IRMT Emergency Plan
IRMT Emergency Plan
IRMT Emergency Plan
S ECTOR R ECORDS
A Training Programme
Emergency Planning
for Records and Archives
Services
EMERGENCY PLANNING
FOR RECORDS AND
ARCHIVES SERVICES
INTERNATIONAL RECORDS INTERNATIONAL
MANAGEMENT TRUST COUNCIL ON ARCHIVES
MANAGING PUBLIC SECTOR RECORDS: A STUDY PROGRAMME
Version 1/1999
MPSR Project Personnel
Project Director
Anne Thurston has been working to define international solutions for the
management of public sector records for nearly three decades. Between 1970 and
1980 she lived in Kenya, initially conducting research and then as an employee of
the Kenya National Archives. She joined the staff of the School of Library,
Archive and Information Studies at University College London in 1980, where
she developed the MA course in Records and Archives Management
(International) and a post-graduate research programme. Between 1984 and 1988
she undertook an onsite survey of record-keeping systems in the Commonwealth.
This study led to the foundation of the International Records Management Trust
to support the development of records management through technical and
capacity-building projects and through research and education projects.
General Editor
Michael Roper has had a wide range of experience in the management of records
and archives. He served for thirty-three years in the Public Record Office of the
United Kingdom, from which he retired as Keeper of Public Records in 1992. He
has also taught on the archives courses at University College London and the
University of British Columbia, Canada. From 1988 to 1992 he was Secretary
General of the International Council on Archives and since 1996 he has been
Honorary Secretary of the Association of Commonwealth Archivists and Records
Managers (ACARM). He has undertaken consultancy missions and participated
in the delivery of training programmes in many countries and has written
extensively on all aspects of records and archives management.
Managing Editor
Laura Millar has worked extensively not only as a records and archives
management consultant but also in publishing and distance education, as an
editor, production manager and instructional designer. She received her MAS
degree in archival studies from the University of British Columbia, Canada, in
1984 and her PhD in archival studies from the University of London in 1996.
She has developed and taught archival education courses both in Canada and
internationally, including at the University of British Columbia, Simon Fraser
University and the University of Alberta. She is the author of a number of books
and articles on various aspects of archival management, including A Manual for
Small Archives (1988), Archival Gold: Managing and Preserving Publishers’
Records (1989) and A Handbook for Records Management and College Archives
in British Columbia (1989).
Project Steering Group
Additional members of the Project Steering Group include
Association of Records Managers and
Administrators (ARMA International): Hella Jean Bartolo
International Council on Archives: George MacKenzie
Project Management Consultant: Tony Williams
University College London: Elizabeth Shepherd
Video Production Co-ordinator: Janet Rogers
Educational Advisers
Moi University: Justus Wamukoya
Universiti Teknologi Mara: Rusnah Johare
University of Botswana: Nathan Mnjama
University of Ghana: Harry Akussah, Pino Akotia
University of New South Wales: Ann Pederson
University of West Indies: Victoria Lemieux
Project Managers
Lynn Coleman (1994-6)
Laura Millar (1996-7)
Elizabeth Box (1997-8)
Dawn Routledge (1999)
Production Team
Additional members of the production team include
Jane Cowan
Nicki Hall
Greg Holoboff
Barbara Lange
Jennifer Leijten
Leanne Nash
Donors
The International Records Management Trust would like to acknowledge the
support and assistance of the following:
Association of Records Managers and Administrators (ARMA International)
British Council
British High Commission Ghana
British High Commission Kenya
Caribbean Centre for Development Administration (CARICAD)
Canadian International Development Agency (CIDA)
Commonwealth Secretariat
Department for International Development (East Africa)
Department for International Development (UK)
DHL International (UK) Limited
Foreign and Commonwealth Office Human Rights Fund
Hays Information Management
International Council on Archives
Nuffield Foundation
Organisation of American States
Royal Bank of Scotland
United Nations Development Program
Emergency Planning for Records and Archives
Services
Principal Author
LAURA MILLAR
For information on Laura Millar, see her biography above as Managing Editor.
Contributor
Laura Simmermon
Reviewers
Roger Craig, Cayman Islands National Archive
Jan Liebaers, Cayman Islands National Archive
Stephen Yorke, National Archives of Australia
Testers
Jamaica Archives and Records Department
National Archives of Sri Lanka
CONTENTS
Introduction 1
INTRODUCTION TO EMERGENCY
PLANNING FOR RECORDS AND ARCHIVES
SERVICES
No organisation is totally immune from emergencies or disasters, either from natural
causes or human action. Earthquakes, tornadoes, hurricanes, floods and fires take place
all around the world. As well, wars and civil strife occur in many countries. Even
power failures or electrical faults, leaks or drainage problems, or mishandling and
human error can lead to an emergency. Offices, people and records can suffer in an
emergency, even an event as seemingly insignificant as a leaking water pipe, a broken
humidifier or a shutdown in temperature controls.
In order to protect themselves and their assets, including records and archives, many
organisations develop ‘emergency plans’, which are also called ‘disaster plans’ or
‘business resumption plans’. Such plans are based on the concept that an organisation
should identify its assets – including its people, its equipment and supplies, and its
critical information sources – and then establish establishes procedures to protect those
assets. An emergency plan seeks to protect people and property and ensure that, in the
event of an emergency, action is taken immediately to reduce the damage incurred and
institute recovery procedures right away.
The first priority in all emergency planning is to secure human life and safety. The
second priority is to ensure the organisation can resume its operations and protect its
resources, includes equipment, supplies, information, records and other assets. The
records and archives manager’s priority is to protect one particular asset: the
organisation’s records.
Not all records can be protected equally in an emergency. Rather than simply start
moving boxes and, perhaps, end up rescuing supplies but losing valuable documents, it
is better to plan what will be receive first priority for protection in the event of an
emergency. It is possible to identify those records essential to the organisation’s
business and ensure those records are protected first. Those records are called ‘vital
records’.
This module outlines the steps involved in establishing and maintaining emergency
planning programmes and protecting vital records.
Emergency Planning for Records and Archives Services consists of four lessons:
Lesson 1: Identifying Risks to Records and Archives
Lesson 2: Preparing an Emergency Plan
Lesson 3: Identifying and Protecting Vital Records
Lesson 4: What to Do Next?
Outcomes
When you have completed this module, you will be able to
1. identify threats to your organisation’s records and assess the impact of damage or loss
4. know where to look for more information on emergency planning and vital records
management.
ADDITIONAL RESOURCES
Students working through this module should have access to a information about
emergency planning in general, if possible. Does your archival institution have
anyone experienced with emergency planning? Does your records office or records
centre have close links with anyone in the organisation responsible for emergency
planning, so you can discuss records and archives situations with him or her?
Whenever possible, it is ideal to draw on real examples, particularly in a module such
Manual
Associated with this module is the MPSR manual Planning for Emergencies: A
Procedures Manual. This manual defines the procedures involved with developing
policies and strategies to prepare for and respond to emergencies. As well as
outlining instructions for developing an emergency plan, the manual provides sample
forms and specimen documents, to help demonstrate the principles and practices
outlined. The manual should be studied closely in relation to this module. Note that
the forms and samples included in the manual are not included in this module;
cross-reference are provided instead.
Case Studies
The following case studies are useful additions to this module.
Case Study:
9 Roger Craig, Cayman Islands, ‘A Disaster Preparedness Plan for the Cayman
Islands National Archives’
23 Ann Pederson, Australia, ‘Storage/Preservation Case Study: Responding
Effectively to a Disaster’
This lesson examines how to identify risks, how to determine how seriously they could
affect the institution and how to minimise danger. These tasks are known as risk
assessment and impact analysis. This lesson considers
identifying risks
determining the impact of possible emergencies or disasters
conducting assessments and analyses
making recommendations and taking actions to reduce risks
protecting records.
It is important to remember that the first priority in emergency planning is to protect
people and ensure their safety. While this lesson focuses on protecting records and
archives, it must not be forgotten that information resources are not as important as
human lives.
Types of Emergencies
Emergencies and disasters can be classified as natural or human caused. Natural
disasters come from natural phenomena, such as earthquakes, hurricanes, typhoons,
cyclones, volcanic eruptions, drought or flood. Human disasters include water
leakage, explosions, terrorist actions and war. When determining the possible risks to
the organisation and its records, it is necessary to identify the possible emergencies
that might occur, then assess their likelihood and the potential damage they could
bring. Types of risks include
natural, such as earthquake, fire (includes destruction by water or chemicals used
in fire fighting/containment), flood (includes broken water mains, mould and
mildew), hurricane, tornado, winter storm
Fire
Fire is one of the most damaging dangers to records and archives. Fires can be caused
by natural occurrences such as earthquakes, or they can be started by power failures,
lightning strikes, electrical faults or arson. Fires result in heat and combustion
damage as well as smoke and water damage. A great threat in a records centre or
archival institution is not the fire itself but, if the fire is suppressed, the water damage
caused by the attempts to extinguish the flames.
Earthquakes
Earthquakes are more common or more severe in some parts of the world than others,
depending on the location of geological faults. Earthquakes can cause damage to
buildings, such as collapsing or tilting of structures, collapse of shelving or storage
units, movement of archives or records from storage containers, computer damage
and lost data from power losses, water damage from pipe collapse. Earthquakes can
also lead to tsunami, or tidal waves; these can lead to water and flood damage or can
collapse or seriously damage buildings. Fire is a great hazard in the aftermath of an
earthquake, and the water used to extinguish those fires is yet another hazard.
Power Failures
Many institutions experience occasional disruptions in power. Indeed, records offices,
records centres, and archival institutions often experience power failures, and many
people do not consider these an emergency. They are often simply a way of life.
However, power failures, even for short periods, can have disastrous consequences.
Electronic data and computer programmes can be affected; information may be lost or
corrupted. Environmental controls may be disabled, leading to fluctuations in
temperature and humidity. The loss of lights could endanger people in the institution
if they cannot find their way to exits safely and speedily; darkness is also and
unwelcome invitation to those wishing to damage or steal property.
Loss of Staff
If people are not available to continue the work of the institution, services may not be
provided and, in some situations, this absence of action could become an emergency
or even a disaster. In some countries, governments have declared as ‘emergency
services’ such duties as fire protection, police work, hospital workers, air traffic
controllers and so on. Strikes or other labour disputes are common reasons people
cannot do their jobs, but weather disruptions, floods, or natural disasters can also keep
people from work. Records should be kept identifying people who work for the
institution, who can step in an emergency and how to contact senior people for
guidance. These records should also be protected against loss or damage.
Activity 1
Have you experienced any emergencies or disasters such as those described above?
Briefly describe the situation and the damage done to property, records or the local
environment. Was there anything that could have been done to limit damage?
The activity below will help you understand the processes involved with determining
risks and allow you an opportunity to think of possible hazards for your institution.
When actually conducting such an examination, it is useful to consult with the national
disaster or emergency preparedness department, as they can offer valuable advice about
risks and about emergency planning in general.
Risk Likelihood
Earthquake
Leaking pipes/drains
Chemical spill
Vandalism or theft
Power failure
Computer breakdown
Other (indicate)
Leaking pipes/drains
Chemical spill
Vandalism or theft
Power failure
Computer breakdown
Other (indicate)
Once the institution has completed the risk assessment and the impact analysis, it will
have a clearer sense of the possible hazards it might face and the possible effect those
dangers might have, particularly for records and archives. The risks and their effects
can be charted, such as in the matrix shown below. Such a matrix can help show
graphically what risks the institution faces and the level of impact.
For example, if staff conducted a risk assessment and impact analysis and identified an
earthquake as almost certain to happen, and its impact to be severe, the emergency plan
should definitely address in detail the institution’s response. Who would be responsible
for what actions? What resources will be allocated? Are contingency plans in place?
The emergency plan would need to be detailed on this point.
On the other hand, if the risk assessment and impact analysis identified a flood from the
local river as unlikely and its impact negligible – perhaps the building is built high on a
hill well removed from the river – then the ultimate damage would be trivial and would
require no more than regular procedures to handle it. The organisation would not need
to developed detailed actions in the emergency plan, but should mention the possibility
and indicate in general what would be done and who would be responsible.
What if the organisation identified a computer breakdown as unlikely and the
consequences negligible? If the organisation had no computers, the risk would be
non-existent. It need not be detailed in an emergency plan. However, if the
organisation were to obtain computers, the plan would need to be revised accordingly.
Activity 4
For the risks and possible impact or consequences you identified in the activities
earlier, draw them graphically into a matrix like the one shown in Figure 1.
Then, identify two actions you would take to protect records and archives in your
institution against the most severe risks you identified in your activities and charted in
the matrix document. Explain your reasons.
TERMS USED:
Severe: Necessary responses should be outlined in detail in an emergency plan;
at the time of the emergency senior management must participate in all
critical decisions
High: Necessary responses should be outlined in detail; at the time of the
emergency senior management must be responsible for critical decisions
and oversee actions as needed
Major: Necessary responses should be outlined in detail; at the time of the
emergency senior management must be involved with or aware of
actions required
Significant: Necessary responses should be outlined in detail; senior managers can
delegate authority in the emergency plan so that others can carry out
required tasks as outlined
Moderate: Necessary responses can be outlined in general terms in the emergency
plan and staff can be assigned responsibility to act as required
Low: The organisation’s regular procedures should cover any necessary
actions, which can be performed by staff as required, and senior
management could be notified after the fact
Trivial: The organisation’s regular procedures should cover any necessary
actions, which can be performed by staff as required, and senior
management could be notified as part of regular reporting procedures.
Source: Adapted from Guidelines for Managing Risk in the Australian Public Service, MAP/MIAC,
1996.
Activity 5
Identify three occasions when you should review or redo your institution’s risk
assessment and impact analysis.
One way to review the threats to the organisation’s records and information on a
regular basis is to conduct ongoing security and safety checks. The following
one-page form can be adapted for use; it will help you identify and document any
issues that should be addressed.
Remember too, these inspections should be conducted frequently, and they should be
done at various times. For example, it is important to inspect areas at night and on
weekends or holidays, not just during office hours. The situation in the area can be
Activity 6
Using the form provided below, conduct two safety checks, one in each of two areas
of your organisation where records or archives are kept or used. For example, you
could assess the archival repository, and you could assess the records centre. Or you
could examine two offices in the organisation, each with its own current records
registry or storage area.
What three things could be done to improve safety and security in each area? How
might you adapt the form to suit your own institution’s needs?
The information should be matched with the planners’ assessment of which business
processes are more ‘vital’; then the results of the assessment can be analysed to
determine just how vital each business function or process is to the organisation. Then
the vital functions and processes can be addressed in the vital records programme. It is
not practical or cost-effective to address all business functions in the plan; rather, it is
best to describe only those necessary to support the organisation in the event of a
business disruption or failure.
For more information on issues related to
establishing project teams and conducting
evaluations, see Strategic Planning for
Records and Archives Services.
Activity 7
For your institution, identify three benefits and three drawbacks to each of the
methods available for conducting a risk assessment and impact analysis: interviews,
questionnaires and meetings with focus groups.
It is possible also to consider actions in terms of priority. It is not useful to box records
if they are stored on the floor of a basement that is highly susceptible to leaks: to do so
would probably just mean the boxes as well as the records would be damaged by water.
Instead, it might be a better priority to move the records out of the basement or find a
way to minimise the chance of leaks.
In general, records are best protected when the following protection is in place in the
order presented below.
1. The building is located in a safe area.
5. The building, equipment and records are well maintained and well managed.
Remember, though, that even if the building’s location is not ideal or security systems
are not in place, any actions that can be taken to protect are worthwhile. The best
short-term solutions do not have to be expensive or complicated. Moving records off
the floor, placing plastic sheeting over shelves or moving boxes away from windows or
doors can be as effective in an emergency as installing expensive water detectors or
drainage systems.
Each institution will have to determine the best course of action to take, depending on
its resources, needs and potential risks. The common actions involve protecting records
from damage caused by water, fire, hazards such as armed conflicts and abuse or
mishandling.
For more information on the physical protection and
care of records in general, see Preserving Records.
Activity 8
Inspect a specific records storage area in your institution and indicate if you feel the
records or archives in that area are at any danger from water damage. Using the terms
used in this lesson, identify if the risk is extreme, very high, medium, low or
negligible. Then, name four actions you could take right away to reduce the risk of
water damage.
Activity 9
Inspect a specific storage area in your institution and indicate if you feel the records
or archives in that area are at any danger from fire. Using the terms discussed earlier,
identify if the risk is extreme, very high, medium, low or negligible. Next, name four
actions you could take right away to reduce the risk of fire.
Fire suppression systems can be installed, if the institution can afford them. There are
two types of systems, gas-based and water-based systems. Gas systems can control
fires in confined areas but they are not useful in large spaces, since the gas disperses too
quickly in a large room to be effective. Water sprinklers can leave water damage, but
they are the most efficient fire suppressant and so are considered a reasonable method.
In spite of the possible damage from water, it is recommended that most institutions
consider water sprinkler systems for large areas.
Portable fire extinquishers should also be installed in the facility, ideally one
extinguisher for each 200 square metres of floor space. There should be at least two
extinguishers on each floor of a building. Carbon dioxide extinguishers are best for use
on electrical fires; water extinguishers can be used on regular fires. Extinguishers
should be checked annually to ensure they are still charged adequately, and records
should be kept of each inspection.
Activity 10
Does your institution have fire extinguishers? How many? What type: carbon
dioxide, water, or other? Are they inspected regularly or at all? How often?
Security Measures
Security systems are critical for the protection of records and archives. They are
particularly important to protect against theft or arson. The organisation should ensure
that the following steps are taken, if at all possible.
Restrict entry in records storage areas to authorised personnel only.
Ensure all access points to buildings or storage areas are fitted with locks, and
ensure the doors are locked and keys only provided to authorised personnel
whenever possible.
Institute a programme for issuing and wearing security passes that clearly identify
and distinguish different categories of staff (permanent and temporary) and
visitors (contractors’ staff, regular users, casual visitors).
Ensure that all visitors are supervised all the time they are on the premises.
Install intruder alarms to warn of unauthorised entry.
Hire a twenty-four hour security service.
Ensure that all security measures apply not only to visitors but also to staff.
One of the most important security measures that can be taken is simply to ensure all
doors and windows are shut when no one is in the building, so that people cannot enter
without authorisation.
Activity 11
Activity 13
Name three steps you would take to improve the facility for storing records or
archives in your institution. Explain the priority in which you would do this work and
why.
Activity 14
Name three elements you would include in the construction of a new building to
ensure it could protect vital records in an emergency. Explain your reasons for
choosing those three elements.
6. Name four questions you should consider when conducting a risk assessment and
impact analysis.
7. Name four questions you should consider when specifically examining the risks
associated with computerised information technology systems?
8. What methods can be used to gather information for an assessment and analysis.
What are the benefits and drawbacks of each method?
10. When determining the location of a new building, what potential hazards should be
considered?
12. How can the organisation protect itself from water damage?
13. How can the organisation protect itself from fire damage?
Activity 7
There are benefits to each method. For example, interviews allow for a
comprehensive analysis; questionnaires save time, and focus groups allow for detailed
discussions with a group of people.
However, there are also drawbacks to each method. Your institution might be too
large to allow for interviews of all staff. Questionnaires may not be completed if the
institution does not understand the important services provided by the records office,
records centre or archival institution. People may be assigned to focus groups but
perhaps not prepare for meetings by discussing issues with their colleagues.
The method or methods chosen must suit the particular needs of the institution at the
time. Remember, it may be best today to conduct interviews; in two years it may be
more appropriate to work with focus groups. It is necessary to consider the best
methodology each time you prepare to conduct assessments and analyses.
Activity 8
A number of simple actions can be taken to protect records from water damage,
including lifting boxes off the floor, covering shelves with plastic sheeting and not
storing records near pipes or water intakes or outlets. The module Preserving
Records discusses preservation measures in more detail.
Activity 9
A number of simple actions can be taken to protect records from fire damage,
including removing flammable items, chemicals or other fire hazards from the storage
area, using metal shelving instead of wooden, storing records in boxes, not allowing
open flames in the records storage areas and installing fire extinguishers and alarms in
key areas. Preserving Records discusses preservation measures in more detail.
Activity 10
All institutions should have an adequate number of fire extinguishers. If possible, as
your local fire department officials to visit the facility and offer advice on the best
type of extinguishers for the needs of the institution. The extinguishers should be
checked at least monthly; annual checks are not enough to ensure they are working
adequately. The fire department may also advise on the proper placement of
extinguishers; they should be located so that they are easy to remove and use.
Activity 11
A number of simple actions can be taken to protect the security of records, including
restricting access to storage areas, returning used materials to storage immediately
after use, checking the materials for completeness after use and monitoring public and
storage areas regularly. Preserving Records discusses security measures in detail.
Activity 12
Activity 13
A number of suggestions for improving storage facilities are included throughout this
lesson and this module.
Activity 14
Any new facility should be physically secure, should be constructed to reduce the
danger of vandalism or theft and should operate with the best environmental and
physical controls possible. Measures might include installing vaults, installing metal
bars over windows or doors or ensuring the building is strong enough to withstand as
much as possible the effects of an earthquake or flood.
An emergency plan will ensure the right measures are taken at the right time in the
event of an emergency or disaster. An emergency plan helps the organisation to be
ready: that is, to take steps to remove the threat of damage to records and archives by
identifying preventive measures that can be taken to improve the stability and security
of records. It also helps the organisation to respond: to establish procedures to protect
undamaged materials and to stabilise the condition of damaged materials so they may
be recovered. It also outlines the work involved with recovery: the tasks of salvaging
materials and cleaning and protecting them.
The purpose of outlining objectives is to help ensure that the duties and activities
identified are truly relevant to the key records needs of the organisation; framing
objectives helps the organisation remain ‘on track’ with its emergency planning.
See Appendices 1, 2 and 3 in Planning For
Emergencies: A Procedures Manual for a
sample terms of reference document, an
outline of staff responsibilities, and a policy
statement about emergency planning.
Activity 15
Based on the activities you did in Lesson 1, where you considered possible risks to
your institution’s records, identify two of the most important objectives for
emergency planning for your institution. Explain your reasoning.
Activity 16
Based on the risk assessment and impact analysis exercises you completed in
Lesson 1, indicate in order of priority the top five emergencies that could affect your
institution’s records and information sources. Explain your reasoning for selecting
those emergencies over others and placing them in the order you chose.
Activity 17
Name two preventive measures that could be taken to reduce the negative effects of
each of the top five emergencies you identified for the last activity.
Emergency Procedures
The next step in the emergency plan is to outline the emergency procedures to be
followed. The very first information provided here should be a description of initial
responses to be taken in an emergency, including the list of key emergency personnel
and their responsibilities. You should also include an explanation of how to set up a
‘command centre’ and provide information about any other steps that should be taken
immediately after a disruption or emergency. After the initial response, it is important
to outline the rest of the emergency procedures to take, in order.
For example, in the event of a fire, the first action would be to sound the alarm; after
which the senior staff member identified as responsible in emergencies will take charge,
with assistance from other staff as assigned. All people will be evacuated safely from
the area, then the senior staff member will ensure emergency calls or contacts are made,
to notify external suppliers or assistants and to advise senior management in the
organisation. Next, action will be taken to suppress the fire and remove or retrieve
materials either before they are damaged or after.
Procedures should be extremely simple and clearly laid out. All staff should be able
to follow the instructions given even if they have never seen them before. Remember,
the procedures are designed to provide first-response information for staff: what they
should do immediately in the event of an emergency. Dealing with the actual records
issues, such as moving records or undertaking salvage operations, is a more specialist
activity and selected people in the institution will be trained to perform those jobs.
Activity 18
What do you consider should be the first three steps your institution should take in an
emergency? Why?
The plan will also identify external suppliers or advisers, such as people who might
supply storage space or materials, moving trucks or other equipment. These local
resource people can be critical to the success of emergency planning. The organisation
should consider establishing reciprocal agreements with other organisations, so that
each can help the other in the event of an emergency. It is also advisable to establish
relationships with suppliers such as butchers or dairies, or anyone with large walk-in
freezers, as it is often necessary during a salvage operation to freeze wet papers until
such time as they can be dried out and repaired. It is also very important to establish
contacts with national or regional emergency or disaster relief organisations. If
possible, representatives of the records or archives institution should join the
committees of these external organisations in order to ensure that information needs are
considered in the process of national or regional emergency planning.
See Appendix 4 in Planning For Emergencies: A
Procedures Manual for sample forms that may be
used to maintain contact lists.
Activity 19
Name four people (by position title, not personal name) within your organisation who
should be notified first in the event of an emergency.
Name four organisations or businesses in your area that could be contacted to share
resources such as freezers or emergency supplies. How would you go about
contacting them and discussing a possible reciprocal arrangement?
Activity 21
Who in your organisation (by position, not individual person) should be approached
to approve the emergency plan? Why did you choose those positions?
Following is a list of the types of emergency response teams that could be established,
as well as a brief explanation of possible responsibilities.
Administrative Team: responsible for initiating salvage; providing liaison with
an insurance company for damage assessment; procuring supplies; estimating time
for repair and/or replace operations; establishing a command post; providing
clerical and administrative support.
Support Services Team: responsible for procurement of housing and office space
for personnel; arranging for transportation of supplies, equipment and personnel
during recovery time frame.
One of the most important aspects of emergency planning is staff training. Team
members must understand their roles and functions and they must be comfortable with
those tasks. Their response needs to be automatic; there is no time in an emergency for
people to wonder what they should be doing. As well, people need to be able to
perform their jobs without any one person around, such as a senior manager or the
Testing the plan will also determine if the alternative site is useable and compatible. If
the agency is depending upon other organisations or vendors to provide an alternative
site, testing the plan will help show weakness in those dependencies, as well as
determining what details have been overlooked. Testing will also help determine if
information technology system back-ups are adequate and easily installed when
required.
If possible, the organisation should initiate ‘dry-runs’ or simulations of various types of
business interruptions and emergencies. The plan may be adequate for a major
emergency, such as a fire, but may be overly complicated for a short disruption in
operations, such as a water leak. Simulations will help smooth out the details. As well,
in the event of a real emergency, the plan should be reviewed after to ensure all went
according to plan.
The following points should be reviewed during testing or after an actual emergency.
Were the right people notified in the right order?
Who took responsibility for starting the emergency response process? Was this
the same person designated in the written plan?
How long did it take to complete initial responses and emergency procedures?
Activity 22
Does your institution have an emergency plan in place? If so, review the contents and
identify where what information might be added to incorporate recommended
elements outlined in this lesson.
If your institution does not have an emergency plan, outline briefly the steps you
would take to begin the process of developing such a plan.
INCIDENT REPORTS
After an actual incident occurs, it is important to examine what happened and take
steps to improve the emergency plan as required. The following specific actions
should be taken.
Determine the causes of the emergency or disaster by holding post-mortem
meetings.
Prepare an incident report or similar briefing notes for agency heads on the
emergency or disaster.
3. Explain the purpose of the introduction and objectives section of an emergency plan.
4. What information about the building should be included in the emergency plan?
5. Name ten different types of emergency equipment and supplies and their purposes or
uses for emergency management.
7. Why should the organisation receive approval for and commitment to the plan from
senior management? How can this approval be obtained?
12. Why should the plan be reviewed after and actual emergency?
As well as identifying vital records, it is very useful to identify other assets held by
the organisation, including those that affect the work of records or information
management. For example, it is important to identify and describe computer
equipment, particularly those machines providing a vital service to the organisation;
historical documents or records with significant cultural or heritage value; negotiable
materials, including cash, stocks, certificates and so on; contracts; radios, televisions,
recording devices or other such equipment; attractive items with high monetary value.
Activity 23
Think back to the work you did in Lesson 1 and consider two types of natural
disasters or emergencies that might happen in your particular geographic area. What
kinds of records would you need to protect the rights of citizens or help the
organisation continue its business in the event of those types of emergencies or
disasters?
Senior management should actively support the vital records plan as it is being
implemented and then on an ongoing basis, to ensure its general acceptance and,
Activity 24
Identify who in your institution (by position title, not personal name) should be
involved with the development of a vital records programme. Indicate briefly why
you selected those positions.
The group responsible for actually developing a vital records management programme
should include both people responsible for records management and people involved
with emergency preparedness. The key users of the records should also be involved in
the process of identifying vital records, and legal, financial and technical experts may
also be consulted. Senior management should be involved from the beginning of the
process to ensure that the programme is established in its entirety and is kept up to date.
The archival institution should participate throughout the entire process in order to
provide both technical and management input into the decision-making process.
The mission statement, legislation and policy documentation of the organisation can
provide information that will help define the organisation’s vital services and
responsibilities. The determination of those vital services and programmes will then
determine which records are vital. However, as a general rule, it is possible to say that
vital records will have at least one of the following three qualities.
They will be crucial to the operations of any organisation
or
they will be required to protect the rights of individuals or the organisation
or
they will be absolutely integral to the reconstruction of the organisation in the
event of an interruption or termination of services.
Appraising records in order to determine if they are vital requires a knowledge of the
functions of the organisation, the records required to carry out those functions and the
life cycle of records. All of those responsible for the information holdings of an
organisation should be involved in determining which records are vital. The records
manager, librarian, electronic records manager and the emergency planner or security
person should work closely with each other and with the users of the information in
order to determine which records are vital.
Static records are those records that do not change or that change minimally. Examples
include the original mandate of the organisation presented in an order-in-council, or the
annual financial report, which might be approved yearly. Some static records may in
fact be archival and may reside either in an archives or in a records storage centre.
If a record is considered ‘vital’, then it needs to be protected so that the business
functions or operations of the organisation can be maintained or resumed as quickly as
possible in the event of a disruption in business. To protect static vital records, it may
only be necessary to make copies and store these securely. To protect vital records that
change regularly, an organisation may have to establish a programme of backups or
copies that ensure the most recent version of the record is captured automatically, so the
constantly changing information is not lost. It is important to note when copies,
backups or revisions are made and to develop a regular process to ensure this work is
not left to chance but becomes a part of the ongoing routine of the organisation.
A list of vital records will identify vital records for each division or office of the
organisation. The list will also identify the operation or process that the record
supports, and it will provide information concerning the procedures needed to protect
the records. The records office should maintain a complete set of these lists, and copies
of the lists should be kept with the vital records wherever they are stored.
The list should contain the following information:
the name and file number of the record
the office responsible for the creation and use of the record
the purpose of the record
a description of the record, including information about its purpose and the type of
information it contains
media type(s)
storage location (both off site and on site)
an indication of whether the record is classified for security purposes
the retention period for the record
steps taken to protect the record (offsite storage, copying and so on).
Activity 27
Choose three of the vital records you identified in the activity earlier in this lesson.
Write a list of these records, including for each record the information provided in the
list above.
The procedures developed to handle and store records should clearly indicate the
responsibilities of the people who care for the records; the procedures should be tested
and modified as required. One person within each division should be made responsible
for the transfer of vital records according to the established procedures; he or she should
also be responsible for maintaining an accurate and up-to-date list of transferred
records. The procedures should also include instructions in the event of an emergency
during working hours as well as after working hours.
In order to identify vital records quickly, it may be useful to flag them or otherwise
identify the boxes, shelves or bays. It is best to use a marking system that is
understood only within the institution; to label records specifically as ‘vital’ will
invite unwanted attention or possible theft or damage.
Activity 28
Does your institution have any vaults? If so, survey one and briefly describe its
strengths and weaknesses as a location to store vital records. If your institution does
not have any vaults, write a brief description of where you might install one and how
you might go about constructing one. What materials would you use? How would
you ensure the vault was safe and secure?
Remote Storage
Vital records can also be stored remotely; that is, out of the regular office environment
in an offsite storage facility. Remote storage of vital records is usually more
economical, efficient, flexible and secure than onsite storage. In some countries, private
companies have developed commercial records centres for the storage of vital records.
Access to records in remote storage locations should only be gained with proper
identification. There are many advantages to using remote storage facilities for
protecting vital records, including the following.
In the event of a disruption in normal operations, it is easier to retrieve vital records
because they are all stored in the same location.
Remote storage facilities are usually designed to store vital records and have the
appropriate environmental controls for temperature, humidity, air control and
circulation, as well as other detection and monitoring devices when required.
The staff of this type of storage facility are usually trained in records management.
This type of storage facility usually has extremely good security and access to the
records is restricted to authorised personnel.
When considering whether to use a remote storage site, it is important to consider the
following:
Activity 29
Are there any commercial remote records storage organisations in your country or
region? If so, try to visit one or enquire about their facilities and services. Compared
with the checklist above, what facilities does the facility have and what facilities does
it lack?
Activity 30
If there is no commercial organisation in your area, name three options you might
consider for developing reciprocal relationships to protect vital records.
Vital records can be copied, but the master copy should also
be protected so that one or the other version is available in
an emergency.
Copies do not have to be in the same format as the original record. The duplicate can
take the form of a photocopy, carbon copy, electronic tape, floppy disk, microform or
optical disk. The method selected should be made on the basis of the needs of the
organisation and the equipment and facilities available.
Before copying records, you should ask yourself the following questions.
Do duplicates already exist? If yes, where and in what form?
When should duplicates be made? When the record is created, or at a pre-set or
scheduled time?
Activity 31
Does your institution have a plan for copying records? If so, are copies or originals
stored off site? If not, write a brief explanation of how you would develop a copying
programme, what resources you would need, whether you would store originals or
copies off site and why and what priorities you would establish for your copying
programme.
Activity 32
Does your institution have procedures in place for copying or backing up electronic
records? If so, describe the procedures and suggest three steps you might take to
improve them.
If not, indicate the first three actions you would take to establish a programme to copy
electronic records and store them safely.
In some parts of the world, businesses exist specifically to provide protection or storage
for electronic records. They often only require the organisation to pay for the time that
it uses the facility. One advantage is that this type of alternative storage arrangement is
usually available immediately in the event of an interruption in operations. However, a
hazard is that the vendor may not offer ongoing or regular service, disrupting the work
of the organisation. It may also be necessary to establish special security measures to
protect information held by such agencies, if they do not have adequate security
themselves.
Activity 33
Does your institution have procedures in place for storing electronic records off site?
If so, describe the procedures followed and suggest three steps you might take to
improve them.
If not, indicate the first three actions you would take to establish a programme to store
electronic records off site.
3. Explain why some records are changeable and some are static; give examples of each.
5. Who should be involved in the process of determining vital records and why?
7. Explain the key guidelines that might be used to determine if records are vital or not.
8. Why should the criteria for the selection of vital records be established at the outset of
a vital records programme?
10. What are two recommended methods for protecting vital records? Are some
measures more suitable than others for different records formats?
11. Name three issues that should be considered when duplicating vital records.
12. Name three issues that should be considered when storing vital records off site.
13. Describe the advantages and disadvantages of visible marking of vital records or their
storage locations. Explain how you would approach making a decision about
whether or not to mark vital records or their storage location..
14. What procedures should be followed to transfer vital records to secure storage?
16. What options are available for storage of vital electronic records?
records identifying or describing key parts of the city or country, such as details of
utility systems; maps of highways and road systems; surveys and plans of public
utilities, waterways and bridges; information on facilities such as hospitals,
schools or nursing homes
locations and quantities of stocks of goods or materials necessary to restore basic
services to the public.
Activity 26
It is important to be able to distinguish between changing and unchanging records and
to take steps to update information on changing vital records regularly so that the
organisation’s information is always protected.
Activity 27
Each person’s list will be different but should include each of the elements listed in
this part of the lesson.
Activity 28
Vaults should be fire resistant and safe from flooding or water damage. Ideally they
are constructed of a strong metal with metal shelves, not wooden, inside. They will
have a door that seals tightly to keep out fire or water; this door should be closed
whenever the vault is not in use.
Activity 29
In many countries, such commercial remote records storage organisations do not
exist. However, it is useful to bear in mind the requirements of such a facility so that
if one is established your organisation can determine if you should enter into an
agreement for storage.
Activity 30
As discussed in this lesson, arrangements could be made with businesses, other
organisations, other offices within your organisation or with similar agencies in the
country. Arrangements should be considered with organisations outside of your city,
so that vital records are kept in a distant location and are not at risk in the event of a
city-wide emergency or disaster.
Activity 31
Copying of vital records should be done according an established plan, to ensure all
critical records are identified and copied. Priorities for copying might focus on those
records that are particularly fragile, of great importance to the organisation or at most
risk from loss.
Activity 32
Many institutions have no established procedures to back up electronic records.
Copies should be kept of all critical electronic records, and information should be
recorded about the record and the software and hardware used to produce it. The care
WHAT TO DO NEXT?
Emergency Planning for Records and Archives Services has focused on the
development of systems to protect records and information in the event of an
emergency or disaster. It has outlined the steps involved in establishing and
maintaining emergency planning programmes and protecting vital records.
Specifically, it examined
methods used to identify risks and determine their potential impact on records and
archives
how to develop an emergency plan
how to identify and protect vital records
Once you understand these principles, concepts and practices, it is necessary to
establish priorities for emergency planning and to know where to go to find out more
about vital records issues.
Activity 34
Based on the work done in this module, outline briefly the specific steps you would
take to establish an emergency programme for records and archives services. What
actions would you do first? What next? Why?
International Organisations
International Council on Archives Project Group on the Protection of Archives
in the Event of Armed Conflict or Other Disasters (ICA/PDP)
60, rue des Francs-Bourgeois
75003 Paris, France
Tel: +33 0 1 40 27 63 06
Fax: +33 0 1 42 72 20 65
email: [email protected]
website: http://www.archives.ca/ICA/
This ICA committee studies and drafts guidelines and directives concerning the
protection of archives in the event of armed conflict or other disasters. It works in
cooperation with UNESCO and the International Committee of the Blue Cross. It
also works to promote the exchange of views and experiences in this area. The ICA is
the primary international agency for archival work around the world.
Activity 35
Find out if your institution has any information about any of the agencies listed above.
Does your organisation receive publications, participate in conferences or meetings or
otherwise work with any of these groups?
In your opinion, which groups should your institution consider communicating with
first, if any, and what would you expect to achieve by doing so? How would you go
about building a productive relationship?
Security Issues
Dunn, F.I. Security: A Guide for Use in Appraising and Implementing Security
Systems and Procedures in Archives Operations, covering Buildings, Staff, the
Public, and Repository Management (London, UK: Society of Archivists, 1994).
ISBN 0-902886-47-9.
Thomas, David L. Study on Control of Security and Storage of Holdings. (RAMP
Study PGI-86/WS/23). Paris, FR: UNESCO, 1986.
Walch, Timothy. Archives and Manuscripts: Security (Chicago, USA: Society of
American Archivists, 1977). ISBN 0-931828-13-9.