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VITAL RECORDS,DISASTER PLANNING
AND RECOVERY
KIMBERLY DECOLA, CRM
RECORDS ANALYST
AUSTIN CONVENTION CENTER
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AGENDA
• VITAL RECORDS IDENTIFICATION AND PROTECTION
• YOUR DISASTER PLAN
• PICTURES
• RECOVERY
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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
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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
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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
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V1
RISK ASSESSMENT
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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
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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
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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
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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
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SAMPLE PLAN
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VITAL RECORDS IDENTIFICATION
Review mission statement
Review statutory and regulatory
responsibilities
Review emergency
plans
Identify supporting
records
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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
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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
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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
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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
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PROTECTION
• PROTECTION DEPENDS ON COMMON SENSE
• PRECAUTIONARY STEPS
• SECURITY
• UPDATE EMERGENCY LISTS
• UTILIZE BUILDING SERVICES CONTACTS
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PROTECTION
• PROTECTION STRATEGY WILL VARY GREATLY DEPENDING
UPON:
• ACCESS
• RISK
• RESOURCES
• PRESERVATION NEEDS
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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
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PROTECTION
• TEMPERATURE AND HUMIDITY CONTROLS
FOR RECORDS ON MEDIA OTHER THAN
PAPER:
• PHOTOGRAPHS AND NEGATIVES
• MICROFORMS
• OPTICAL MEDIA
• MAGNETIC MEDIA
• SOLID STATE MEDIA
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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”
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22*ZETTA INFOGRAPHIC: STATE OF DISASTER RECOVERY 2016”
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23*ZETTA INFOGRAPHIC: STATE OF DISASTER RECOVERY 2016”
Satisfaction with DR Solutions
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PURPOSE AND SCOPE
What’s included/excluded
ReasonGeneral Statement
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REVISION HISTORY
Reference Section
Change
Revision number
Date
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RISKS
Natural Risks
01Technological Risks
02Civil Risks
03
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POSITIONS AFFECTED
• LIST OF KEY PARTICIPANTS
• JOB TITLES
• MANAGERS
• RECORDS ANALYST/MANAGER
• RECORDS TEAM
• IT
• OTHER STAFF AS IDENTIFIED
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POLICY
Authority Statement
01Safety
02Security
03
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POLICY
01
Authority• Who declares• Who is in charge• Authority Statement
02
Disaster Plan Activation
Notification Procedures• When/How• In What Order
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POLICY
30
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RESUMPTION – RESUMPTION PROCEDURES
Business Functions
Essential (obligated)
Non-essential (extra service)
Manual vs. Electronic Processes
Backups
Alternate methods
Needs/Rights
Customers
Employees
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DEFINITIONS
RMS Definitions
0101Business Definitions
0202
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DEFINITIONS
SOME EXAMPLES INCLUDE:
EMERGENCY
DISASTER
RECOVERY
RESUMPTION
SALVAGE
DISASTER PLAN
VITAL RECORDS
SUCCESSION
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ACRONYMS
RMS Acronyms
0101Business Acronyms
0202
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RESPONSIBILITIES
Chain of Command RMT/DRT
Staff/Volunteers/Temps
Specialists/Vendors
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ALTERNATE WORK SITES
Cold sites
No equipment
Warm sites
Equipment available
Not set up
Hot sites
Equipment available
Set up
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VITAL RECORDS
Identification Protection Recovery
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PLAN ALIGNMENT
38
• BUSINESS CONTINUITY
• INFORMATION GOVERNANCE
• IT
•48-72 HOURS WINDOW
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DISASTER TEAM ROLES
Names vs Titles
Implement disaster plan• Head recovery operations• Document disaster and salvage• Head Triage and Salvage• Compose post-disaster report
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INITIAL DISASTER PROCEDURES
Damage
Damage Assessment
Stabilize
Stabilize the Environment
Recovery
Triage and Salvage
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RESUMPTION – DAMAGE ASSESSMENT
Records Locations
01Inventory
02Damage• Location• Type• Extent
03
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RESUMPTION – STABILIZE
Personal Protection Gear
01Relocate Records
02Temperature Humidity
03
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RESUMPTION – RECOVERY
Triage
01Salvage
02Disposal
03
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ONGOING SAFETY/SECURITY
SecurityBuilding
Records
Safety Staff
Families of staff
Public
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RESUMPTION –OTHER REQUIREMENTS
Legal Counsel
Contracts
Policy
Legal issues
Supplies
Staff
Emergency fundFunding
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RISKS
Use Risks from Section 2
01List By Disaster Type
02Be Specific
03Preservation vs Recovery
04
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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
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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
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SALVAGE – SALVAGE INSTRUCTIONS
Call
A
Professional
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First call to
Records Services!
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TRIAGE AND SALVAGE
SalvagePrioritize
Preservation methods
Specialists
TriageSort by Damage
Sort by Media
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TRIAGE INSTRUCTIONS
No Damage Light
Media needs• Film• Photos• Paper• Electronic• Hardware
Badly Damaged/Non-
Recoverable
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WELCOME TO THE REAL WORLD
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• DISASTER PHOTOS.PPTX
• LET’S TAKE A LOOK AT WHAT A REAL INTERRUPTION LOOKS LIKE
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SALVAGE – EQUIPMENT & SUPPLY LISTSOffice supplies
Cleaning supplies
Hardware equipment
Safety equipment
Rental equipment
Preservation/conservation supplies
Other equipment
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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
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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
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POST-DISASTER REPORT
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Gaps• What Worked• What Didn’t
Recommendations• Amend or Rewrite
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TESTINGTest,
Test andTest Some More!
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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
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REVIEW
• RMT MEETING
• AT LEAST YEARLY
• CHANGES TO PLAN
• INCLUDE REVISIONS IN SECTION 3.0
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REVISION –MAJOR ORGANIZATIONAL CHANGE
New authority
Change in chain-of-command
Reorganization of departments
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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
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CONTACT LISTS
Staff• Home contact numbers• Phone trees
Records Management Services
Building Services
Include lists in appendices; update!
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RESOURCES
• TEXAS STATE LIBRARY AND ARCHIVES
• WWW.TSL.TEXAS.GOV
• NATIONAL ARCHIVES
• WWW.ARCHIVES.GOV
• LIBRARY OF CONGRESS
• WWW.LOC.GOV
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• CONTACT ME
• KIMBERLY DECOLA
• 512-404-4063
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QUESTIONS