VITAL RECORDS,DISASTER PLANNING

AND RECOVERY

KIMBERLY DECOLA, CRM

RECORDS ANALYST

AUSTIN CONVENTION CENTER

KIMBERLY.DECOLA@AUSTINTEXAS.GOV

AGENDA

• VITAL RECORDS IDENTIFICATION AND PROTECTION

• YOUR DISASTER PLAN

• PICTURES

• RECOVERY

2

VITAL RECORDS

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

OTHER RECORD TYPES

Non-Essential Records

Of little or no value

Useful Records Can be easily replaced

Important Records

Needed 72 hours after an emergency

Can be reconstructed, though costly

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

V1

RISK ASSESSMENT

6

V1

RISK INDEX

7

Impact on Records

Risk Probability

1 2 3 4

2 4 6 8

3 6 9 12

4 8 12 16

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

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

PLAN ELEMENTS

Assign staff responsibilities

Vital Records listed on Records Control Schedules

Vital Records designations are current and complete

Provide for training and distribution of information

SAMPLE PLAN

VITAL RECORDS IDENTIFICATION

Review mission statement

Review statutory and regulatory

responsibilities

Review emergency

plans

Identify supporting

records

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

IDENTIFY:

Records available from other sources•Internal and external

Availability on other

media

Timeframe of vitality

Records documenting

history of department/City

Works in progress

VITAL RECORDS MATRIXDescription Range Score

How critical is our inability to do this work? 1 2 3 4 5Low Medium High

Can work continue without the record? 1 2 3 4 5Yes No

How high of an impact will the consequences have if the records are no longer available?

1 2 3 4 5Low Medium High

How high of an impact would losing the record have on employees, tenants, or the public?

1 2 3 4 5Low Medium High

How high would the cost be to reconstruct the record? 1 2 3 4 5Low Medium High

How quickly is the information needed?1 2 3 4 5

Low (weeks) Medium (days)

High (hours)

Can the records be replaced from another source? 1 2 3 4 5Yes No

TOTAL

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

PROTECTION

• PROTECTION DEPENDS ON COMMON SENSE

• PRECAUTIONARY STEPS

• SECURITY

• UPDATE EMERGENCY LISTS

• UTILIZE BUILDING SERVICES CONTACTS

PROTECTION

• PROTECTION STRATEGY WILL VARY GREATLY DEPENDING

UPON:

• ACCESS

• RISK

• RESOURCES

• PRESERVATION NEEDS

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

PROTECTION

• TEMPERATURE AND HUMIDITY CONTROLS

FOR RECORDS ON MEDIA OTHER THAN

PAPER:

• PHOTOGRAPHS AND NEGATIVES

• MICROFORMS

• OPTICAL MEDIA

• MAGNETIC MEDIA

• SOLID STATE MEDIA

DISASTER BY THE NUMBERS

21

54%Companies

experienced a downtime event lasting

more than 8 hours in the past five years.

67%In a site outage their business would lose

$20k+ a day for every day of downtime.

*ZETTA INFOGRAPHIC: STATE OF DISASTER RECOVERY 2016”

22*ZETTA INFOGRAPHIC: STATE OF DISASTER RECOVERY 2016”

23*ZETTA INFOGRAPHIC: STATE OF DISASTER RECOVERY 2016”

Satisfaction with DR Solutions

PURPOSE AND SCOPE

What’s included/excluded

ReasonGeneral Statement

24

REVISION HISTORY

Reference Section

Change

Revision number

Date

25

RISKS

Natural Risks

01Technological Risks

02Civil Risks

03

26

POSITIONS AFFECTED

• LIST OF KEY PARTICIPANTS

• JOB TITLES

• MANAGERS

• RECORDS ANALYST/MANAGER

• RECORDS TEAM

• IT

• OTHER STAFF AS IDENTIFIED

27

POLICY

Authority Statement

01Safety

02Security

03

28

POLICY

01

Authority• Who declares• Who is in charge• Authority Statement

02

Disaster Plan Activation

Notification Procedures• When/How• In What Order

29

POLICY

30

RESUMPTION – RESUMPTION PROCEDURES

Business Functions

Essential (obligated)

Non-essential (extra service)

Manual vs. Electronic Processes

Backups

Alternate methods

Needs/Rights

Customers

Employees

31

DEFINITIONS

RMS Definitions

0101Business Definitions

0202

32

DEFINITIONS

SOME EXAMPLES INCLUDE:

EMERGENCY

DISASTER

RECOVERY

RESUMPTION

SALVAGE

DISASTER PLAN

VITAL RECORDS

SUCCESSION

33

ACRONYMS

RMS Acronyms

0101Business Acronyms

0202

34

RESPONSIBILITIES

Chain of Command RMT/DRT

Staff/Volunteers/Temps

Specialists/Vendors

35

ALTERNATE WORK SITES

Cold sites

No equipment

Warm sites

Equipment available

Not set up

Hot sites

Equipment available

Set up

36

VITAL RECORDS

Identification Protection Recovery

37

PLAN ALIGNMENT

38

• BUSINESS CONTINUITY

• INFORMATION GOVERNANCE

• IT

•48-72 HOURS WINDOW

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

INITIAL DISASTER PROCEDURES

Damage

Damage Assessment

Stabilize

Stabilize the Environment

Recovery

Triage and Salvage

40

RESUMPTION – DAMAGE ASSESSMENT

Records Locations

01Inventory

02Damage• Location• Type• Extent

03

41

RESUMPTION – STABILIZE

Personal Protection Gear

01Relocate Records

02Temperature Humidity

03

42

RESUMPTION – RECOVERY

Triage

01Salvage

02Disposal

03

43

ONGOING SAFETY/SECURITY

SecurityBuilding

Records

Safety Staff

Families of staff

Public

44

RESUMPTION –OTHER REQUIREMENTS

Legal Counsel

Contracts

Policy

Legal issues

Supplies

Staff

Emergency fundFunding

45

RISKS

Use Risks from Section 2

01List By Disaster Type

02Be Specific

03Preservation vs Recovery

04

46

RECOVERY PROCEDURESEXAMPLES

WATER MAIN BREAK

WINDOWS

BATHROOMS AND KITCHENS NEAR RECORDS

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

RECOVERY PROCEDURESEXAMPLES

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.

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

SALVAGE – SALVAGE INSTRUCTIONS

Call

A

Professional

49

First call to

Records Services!

TRIAGE AND SALVAGE

SalvagePrioritize

Preservation methods

Specialists

TriageSort by Damage

Sort by Media

50

TRIAGE INSTRUCTIONS

No Damage Light

Media needs• Film• Photos• Paper• Electronic• Hardware

Badly Damaged/Non-

Recoverable

51

WELCOME TO THE REAL WORLD

52

• DISASTER PHOTOS.PPTX

• LET’S TAKE A LOOK AT WHAT A REAL INTERRUPTION LOOKS LIKE

SALVAGE – EQUIPMENT & SUPPLY LISTSOffice supplies

Cleaning supplies

Hardware equipment

Safety equipment

Rental equipment

Preservation/conservation supplies

Other equipment

53

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

SALVAGE –EQUIPMENT

LOTS OF ROOM

AT LEAST SIX (6) LONG TABLES

3 FOR TRIAGE, 3 FOR SALVAGE

CHAIRS

GARBAGE CANS

CLEAN WATER

TENTS, IF OUTSIDE

PORTABLE DEHUMIDIFIERS/FANS

POST-DISASTER REPORT

56

Gaps• What Worked• What Didn’t

Recommendations• Amend or Rewrite

TESTINGTest,

Test andTest Some More!

57

REVISION -TESTING THE PLAN

Work through procedures

Hands-on experience

Real-world reactions

Find gaps in procedures

Paper exercises

and Role Play

Familiarity with procedures

Reduce panic and error

Everyone knows their role

Employee Skill

58

REVIEW

• RMT MEETING

• AT LEAST YEARLY

• CHANGES TO PLAN

• INCLUDE REVISIONS IN SECTION 3.0

59

REVISION –MAJOR ORGANIZATIONAL CHANGE

New authority

Change in chain-of-command

Reorganization of departments

60

APPENDICES

Vital Records List

Disaster Team Roles

Records Control Schedule

Equipment & Supply Lists

Chemical Lists

Contact Lists

Worksheets

Business Forms

Emergency Resources

Continuity Plan 61

CONTACT LISTS

Staff• Home contact numbers• Phone trees

Records Management Services

Building Services

Include lists in appendices; update!

62

RESOURCES

• TEXAS STATE LIBRARY AND ARCHIVES

• WWW.TSL.TEXAS.GOV

• NATIONAL ARCHIVES

• WWW.ARCHIVES.GOV

• LIBRARY OF CONGRESS

• WWW.LOC.GOV

63

• CONTACT ME

• KIMBERLY DECOLA

• 512-404-4063

64

QUESTIONS