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PreDisaster Recovery Plans


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Title: PreDisaster Recovery Plans

Pre-Disaster Recovery Plans
  • Presentation to
  • NACRC Legislative Conference
  • March 3, 2007
  • Carol Foglesong, Orange County Comptrollers
  • Orlando, FL
  • and
  • Paul Ketz, Broward County Records Division,
  • Ft. Lauderdale, FL

  • Introductions
  • Purpose
  • Unpredictability of Disasters
  • Business Continuity Planning Definitions
  • Reasons for a Pre-Need Contract
  • What do you need to consider?
  • Orange Countys Process to Contract
  • Other Resources
  • Questions

  • We are not here because we are experts in the
    field of Business Continuity/Disaster Planning.
  • We are here because all of us are struggling with
    this topic.
  • We would like to share some of our experiences
    with you, and learn from the experiences of
    others here today.

Cycle of Disaster Planning
So, whats a disaster?
  • Disasters come in all sizes and shapes
  • Big events Hurricanes, Tornadoes, Earthquakes,
    Blizzards, Floods, Vandalism, Terrorism
  • Smaller events Fires, Water Pipes, Roof Leaks
  • Disasters impact
  • A large geographic area
  • A localized area (county or city)
  • A particular office operation/location

Hurricane Wilma
  • Exposed office suites are seen in the damaged
    Regents Bank Plaza on Tuesday, October 25, 2005
    in Fort Lauderdale. (Sun-Sentinel/Joe Cavaretta)

Hurricane Wilma
  • The Broward County School Board building as seen
    from the 30th floor of the AutoNation Building in
    downtown Fort Lauderdale. (Brian Hekman, Coconut

Hurricane Wilma
  • Virtually every window on the west side of the
    Broward School Board building in downtown Fort
    Lauderdale was blown out by Hurricane Wilma.
    (Sun-Sentinel /Carl Seibert)

Hurricane Wilma
  • Repairs are underway at the Broward County
    Courthouse offices and parking garage in downtown
    Fort Lauderdale. (

Whats a common theme?
  • Disasters are typically unexpected
  • Disasters happen when you have or are making
    other plans
  • Disaster size or impact cant be readily
  • Disasters arent all BIG events it can be the
    little ones that cause the most concern and

Disaster Readiness
  • Business Continuity Plan
  • Staffing plans
  • How to get up and running again
  • Disaster Recovery Plan
  • Setting priorities on what has to be tackled
  • Papers versus computers
  • Forecast Disaster Plan
  • Before the event planning
  • Office preparations when a disaster is predicted

But who do you call for help?
  • Youve made a list
  • Businesses with addresses, names, phone numbers,
    faxes, and email addresses
  • Services offered and needed
  • Youve identified responsibilities of staff
  • Who calls whom when
  • Whos in charge
  • Do you and your staff keep a copy of your
    plan/phone lists with you? It wont help if your
    list is at the office!

How to guarantee availability?
  • If a large area is impacted, there will be many
    organizations needing help you may need to get
    in line
  • If a small area is impacted, will you get the
    specific help you need quickly?
  • If its a particular building or location
    impacted, whats the best solution?

One answer
  • A commitment to your organization by a service
  • You have a spot on the top of their list
  • Youve pre-negotiated prices and services
  • Youve already checked out who the provider is
    and their references

Getting the Pre-Need Contract
  • You will have to convince your purchasing/contract
    group that a pre-need contract is not only
    possible, but logical
  • You knowingly commit to going through the
    purchasing process of your organization even with
    no known disaster on the horizon

  • Be clear no services no dollars
  • But money has to be available when services are,
    in fact, necessary
  • Does your organization require a set aside?
  • Does your organization have a reserve fund?
  • Contract has to be renewed
  • Annually?
  • Every 3 years?
  • What are your renewal options?

Whos in charge of the procurement process?
  • You may be the designated Records Management
    Officer for your organization, but you will need
  • The purchasing/contract group
  • Likely users must buy in
  • Agreement on who sets the priorities for service
  • Recognition that the disaster may be small or
    large scale
  • Approval by your governing body
  • Who will negotiate the contract? Do they have a
    solid understanding of your business needs to
    secure the best vendor?

Other Considerations
  • Can you opt for higher priority by negotiating a
    retainer? Will the retainer be applied against
    services rendered?
  • If something happened to your materials, how long
    would it take to access them?
  • Do you have 24/7 access?
  • How do you get someone to the facility?
  • Is HIPAA a consideration in the
    custody/restoration of your records?

Response Time
  • Do you have a Continuity of Operations Plan
  • What kind of time will it take to respond to an
  • For Emergency Services
  • Fire, Plumber, Repairmen
  • For you and your staff
  • For the Paper-Recovery Vendor

What events are importantbased on your geography?
  • Where are you located and what kinds of events do
    you expect every year?
  • Florida Hurricanes
  • California Earthquakes
  • Northeast Snow
  • Low lying Flooding
  • What is it for you???

Vendor Capabilities
  • How many linear feet of paper can be recovered
    per hour per piece of equipment?
  • Is the Vendors equipment wholly owned by
    company, or is some subcontracted?
  • Does the Vendor have a schedule of who will
    respond after they are first notified?
  • Process for chain of custody of records
  • Where will the vendor set up base camp?
  • What kind of turn-around time

Vendor Experience
  • How much experience will you require?
  • What kinds of references do you want to see?
  • Past Performance
  • Program Name
  • Owner / Architect
  • Contract Amount / Percent Complete
  • Completion Date

Be clear about the scope
  • What media do you want used to recreate your
  • Film
  • Electronic
  • Back to paper?!?
  • Who can activate the contract
  • Do you have other agencies/business units who
    need access to this contract?
  • If multiple agencies/business units can access
    this contract, have you told the vendor who has
  • Whose budget is used to pay for services?

Writing the RFP
  • Plagiarize!
  • Dont reinvent the wheel unnecessarily
  • Each organization has their own standard language
    and format
  • Stick with the assistance particulars that you
    might actually need
  • Have a way to compare apples and oranges between

Computers vs Papers?
  • Typically, theres already a recovery plan for
    computers, servers, databases, etc.
  • Communication is key talk to your IT people and
    be sure they have a plan too!
  • Computer recovery involves not only the data, but
    also the equipment (machines, hardware)
  • There are specialized companies who handle this
    specialized service
  • Make sure your organization has an active and
    realistic plan in place

Paper or Paper Plus?
  • Paper in a warehouse, awaiting its retention time
    or its microfilming
  • Paper in all those office filing cabinets and
    individual desk drawers
  • Microfilm?
  • Microfiche?
  • CDs?
  • Maps or big drawings?
  • Other media besides computers?

Which documents first?
  • Are your documents prioritized?
  • Do you store records for multiple agencies? What
    gets saved first? Are your boxes segregated?
  • All things being equal, whose records are most
  • Does it make sense to secure your truly
    irreplaceable records elsewhere?

What type of paper recovery process will be used?
  • There are multiple types of document
    recovery/restoration techniques
  • Vacuum Freeze Drying
  • Molecular Sieve treatment
  • Desiccant dehumidification
  • HVAC decontamination
  • Gamma Radiation (Remove Mold/Bacteria)
  • Are there techniques that cannot/should not be
    used on your records?

Paper Contamination Factors
  • Debris
  • Sewage
  • Silt
  • Haz-Mat materials
  • Asbestos
  • PCB
  • Other petroleum products

  • Re-filing, Re-indexing, Re-shelving
  • Daily equipment rentals
  • Small equipment purchases (shovels)
  • Will they provide their own generators, or does
    the vendor require electricity (water)?
  • Freight / Transportation Costs
  • Travel / Per Diem or subsistence costs
  • General Debris removal at your site to gain
    building access
  • Warranty on services performed/document
    reproduction quality

Who does what?
  • Inventory
  • Packing
  • Sorting/Identifying
  • Prioritizing
  • Labeling
  • Loading/Unloading
  • Re-shelving
  • Security

Price per cubic foot
  • Pack out
  • Gamma Radiation
  • Cleaning
  • Drying
  • Ozone
  • Deodorization

Price per each item
  • Audio tapes
  • Blueprints
  • Maps
  • Compact disks
  • Diskettes
  • Manuscripts
  • Laser disks
  • Photographs
  • Slides
  • Microfiche
  • Microfilm
  • Negatives
  • X-rays
  • Pack out boxes
  • Pack in boxes

Price per hour
  • Will any of the vendors services be provided per
    hour in consultation fashion?
  • Does the vendor have per hour charges for
    anything not specifically covered in your

Where will the actual restoration and recovery
take place?
  • Where will the vendor set up base camp?
  • Onsite
  • Remote Location
  • Vendors Site
  • How will the materials be transported?
  • What kind of turn-around time does the vendor
    give for recovery onsite? Offsite?

Before you go back in
  • Who declares whether the building is safe to
  • Fire Marshal
  • Building Inspector
  • Facilities Management
  • Some other authority?
  • Where are your emergency triage supplies?
  • What will you provide?
  • What will the vendor provide? Where will the
    vendor set up base camp?

Before you go back in(contd)
  • Will you need assistance to secure the structure
  • Water removal
  • Temporary Power
  • Temporary building repairs
  • Securing Walls
  • Roof Repairs
  • What is your plan if your staff balk at going
    back in?

One solution
  • Set up scenarios and make pricing those responses
    a part of the evaluation process
  • Pick 3 events of varying significance
  • Mix up the media to be recovered

Orange County FL Sample
  • Full RFP and evaluation grading sheets being
    lifted to NACRC document library
  • Understand that we decided our biggest problem
    was going to be water damage
  • We dont get snow or many tornadoes
  • Substitute your own boiler plate front end

Scope of Work
  • Location for services (Orange County FL mostly
    mid-Orange County)
  • Volume of work undetermined (who knows whats
    going to happen?)
  • Not for computer systems
  • What we asked for
  • There shall be no retainer paid in order to keep
    the contract in effect. The resulting contract
    will be on an as-needed basis and used only in
    case of a disaster or emergency as so deemed by
    the County. The Contractor shall provide 24
    hours per day, 7 days per week emergency response
    service. Response by phone after the first
    notification shall be within 2 hours. The
    Contractor shall have a representative on site
    after first notification within six (6) hours
    with the necessary equipment to be transferred
    within twelve (12) hours.

Selection Criteria and Points
  • Qualifications of Staff
  • Qualifications of Firm
  • Technical Approach
  • M/WBE Utilization
  • Location
  • Fee Proposal
  • Welfare Recipient Hires
  • 10
  • 20
  • 30
  • 10 (minimum allowed)
  • 10 (minimum allowed)
  • 20
  • 100
  • 5 bonus points

Qualifications of Staff
  • Include a listing of all staff to be assigned to
    provide the required services and resumes for
    each describing experience, training and
    education in the required consulting services.
  • Reasoning and/or recommended changes
  • Tell them to make the bios BRIEF
  • You dont need or want 5 pages per person!
  • Clarify the kind of training or certification
    staff has
  • WHEN did they get that training or certification?
  • Identify staff experience working with
    governmental entities and list those projects.
  • Reasoning and/or recommended changes
  • Hold the government entities and projects for the
    firms qualifications
  • You just get the same information in two places

Qualifications of Firm 1
  • Provide a description and history of the firm
    focusing on previous governmental experience.
    Provide the number of years in business showing
    proof of a minimum of 5 years in document
    recovery, the current number of full-time
    employees and the excess labor that can be
    provided in case of an emergency.
  • Reasoning and/or recommended changes
  • Does governmental experience actually matter?
  • Five years in business seemed a logical threshold
    so that we werent getting a firm that sprung up
    in response to our 2004 hurricanes
  • Full-time employees seemed important to evaluate
    whether the firm could respond to more than one
  • Excess labor? Probably would just hire locally
    and teach/train while on the job

Qualifications of Firm 2
  • Identify your equipment inventory available to
    Orange County within the Southeastern United
  • Identify the capacity to process in linear feet
    per hour for each piece of equipment at each
  • Identify equipment wholly owned by your firm, or
    which is available through subcontracting.
  • Reasoning and/or recommended changes
  • Making up the equipment list was VERY interesting
  • We decided on Southeastern US as a logical
    staging area for us
  • We learned you can lease/rent anything!

Qualifications of Firm 3
  • List at least five references, with a minimum of
    two from governmental entity experience, for
    which the firm has performed similar work
    including the contact name, address, telephone
    number, email, and date of the contract.
  • Reasoning and/or recommended changes
  • 5 references seems about the standard
  • 2 government entities seemed to make purchasing
    people happier
  • Make sure to ask for email so you can readily
    contact the references
  • Send the reference organizations questions and
    then call to interview them

Technical Approach 1
  • Provide a brief description of the firms
    approach to the project. Identify the equipment
    and recovery methodologies you employ to recover
    water-damaged paper documents, microfilm, CDs,
    maps and plans, etc.
  • Provide a schedule (not later than) of arrival of
    your equipment in hours after first notification.
  • Identify how you ensure records are properly
    inventoried and identified as well as the chain
    of custodianship.

Technical Approach 2
  • Identify the methods and instruments used to
    assess moisture content of records.
  • Provide an operational plan for rapid deployment
    of required supervisors to provide direction to
    County employee first responders to assess
    damage and take interim steps to minimize loss.
    Include number of people, and number of hours for
  • Should no power be available, contractor shall be
    responsible for providing all power required to
    operate equipment.

Technical Approach 3
  • Provide a plan for how your clients are
    prioritized in the event of a widespread
    emergency in which there is multiple-client
  • Identify your permanent dehumidifying equipment
    locations in the Southeastern United States and
    the capacity in pounds of water extracted per
    hour for each piece of equipment at each
  • Present options available to provide
    dehumidifying of buildings and mold and mildew

Technical Approach 4
  • Submit your warranty or guarantee of your
  • Confirm the firms agreement to meet the minimum
    requirements of this Request for Proposal.
  • Proposers may offer alternative solutions/options
    to achieve successful completion of the scope of
    work herein.

Technical Approach Notes
  • This area provided us with the greatest
    flexibility in evaluating proposals and the
    largest points to award/withhold.
  • We dont know if we got this area right as we
    havent had to use the contract.
  • But we did get it in writing in advance from the
    firm with which we contracted.
  • We drew upon notes from prior NACRC and disaster
    recovery sessions. We tried to imagine many/most

Fee Schedule 1
  • Submit a rate schedule for equipment, supplies,
    and staff services.
  • Travel, lodging, and meals shall be at rates
    allowed to public employees under state law per
    state statute 112.061
  • Identify the cost per cubic foot, separately, for
    each of the elements as listed in item below.
    Provide a cost for all recovery services.
  • freeze conventionally
  • blast freeze
  • freeze dry
  • rapid freeze
  • treat for mold and mildew
  • packing and unpacking
  • treatment for soot

Fee Schedule 2
  • Identify mobilization and demobilization rates
    for equipment and staff.
  • Identify your markup for any equipment rented,
    and supplies purchased.
  • Identify freight cost per mile by type of
  • Provide the cost to implement the recovery
  • Provide the cost of the Recovery Service.
  • Describe, if offered, your pre-registration
    service and cost associated for such service.

Fee Schedule 3
  • In order to adequately evaluate and compare
    services provided by proposers, three (3)
    hypothetical scenarios have been created for
    which proposers must provide a written response
    using prices submitted on Attachment A, the scope
    of work provided, and the technical approach of
    your firm. These scenarios are located in
    Attachment B.

Scenario 1 Roof Leak
  • It has just been discovered that the roof of the
    Countys Records Center has been leaking for some
    time now. It is estimated from the buckling
    ceiling tiles that this has occurred over the
    past six (6) months.
  • When the actual damage was assessed, 200 boxes
    (dimensions 10x12x15 1.2 cubic feet)
    containing paper documents and microfilm had been
    severely damaged by water, resulting in mold and
  • Contents of the boxes are as follows 7/8 copier
    and bond paper and file folders, and 1/8
  • Based on the limited information in this
    scenario, the scope of work, and the services
    listed in Attachment A, the proposer is asked to
    provide estimated costs for complete recovery and
    restoration of the 240 cubic feet of documents.
    It is understood that the type or method of
    restoration will vary depending upon the type of
    records involved.

Scenario 2 Water Pipe Burst
  • A water pipe has just burst in a County building,
    which houses permits and application forms of the
    County. Standing water, approximately 8 deep
    has seeped into the records (i.e., CDs,
    microfilm, paper, maps, and plans, etc.). The
    damaged records consist of 1/2 copier and bond
    paper and file folders, 1/8 CDs, 1/8 microfilm,
    and 1/4 building maps and plans.
  • The room size for this County office is
    approximately 20,000 sq. ft. Housed in this
    office space are records contained in 10
    four-drawer vertical letter-size filing cabinets
    (_at_ 6.0 cubic feet per unit for approximately 60.0
    cubic feet total) 10 five-drawer lateral,
    letter-size filing cabinets (_at_ 13.0 cubic feet
    per unit) for approximately 130.0 cubic feet of

Scenario 2 (continued)
  • This space also contains approximately 50
    workstation cubicles at 100 sq. ft. each, which
    is equivalent to an estimated 4 to 5 cubic feet
    of records housed at each workstation. The 50
    workstations contain approximately 250 cubic feet
    of water-damaged records.
  • Based on the limited information in this
    scenario, scope of work, and services listed in
    Attachment A, the proposer is asked to provide
    estimated costs for complete recovery and
    restoration of the records. It is understood
    that the type or method of restoration will vary
    depending upon the type of records involved.

Scenario 3 Small Fire
  • A coffee pot with a potential electrical shortage
    problem was left plugged into an outlet too long
    and sparked a small fire. Smoke from the fire
    triggered the sprinkler system, which caused
    water damage to some of the records.
  • When the actual damage was assessed, 300 boxes
    (dimensions 10x12x15 1.2 cubic feet)
    containing paper documents, microfilm, CDs, and
    maps had been moderately damaged by both water
    from the sprinklers and soot from the fire. The
    damaged records consist of ¾ copier and bond
    paper and file folders, 1/8 CDs, and 1/8
  • Based on the limited information in this
    scenario, scope of work, and services listed in
    Attachment A, the proposer is asked to provide
    estimated costs for complete recovery and
    restoration of the records. It is understood
    that the type or method of restoration will vary
    depending upon the type of records involved.

Fee Schedule Notes
  • Having the scenarios was very important
  • We had trouble figuring out how to evaluate all
    the standard information the proposers
  • The scenarios gave us a window into comparing
    apples to apples side-by-side

Checking References
  • You really have to do this part
  • We designed a series of 10 questions (lifted to
    the NACRC document library) which we sent to the
    reference people in advance of our call to them
  • We had at least 2 people and usually 3 people on
    each call and then we compared notes

Doing the Evaluation
  • We created spreadsheets and allocated points
    among the criteria for each category (lifted to
    the NACRC Document Library)
  • Each of the evaluators completed their own
    spreadsheet separately
  • We then met together and compared scores we were
    very close to each other
  • What one person couldnt find or figure out,
    another person did

The Contract
  • We selected our finalist just as Hurricanes
    Katrina and Rita plowed in
  • Getting our contract fully executed dragged out
    for 3 months and we only needed their properly
    executed insurance form!
  • Since the contract was finally and fully signed
    in January 2006, we have not had to use the
  • But were sure sleeping better!

Additional Thoughts
  • Start now dont wait for your season
  • Anticipate delays along the way
  • From first concept to actual completion was 2
    years for us
  • Writing the scenarios and considering all the
    possibilities requires multiple brains and
    various styles

Lessons Learned from Katrina
  • Having a pre-need contract crosses the Ts and
    dots the Is in advance.
  • Remember to look at the whole process
  • New Orleans Parish experience with their vendor,
    The work that they did was excellent but the
    collection department was awful. They relied on
    a technical line in the work authorization to
    keep our books in Chicago until they were paid
    eliminating the opportunity for an audit of their
    bill. I suggest that any pre arrangements
    include reviewing the billing and collection

Use your NACRC Contacts
  • Use NACRC as a resource to find vendors
  • Talk to other jurisdictions about their
  • Conferences
  • Listserv
  • Email
  • Conference Calls

Questions Answers
  • What experiences have you had? Good or bad?
  • When will you have a pre-need contract?
  • How will you develop your potential proposer list
    to which to send the RFP?
  • Can you join with other organizations in your
  • Can you tag along to an existing contract
    someone else has?

Additional Resources
  • Florida DOS State Library Archives
  • National Parks Service Wet Collections Recovery

Thanks and for any follow-up
  • Carol Foglesong, Assistant Comptroller, Orange
    County Comptrollers Office, PO Box 38, Orlando,
    FL 32802 407.836.5982
  • Paul Ketz, Broward County Records Division, 115
    S. Andrews Ave., Room 120, Ft. Lauderdale, FL
    33301 954.357.7272