALSO BE AFFECTED BY RAPID CHANGES IN TEMPERATURE AND RELATIVE HUMIDITY. IMAGES ON MICROFILM MAY BECOME ILLEGIBLE UNDER EXTREME ENVIRONMENTAL CHANGES. PREVENTION THERE IS NO PREVENTION FOR AN OUTAGE. A PLAN MUST BE IN PLACE TO MANAGE THE LONG-TERM STORAGE OF THE RECORDS IN THE EVENT OF A PROLONGED OUTAGE. RECOVERY IN THE EVENT OF A PROLONGED POWER OUTAGE, EVERY EFFORT MUST BE MADE TO MAINTAIN PROPER TEMPERATURE AND RELATIVE HUMIDITY LEVELS. IF THE POWER OUTAGE CONTINUES FOR AN EXTENDED PERIOD, PLACE EXTREMELY VALUABLE OR FRAGILE RECORDS IN A LOCATION THAT WILL MAINTAIN THE DESIRED TEMPERATURE (65 DEGREES F. +/- 5 DEGREES) AND RELATIVE HUMIDITY (50% +/- 5%). 48

49 SALVAGE SALVAGE INSTRUCTIONS First call to Records Services! Call A Professional 49

50 TRIAGE AND SALVAGE Triage Sort by Damage Sort by Media Salvage Prioritize Preservation methods Specialists 50

51 No Damage TRIAGE INSTRUCTIONS Light Media needs Film Photos Paper Electronic Hardware Badly Damaged/NonRecoverable 51

52 WELCOME TO THE REAL WORLD DISASTER PHOTOS.PPTX LET S TAKE A LOOK AT WHAT A REAL INTERRUPTION LOOKS LIKE 52

53 SALVAGE EQUIPMENT & SUPPLY LISTS Office supplies Cleaning supplies Hardware equipment Safety equipment Rental equipment Preservation/conservation supplies Other equipment 53

54 SALVAGE EQUIPMENT & SUPPLY LISTS INCLUDE VENDOR, PRICE, QUANTITY, AND PRODUCT NUMBERS OF ITEMS MAY ONLY NEED ONE COMPLETE LIST FOR BOTH RECOVERY AND SALVAGE; PICK AND CHOOSE SUPPLIES AS NEEDED

55 LOTS OF ROOM AT LEAST SIX (6) LONG TABLES SALVAGE EQUIPMENT 3 FOR TRIAGE, 3 FOR SALVAGE CHAIRS GARBAGE CANS CLEAN WATER TENTS, IF OUTSIDE PORTABLE DEHUMIDIFIERS/FANS

56 Gaps POSTDISASTER REPORT What Worked What Didn t Recommendations Amend or Rewrite 56

57 TESTING Test, Test and Test Some More! 57

58 REVISION TESTING THE PLAN Paper exercises and Role Play Work through procedures Hands-on experience Real-world reactions Find gaps in procedures Familiarity with procedures Employee Reduce panic and error Skill Everyone knows their role 58

59 REVIEW RMT MEETING AT LEAST YEARLY CHANGES TO PLAN INCLUDE REVISIONS IN SECTION

60 New authority REVISION MAJOR ORGANIZATIONAL CHANGE Change in chain-ofcommand Reorganization of departments 60

61 Vital Records List Disaster Team Roles Records Control Schedule Equipment & Supply Lists APPENDICES Chemical Lists Contact Lists Worksheets Business Forms Emergency Resources Continuity Plan 61

62 Staff Home contact numbers Phone trees CONTACT LISTS Records Management Services Building Services Include lists in appendices; update! 62

63 RESOURCES TEXAS STATE LIBRARY AND ARCHIVES NATIONAL ARCHIVES LIBRARY OF CONGRESS 63

64 QUESTIONS CONTACT ME KIMBERLY DECOLA