Off-Site Storage for Vital Records
by Sherry Hilley
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Off-site storage is the best way to protect valuable data. By storing backup tapes of this vital data at an off-site location, your municipal government will minimize the consequences from unforeseen events at its primary data storage site. The protection of vital records is an important component of any municipal government’s business-continuity planning process and plan.
Vital records are defined as unique records that can be replaced only after significant effort, expense and delay. You will want to minimize the cost and efforts of restoring your vital data, should the original data become compromised in any way. Generally, the file backup can be called back from the off-site tape storage facility and the data restored within 24 hours. Vital records should not be retained only as proof of financial transactions, but also to verify compliance with legal and statutory requirements. In addition, governments must satisfy retention requirements as an organization and employer. These records are used for independent examination and verification of sound business practices.
Important considerations related to the safety of any municipal government’s vital records, and items to be evaluated when selecting off-site storage facilities for vital records tapes, are described below.
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Location and Facility
The location of the off-site storage facility should include the following considerations:
The facility should be located at a sufficient distance such that a disaster would not affect both locations similarly.
The facility should have adequate access roads, with alternate routing if needed.
The facility should be accessible within a reasonable period of time such that the records can be obtained quickly.
High-risk areas, such as airports, railroads, chemical plants, flood plains, tornado belts, etc., should be minimized.
Rural and low-traffic areas can be more secure.
Building characteristics should include steel-reinforced fireproof construction and concrete (versus cement) construction. The combination of steel and concrete provides dual reinforcement and is therefore less likely to collapse in the event of a natural disaster.
Security
Access to the off-site storage facility should be controlled and fenced. All visits to the facility should be prearranged, and a sign-in log used to record the date and time of all visits. Visitors should show a picture ID and wear a badge when in the storage facility. Visitors should be accompanied throughout the visit.
The level of security generally includes:
Electronic card-access system
Closed-circuit television
Security guards and hours of coverage (some 24 hours)
Intrusion alarms
Restricted-access areas
Security system connected to police, fire and security service
The storage facility should have bonded employees and completed background checks on each employee.
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Record Keeping
An automated inventory control system should be used to log all records received and removed by the customer, and by storage location. This locator system should store the records in a systematic manner, so that tapes can be quickly located in an emergency situation. Bar-coding systems can assist with inventory management and control techniques and reduce human error. The off-site facility should provide a monthly report that documents all records received, accessed and removed at the off-site location. A high level of logical security should be used to keep client information from unauthorized or illegal users. Some facilities will provide secure access to this information from the Internet.
Environmental Controls
The facility should have several levels of fire detection and suppression equipment, and the temperature and humidity should be carefully monitored. The climate within a storage vault should be maintained at between 60 and 70 degrees Fahrenheit to prevent damage to electronic media. Humidity must be regulated as well, with levels varying between 40 percent and 50 percent to prevent harmful condensation. The off-site storage facility should have a ventilation system that eliminates impurities such as dust particles from the air. (The slightest amount of dust may cause read/write errors and damage drives.) Overall, it is important to inspect environmental controls carefully, since the presence or absence of these controls will affect the quality of the backups.
Other considerations include underground telephone and electrical lines, internal loading facility, emergency lights, walls extended to structural ceiling, backup power and heating and air conditioning systems, dust filtration systems, and EPA-approved fire extinguishing system, when appropriate.
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Auditing the Storage Facility
Periodically, there should be an audit of the off-site storage facility to determine if the proper security and controls are followed. Some of the procedures could include:
Comparing the perpetual inventory records of the government organization for off-site storage with the perpetual inventory records maintained by the facility.
Performing a physical inventory of the media maintained off site and comparing it to the perpetual inventory records of the government organization.
Visiting the off-site storage location and evaluating physical security and controls.
Observing storage techniques, determining the amount of time to locate the specific media, and evaluating management policies at the facility.
Conclusion
Most municipal governments’ business continuity plans assume that tapes stored at an off-site storage facility will survive. However, municipal governments should carefully evaluate the safety and soundness of the off-site storage facility to safeguard the tapes and the vital records stored on the tapes.
For more information on off-site storage and the Florida League of Cities’ consulting services, please contact Frank Hagy, chief information officer, at (407) 835-3471, ext. 137.
Sherry Hilley is a senior consultant with the Florida League of Cities’ Technology Services Department.
Reprinted from Quality Cities November/December 2004
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