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Effective Records Management Seminar


Counter-Disaster : Planning, Response and Recovery By Fe Angela M. Verzosa Effective Records Management Seminar Ateneo de Zamboanga, 5-6 February 2009 – PowerPoint PPT presentation

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Title: Effective Records Management Seminar

Counter-Disaster Planning, Response and
Recovery By Fe Angela M. Verzosa
  • Effective Records Management Seminar
  • Ateneo de Zamboanga, 5-6 February 2009

Topics to be covered
  • The nature of disasters
  • Disaster preparedness, response recovery
  • Risk assessment
  • Creating the disaster plan
  • Disaster Response
  • Disaster Recovery Salvage issues and strategies

  • Focus will be on collections disaster
    preparedness, response and recovery

However, other factors, such as human safety,
will be mentioned because the many players in a
disaster need to work together.
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  • Disaster
  • An occurrence causing widespread destruction and
    distress a catastrophe.
  • Emergency
  • A serious situation or occurrence that happens
    unexpectedly and demands immediate action.
  • (American Heritage Dictionary. 3rd ed., 1996)

Cause of Disasters
  • Natural causes
  • Earthquakes
  • Fires
  • Floods
  • Typhoons
  • Volcanic eruptions

Cause of disasters
  • Man-made disasters
  • Biological contamination
  • Chemical spill
  • Civil disturbance and terrorism
  • Construction failure
  • Electrical power failure
  • Electronic computer failure
  • Explosions (bombs)
  • Fire (arson)
  • Gas leak

Cause of disasters
  • Man-made disasters
  • Human error and carelessness
  • Nuclear disasters
  • Robbery
  • Sewage overflow
  • Accidental sprinkler activation
  • Strikes
  • Toxic fumes
  • Vandalism
  • War
  • Water overflows

Disaster Planning
  • 95 of disasters result in water damage even
    fire damage is accompanied by water damage.
  • Libraries must be prepared for all disasters,
    natural and man made, that may occur at their
  • The cost of not being prepared may be loss of
    life, loss of the materials, or, ultimately, the
    loss of the institution or business.

Objectives of Disaster Planning
  • To protect people, libraries and materials
  • To avoid a disaster by being pro-active
  • To reduce possibility of a disaster and to reduce
    effects if a disaster happens
  • To expedite response and recovery efforts in an
    organized and systematic manner if there is a
    disaster by having contacts and information
    needed consolidated in a single plan, and by
    familiarizing staff with disaster response
    options and activities

Elements of a library disaster Plan
Disaster Plan
  • Safety and security of people
  • The building
  • Administration records for business continuity
  • The collections
  • Library services

Elements of a library disaster Plan
Activities in Disaster Planning
  • Disaster preparedness and prevention
  • Disaster response
  • Disaster recovery
  • Disaster follow-up and planning update

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Tasks of disaster planning
  • Develop a working relationship with parent
    organization and community, i.e., university
    disaster team, city disaster management, fire
  • Risk Assessment Identify, assess and mitigate
    potential risks and hazards
  • Identify insurance policies, spending authority
    and emergency funds

Disaster Preparedness involves these
  • Assess collections and assign priorities for
  • Identify disaster recovery resources, including
    institutional assistance, vendors, consultants,
  • Secure a budget for supplies and training
  • Purchase and distribute in-house supplies (which
    should be inventoried)
  • Analyze impact on services

Disaster Preparedness more activities
  • Review policies and procedures for disasters
    and/or emergencies
  • Write the disaster plan, distribute, or better,
    put on the website
  • Secure offsite backups
  • Train staff
  • Conduct pre-planned tests of the plan
  • Review and report every emergency
  • Modify plan from drills and experience
  • Update plan regularly

Risk Assessment
  • Identify and assess risks
  • What is the likelihood of something occurring?

If something were to occur, what would be the
Risk Assessment
  • 1- Survey Building
  • Site of building
  • Landscape
  • Building materials and structure
  • Fire Protection (sprinklers, type)
  • Utilities (water, electrical, etc)
  • Custodial
  • Security
  • Communication Systems

Risk Assessment
  • 2- The conclusion of the Assessment should be to
  • Where are my biggest risks?
  • 3- Take preventive actions or regularly monitor
    or alarm those risks.
  • What can we do to bring the greatest good?

Risk Assessment
  • Category Probability and Effect
  • 1 High probability- High
    Effect Fire, typhoon
  • flood, roof leaks
  • 2 High probability- Low Effect
    theft, vandalism
  • 3 Low probability- High Effect
  • nuclear war,
  • tsunami, explosion
  • 4 Low probability- Low Effect collapse
    of bookshelf, collapsed ceilings

Elements of a Disaster Plan
  • 1- Quick Reference Guide
  • Procedures for immediate response to most common
  • Done with Security and Building personnel

2- Basic information Emergency phone
numbers Building officer/personnel Post
evacuation meeting locations Location of disaster
supplies List of vendors Floor plans with fire
alarms, exits, etc. 3- Disaster Team
Disaster Team
  • The disaster management team will depend on
    individual institution size, resources and
    staffing patterns
  • Staff selected should have experience with
  • Administration activities, i.e., public
    relations, finance, personnel
  • The physical building
  • The collection and materials
  • Preservation practices
  • Library services, including reference,
  • Computer services

Disaster Team - examples
Disaster Team - examples
  • Head of Preservation Department
  • Head of Administrative Services
  • Building Manager
  • Head of Security
  • Circulation Librarian
  • Reference Librarian
  • Branches /Special Collections representative
  • Systems Head
  • Disaster response and recovery coordinator
  • Building manager
  • Collection recovery coordinator
  • Services recovery coordinator
  • Computer systems recovery coordinator
  • Documentation manager
  • Bibliographic services manager
  • Library personnel Head

Elements of a disaster plan
  • 4- Collection priorities
  • Priority 1 Irreplaceable materials
  • Priority 2 Materials essential to
    provide basic services or to library
    operation, materials required by law
  • Priority 3 Replaceable materials, i.e., core
    collections, areas of excellence, materials of
    high research value
  • Priority 4 Nice to have, but not essential
  • Priority 5 Do not salvage list

Elements of a Disaster Plan
  • 5- Disaster scale and recovery operations
  • Level 1 Emergency
  • Minor incidents that do not interrupt library
  • Handled by minimal staffing in less than 4 hours
  • Any damaged materials are handled in-house
  • Level 2 Small disaster
  • Limited to isolated area
  • Damages of less than 100 items
  • Requires 1-3 staff members
  • Disruptions resume within a day
  • Supplies available in-house
  • Damaged materials treated in-house

Elements of a Disaster Plan
  • 5- Disaster scale recovery operations
  • Level 3 Medium disaster
  • Damages of less than 500 items
  • Service operations resumed within 48 hours
  • Outside vendors may be needed
  • Level 4 Major/large scale disaster or wide-area

Elements of a Disaster Plan
  • 6- Procedures for disaster recovery
  • General Guidelines
  • Recovery of mold materials
  • Freezing of materials
  • Vacuum freeze drying
  • Vacuum drying or thermal vacuum drying
  • Freezer drying
  • Dehumidification
  • Air drying of materials
  • Guidelines for paper-based materials

General Emergency Guidelines
  • Use common sense
  • Know the location of emergency exits
  • Know the location of building alarms, how and
    when to use them
  • Locate the Disaster Response Kit
  • When the emergency is over, record and
    report the incident

Guidelines for Paper-based Materials
  • Books
  • Freeze or dry within 48 hours to avoid mold
    growth and to minimize distortion
  • Immediately freeze books with coated paper,
    keeping them wet until they can be frozen
  • Work first on books that have fallen on the
    floor, coated paper, the wettest materials
  • If books are wet and tightly packed on shelves,
    remove one or two so that they do not burst off
    the shelves as they swell (and incur further
    damage as they fall)
  • Do not open volumes, or close those that have
    fallen open
  • Handle one item at a time, using both hands
  • Do not press water out of wet books--the paper is
    too fragile when wet

Guidelines for Paper-based Materials
  • Unbound Paper
  • Stable materials - freeze or dry within 48 hours
    to avoid mold growth
  • Soluble inks and pigments - immediately freeze or
  • Coated paper - immediately freeze or dry
  • Do not try to separate single sheets (except to
    air dry)
  • Keep documents in order and retain documentary
  • Do not blot surfaces of documents that have
    soluble media

Recovery Methods for Wet Paper-based Materials
  • Air Drying - Materials are dried by spreading
    them out and/or interleaving them with absorbent
    paper in a work space in which the temperature
    and relative humidity are kept below 65 F and
    35 RH, and fans are used to keep air
  • Freezing - Wet materials are stabilized by
    freezing to allow time to plan for recovery.
    Freezing is an interim step. Materials must be
    air dried or vacuum freeze dried after being
    removed from the freezer. Mold will not grow, and
    further distortion is halted once materials are
    frozen. Rapid freezing minimizes damage from ice

  • - Stand books on
  • their heads
  • Interleave
  • absorbent paper
  • every 50 pages
  • Use fan to keep
  • air circulating
  • Keep temperature
  • below 65 degree F
  • When dry, lay books
  • flat but not stack
  • up together

Recovery Methods for Wet Paper-based Materials
  • Vacuum Freeze Drying - After materials are frozen
    to prevent further distortion and mold growth,
    frozen materials are dried in a vacuum chamber.
    Materials remain frozen as water is removed. The
    water passes from a solid state (ice) directly to
    a vapor state.
  • Vacuum Drying (vacuum thermal drying) - Wet or
    frozen materials are dried in a vacuum chamber. A
    vacuum is drawn, heated air is put into the
    chamber, and a vacuum is applied again to pull
    out the moisture. Books distort more than when
    vacuum freeze dried. A lower-cost alternative for
    materials of lesser value, esp. large quantities
    of unbound paper without intrinsic value .

(No Transcript)
Recovery Methods for Wet Paper-based Materials
  • Dehumidification - Materials are dried in their
    place on shelves by large commercial
    dehumidifiers that are brought on site.
    Temperature and relative humidity in the area
    should be controlled. Books distort more than
    when vacuum freeze dried. Use for moderately wet
  • Freezer Drying - Materials are put in a freezer
    for months. Over time moisture sublimates out of
    the materials. Use for a few wet books.

Disaster Response
  • The actual response to an
  • emergency or disaster depends on
  • Scope of the disaster
  • Nature of the disaster
  • Timing of the disaster
  • Part of the facility and collection affected
  • Staff available for response
  • Available supplies and equipment

Disaster Response
  • The speed and manner of disaster response is
    often critical to the recovery, rehabilitation,
    and final outcome.

Checklist of First Response
  • Step 1 Make sure people are safe.
  • Step 2 Make a rapid assessment of the emergency
  • Step 3 Protect the collections from further
  • Step 4 Notify, or verify notification of,
    people and programs that are designated to
    respond in an emergency.
  • Step 6 Work with Facilities staff members to
    stabilize the environment.
  • Step 7 Do a comprehensive assessment of damage
    to the collections.

Step 7 assessment of damage
  • Identify the types of materials damaged, and
    estimate quantities
  • Bound volumes
  • Unbound paper
  • Microforms
  • Photographic prints and negatives
  • Videotape, audio tape
  • Motion picture film
  • Other
  • Identify the nature of the damage, e.g.,
    materials might be
  • Damp
  • Wet
  • Smoke-damaged
  • Fire-damaged
  • Dirty
  • Contaminated by bacteria or other dangerous
  • Photograph affected areas.

Checklist - Others
  • Step 8 Determine if an outside commercial
    response service is required.
  • Step 9 If an outside service is not required,
    implement salvage activities.
  • Step 10 Keep detailed records
  • Areas affected
  • Items affected
  • Locations of items being salvaged
  • Salvage methods

Disaster Response
  • Disaster response activities include
  • 1- Stabilize the environment
  • Control the temperature humidity
  • Increase ventilation
  • Turn on air conditioning if possible to retard
  • Safety or security problems?
  • Arrange for environmental testing
  • Continue environmental monitoring of the whole

Disaster Response
  • 2- Assess the situation
  • Conduct the walk through
  • Look for structural damage
  • Level of damage to the collections
  • Provide documentation and photographs
  • Review service areas and other patron accessible
  • Review staff offices and work space

Disaster Response
  • 3- Estimate time of reoccupation or need for
    relocation site
  • 4- Perform initial recovery preparations
  • Identify staging area for collection recovery
  • Setting up a command center and/or off-site
    recovery area
  • 5- If necessary, activate the disaster plan

Disaster Response
  • DO NOT
  • touch anything electrical
  • remove collection items from the disaster area
  • enter the area until Security determines it is
    safe to do so

  • contact Security immediately
  • wear protective clothing (gloves, aprons, masks,
    and helmets) in the disaster area
  • use supplies from the disaster bins, which
    contain supplies to protect yourself, protect
    collection items or to clean up the area

Safety in the Workplace
  • DO
  • carry loads close to the body and
    use leg
  • muscles to lift
  • avoid twisting, side bending or
    excess bending of your back
  • use kick stools or steps to remove items from
  • shelves, working from the top to the bottom
  • vary work tasks to prevent muscle strain
  • rotate tasks every 30 minutes

Disaster Recovery
  • includes all operations after the initial
    response including restoration of the collections
    and/or services

Disaster Recovery
1- Provide continuity of service for
  • Reference
  • Circulation
  • Interlibrary Loan
  • Computer access to online catalog and electronic
  • Other patron services, i.e., childrens story

Disaster Recovery
  • 2- Restore the collection
  • Gather data on the collections
  • Type of materials
  • Status of online database
  • Record of holdings
  • Typical information the insurance
    people might ask for
  • Decide the immediate action plan
  • Salvage priorities
  • Instructions for special formats
  • Availability of supplies and equipment
  • Vendor or in-house recovery

Disaster Recovery
  • 3- Create and implement a plan for processing
    materials back into the collection
  • Review options restoration, repurchase, gifts,
    discard and start anew, alternate format
  • Review specifications, staffing, budget, space,
    supplies, etc.
  • Determine the role of experts or consultants

Disaster Recovery
  • Time for recovery may be as short of a few hours
    or up to several years.
  • Whatever the damage, the collection will never be
    exactly the same.

Disaster Follow-up
  • All activities performed to mitigate another
    disaster, including
  • Revision of the disaster plan
  • Change in policies and procedures
  • Review of the disaster management team
  • Retraining of staff
  • Modification of the facilities
  • Assessment of risk management needs
  • Review of insurance needs

Disaster Plan Testing
  • Identify scope, objectives, format
  • Determine type of test
  • Set time and duration
  • Decide if scheduled or unscheduled??
  • Identify participants
  • Establish reporting and evaluation process
  • Anticipate outcomes

Disaster Plan Testing
  • Types of tests
  • Checklist testing
  • Short planned drills, i.e., fire drill,
    earthquake drill, etc.
  • Table top exercise (talk through the exercise)
  • Pre-planned exercise
  • Simulation testing (disaster is acted out)
  • Full disaster plan test

Contact verzosaf_at_dlsu.edu.ph
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