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Introduction to Records Disaster Planning

What is a records disaster?

A records disaster is a sudden and unexpected event which results in loss of records or information essential to an organization's continued operation.

Disaster isn't something we like to think about. It usually happens when least expected. A records disaster could happen before you're prepared to deal with it! Most disasters can be prevented or minimized at a very reasonable cost.

Consider these examples:

Example 1. Hundreds of volumes of irreplaceable research journals stored in the University of Oregon Science Library were damaged by water when rain poured through the ceiling from a broken storm-drain pipe. The pipe was broken by vibrations from building construction next door. Two days later another leak, this time in the basement wall, damaged many of the library's books. (July 1987)
Example 2. About 5:30 PM an employe smelled smoke in a state office building. After a half-hour search, a hot plate type coffee warmer, still turned on, was found with papers stacked on top. (September 1990)
Example 3. A fire at North Salem High School destroyed Student Records. (February 1990)

Consequences

The consequences of not being prepared when disaster strikes are significant and expensive. Information or records could be lost or destroyed which:

Protect and document the agency's legal rights or interests
Protect and document the rights or obligations of citizens
Are needed to conduct emergency operations during a disaster
Are needed to resume operations after a disaster

The examples above resulted in these consequences:

Example 1. 177 research journals and over 300 other volumes were soaked with water. Thousands of books had to be hurriedly moved to safety. Soaked materials were frozen and taken to Oregon Freeze Dry Foods in Albany where the moisture was removed.
Example 2. The stack of papers was badly scorched. This incident was a near-miss since the papers weren't especially important and they didn't catch fire. What if someone hadn't smelled the smoke?
Example 3. Some paper records were destroyed but the information was reconstructed from computer files and teacher grade books.

How do disasters happen to records?

Types of disasters include the more obvious: fire, windstorm, flood, and earthquake. Some less obvious things are vandalism, unauthorized access, loss, theft, and equipment failure. Other unexpected and unpleasant things could be ruining your agency's records right now, such as leaking pipes, insects, rodents, and mold.

What can you do to prepare?

One option is to ignore the possibility of ever having a disastrous event which could damage or destroy your agency's records. This is by far the most common practice. That's unfortunate and it could prove to be very short-sighted and not cost-effective.

The preferred option is to develop a records disaster program. Every government agency's records management program should include procedures designed to prevent a catastrophic event involving its records. Preparation will cost something--paying for a disaster will cost a lot more.

What are the benefits of having a records disaster program?

A few benefits include:

Improved protection of information and records vital to agency operation
Improved overall management through better records management
The confidence of knowing your agency can survive and recover from a disaster and resume operations with minimum disruption and cost
Avoiding unnecessary legal and fiscal problems

What is involved in a records disaster program?

The basic components are:

Prevention/Protection
Vital Records
Recovery

Each agency's records disaster program must be tailored to its own mission, structure, location and resources. It should provide reasonable measures to deal with probable risks. It must be periodically tested and updated.

Prevention/Protection

Prevention is a sound investment and much cheaper and simpler than trying to recover or replace damaged or destroyed records. Most disaster prevention and protection involves straightforward, low cost, common-sense measures.

Here's another definition of a disaster: It's what happens only if you're not prepared.

Steps

Issue a clear policy statement from top management initiating the records disaster program and announcing its objectives.
Establish responsibility and authority by assigning a person to implement and manage the program and prepare a disaster plan. Ideally this should be the agency records officer. A team composed of representatives from all functional areas of the organization could be formed to assist the records officer.
Identify, control and protect vital records.
Survey the potential hazards to your records - correcting as many as possible in cooperation with the building manager.
- Examples - Roof, basement storage, wiring, heating systems, plumbing, unauthorized access, theft, and loss.
Make sure your insurance coverage is appropriate
- Contact agency risk manager and/or Department of Administrative Services, Risk Management Division, 503-373-7475.
Meet with police and fire departments.
Arrange for help from recovery resources.
Assemble and pre-position disaster equipment and supplies.
Train disaster team members and other employes.
Periodically test and evaluate the plan and procedures.

In a nutshell, find out what can go wrong and fix it first!

Vital Records

Vital records are those records that contain the information needed to continue or re-establish an organization's operation following a disaster. They document the agency's legal or fiscal position and preserve the rights of the agency, its employes, and/or citizens. Vital records are irreplaceable or would be too expensive to replace.

Vital Records are not the same as historical records. They do not include records which though important are replaceable at reasonable expense. Vital records are one of your agency's most important resources. 5-10% of records are "vital".

An effective Vital Records program will ensure that your organization will be able to function following a disaster To be successful, your vital records program must be approached from a corporate perspective to ensure that only the truly vital records and information receive special protection. Direction and support must be provided by top management. Each agency should have a records officer who has authority to coordinate an agency-wide records management program. Vital records are an integral part of the agency records management program.

The basic elements of a vital records program are:

Identification of the vital records needing protection
Inventory of all agency records
Classification of all records according to relative value to essential agency functions
Assessment of the risks
- Dangers to specific records
Protective measures
- Duplication for dispersal
- Off-site or remote storage
- On-site secure storage

An agency that has only a vital records program is well on its way to coping with disasters. The addition of a well-developed records disaster plan should provide the ability to cope with most disasters.

Disaster Recovery

Disaster recovery is the process of resuming normal operations following a disaster. It's what you will have to do if your best efforts at prevention don't prevail. You can't do much to prevent earthquakes or major floods. But, if your vital records are properly protected before, during, and after the disaster, salvage and recovery will be much easier, cheaper, and less traumatic.

An effective recovery plan will help impose order in the stressful and chaotic conditions which typically accompany a disaster. It will give you the luxury of making critical decisions in advance. Rapid recovery will promote customer satisfaction and maintain public confidence.

Steps to recovery

Establish priorities for restoring agency functions
Identify priorities for salvaging records
Develop a disaster recovery plan which includes:
- Quick reaction checklists
- Alternate operating locations
- Inventory of records and equipment
- Supplies and equipment in a safe place, ready to use
- Contracts/agreements with disaster recovery agencies and firms
Train disaster recovery team and staff
Test and revise the plan and procedures

Summary

Your agency's records are a valuable resource and need to be protected. This resource can be protected at very reasonable expense compared with the cost of disaster recovery. Some major disasters may be unpredictable and beyond our immediate control. Many disasters, however, can be prevented or their effects minimized at relatively low expense.

If you will take these simple, inexpensive measures to protect your agency's records and information, your chances of surviving and recovering from any records disaster are excellent.

Identify and protect your Vital Records
Develop a plan and procedures to guide your agency during and following a records disaster
Train the staff in emergency procedures
Test and exercise the plan and procedures periodically

A little planning and preparation will save an enormous amount of work and expense when disaster strikes!

This guide focuses on records only. No attempt has been made to address general disaster planning factors, such as: Life safety, communications, public order, sanitation, etc. For help in these areas contact Oregon State Police, Oregon Emergency Management Division, 503-378-4124.

For more detailed guidance in setting up a Vital Records Program, see Vital Records, Section 5.2.

Number 5.1
Effective: January 1994

Adapted from the Oregon State Archives Records Management Manual (1994).