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BEYOND BACKUPSLessons Learned From Disaster Planning for a Digital Archive
Lance Stuchell
2010 SAA Preservation Section Meeting
Overview
This slideshow was originally presented at the
2010 SAA Preservation Sectionon Friday, August 13th 2010
(some slides have been added for clarity)
This work is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 3.0 Unported License.
Disaster Planning Case Study
• Overview of ICPSR– Campus of the University of Michigan– An archive of digital social science research data– Preserves over 500,000 files of research data– Disaster planning process formalized in 2007• Gained new urgency after 2008 power outage
• Lessons learned– The disaster planning process– Incorporating digital asset protection
"By failing to prepare you are preparing to fail."
-Benjamin Franklin
THE PLANNING PROCESS
“What Could Happen” Approach
Drawings by Rebecca Goldman
Core Functions Approach
• Identify core functions of organization– Safety of employees and guests – Basic financial procedures (payroll)– Access to collections– Preservation of digital assets
• Determine allowable downtime• Risk management does play a role• Identify other planning mandates
Benefits of Functions Approach
• Helps frame entire disaster planning process – Identifies and prioritizes functions of organization
• Allocation of resources– Resources can be used to protect and recover
most important functions – Prioritize and allocate time and funding
• Helps define and identify disasters– Events that threaten core functions are “disasters”– Less likely to miss the “small” events
Core Functions at ICPSR
Core Function Application Allowable Time Lapse Lead / Support
Access to data ICPSR website ASAP Coll. Delivery; CNS
IT Infrastructure Servers, networks ASAP CNS
Preserve data Repository, offsite copies
1 day DPO; CNS
Process data Pipeline, workflow 1-2 days Coll. Dev; CNS
Administration-HR Electronic, print files 1 day HR; CNS
Administration-$$ Electronic, print files 1-2 days Finance; CNS
Summer Institute Electronic, print files seasonal Summer Institute; CNS
Conduct Research Electronic, print files 1 week DPO; CNS
Initial Core Function Identification and Allowable Downtime
Core Functions at ICPSR
• Web access identified as vital core function– Allowable downtime is minimal
• Led to development of webserver backup– Server is backed up in the cloud – Switches over in event of a primary outage – Facilitates continuity of web delivered content
• Resources allocated to recover this function
Access During a Disaster
POWER OUTAGE
OAIS Function Model
2008 Power Outage (before backup)
Access During a Disaster
POWER OUTAGE
OAIS Function Model
2009 Power Outage (after backup)
Access
DIP
Amazon Cloud
“The Plan”
Planning Components
“Ultimately, an organization would use a suite of plans to properly prepare response,
recovery, and continuity activities for disruptions affecting the organization’s IT
systems, business processes, and the facility.”
From NIST Contingency Planning Guide for Information Technology Systems, pg. 7.
Advantages of the Planning Suite
• Implementation at appropriate levels– Administration approves and guides overall policy– Finance manages emergency funds or agreements– IT handles technical recovery plans
• Improves the updating process – By the people who have ownership of the process– Can be scheduled at different times
• Plans are shareable and modular
Crisis Communication
Plan
First Steps at ICPSRDisaster Training
Plan
Disaster PlanningPolicy
First Steps at ICPSR
• Initial policies and plans guided process• Disaster Planning Policy– Created standing disaster planning committee – Identified stakeholders and subordinate plans
• Disaster Training Plan– Identified process for promulgating awareness
• Crisis Communication Plan– Identified communication process which will be
utilized during and after a disaster
DIGITAL ASSET PROTECTION
Physical Asset Protection
Research for Guidance
• Archive and library community– Guidance and importance of managed backups– Stresses continued access and public services
• Government and educational communities – Digital content as organizational assets– Guidance on the incorporation of IT– Sharing results, high-level polices and procedures
• Private and for-profit sector– Often based on legal requirements– Very difficult to find details and examples
Planning ComponentsBusiness Continuity
Plan (BCP)
Business Recovery Plan (BRP)
Continuity of Operations Plan
(COOP)
IT ContingencyPlan
Crisis Communication
Plan
Cyber Incident Response Plan
Disaster Recovery Plan (DRP)
Occupant Emergency Plan
(OEP)
From NIST Contingency Planning Guide for Information Technology Systems, pg. 10.
Digital Centered ComponentsBusiness Continuity
Plan (BCP)
Business Recovery Plan (BRP)
Continuity of Operations Plan
(COOP)
IT ContingencyPlan
Crisis Communication
Plan
Cyber Incident Response Plan
Disaster Recovery Plan (DRP)
Occupant Emergency Plan
(OEP)
From NIST Contingency Planning Guide for Information Technology Systems, pg. 10.
Plans for Digital Assets
• IT Contingency Plan – Provide procedures and capabilities for recovering
a major application or general support system– Addresses IT interruptions – At ICPSR: CNS (IT) is currently documenting and
sharing specific system recovery procedures – At ICPSR: Many plans already existed, but needed
further documentation and sharing
From NIST Contingency Planning Guide for Information Technology Systems, pg. 10.
Plans for Digital Assets
• Cyber Incident Response Plan – Provide strategies to detect, respond to, and limit
consequences of malicious cyber incident – Focuses on information security responses to
incidents affecting systems and/or networks– At ICPSR: Existing plan incorporated into suite
From NIST Contingency Planning Guide for Information Technology Systems, pg. 10.
Plans for Digital Assets
• Disaster Recovery Plan (DRP) – Provide detailed procedures to facilitate recovery
of capabilities at an alternate site– Limited to major disruptions with long-tem effects– At ICPSR: Web Continuity Plan (cloud backup)– At ICPSR: Archival backups stored at different
locations and documenting recovery procedures
From NIST Contingency Planning Guide for Information Technology Systems, pg. 10.
Implementation and Maintenance
• Standing Disaster Planning Committee– Headed by Assistant Director for Administration
• Web Continuity Plan – Tested in controlled environment several times– Provided access to content during 1 power outage
in May 2009
• To Do List– Have a tabletop exercise centered around IT
assets– Get a better hold of in-house digital assets
Promulgate Results
From http://www.icpsr.umich.edu/icpsrweb/ICPSR/curation/disaster/index.jsp
Takeaways
• Disaster Planning Process– Core functions provide framework for process– Disaster plan is composed of a suite of plans,
procedures, and policies
• Planning for digital assets – Some plans are suited to cover digital content– Recommend using NIST Guide for guidance – Archive community needs more accessible
guidance on planning for digital asset protection
Acknowledgements • Nancy McGovern, Digital Preservation Officer, ICPSR• Content for this presentation was initially developed for the
Digital Preservation Management Workshops http://www.icpsr.umich.edu/dpm/workshops/fiveday.html • Rebecca Hatcher and the SAA Preservation Section
• Slides 1 and 32: “and you thought you had computer problems” by mandyxclear http://www.flickr.com/photos/mandyxclear/3461234232/
• Slide 4: “Benjamin Franklin - 270/365, 6/24/10” by vpickeringhttp://www.flickr.com/photos/vpickering/4783819450/
• Slide 5: “ServerBurn2” by Topatohttp://www.flickr.com/photos/roadhunter/68017721/
• Slide 6: Drawings by Rebecca Goldmanhttp://derangementanddescription.wordpress.com/2010/08/12/dangers-and-derangers/
• Slide 19: “Motherboard flame” by Alfo23 http://www.flickr.com/photos/alfo23/1809728501/
