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Disaster Recovery Policy

Section 1: Disaster Preparedness
A. Preparedness
Disasters—natural and man-made—and weather patterns all have the potential to damage or destroy records. Basic precautions and the formation of a disaster plan will help prevent the unnecessary loss of valuable records in the instance of a disaster. Following these guidelines will minimize potential risks and reduce the loss of records.

B. Disaster Prevention
Disaster Prevention refers to steps to protect your building and collections before a disaster occurs.

Establish security routines, including an annual building inspection and seasonal maintenance.
Inspect wiring regularly.
Inspect roofs and drains regularly.
Follow local and state fire codes. The presence of fire alarms, smoke detectors, fire extinguishers, and a sprinkler system are strongly recommended for personal safety and collection preservation. Map their locations.
Select a storage space least vulnerable to fire, flood, and harsh weather patterns.
Establish and practice fire evacuation and tornado response procedures. Map evacuation routes and designated tornado shelters.
Install water detectors and alarms. Map their locations.
Locate water pipes and water shut-off valves. Map their locations.
Install alarms to prevent intrusion, deliberate, or random violence.
Install emergency lighting.
Store records at least 6 inches off the ground.
Prohibit smoking in storage areas.
Limit small appliances in the collection storage area.
Limit unauthorized access to the storage area.
Limit the number of records a patron may view at one time.
Consider microfilming records that receive high use, and limit access to the originals that may be stored off-site.
Check your insurance coverage regularly.
Determine how you will have access to emergency funds: a supply of purchase orders to be used only during an emergency, or a disaster emergency fund.
Purchase emergency supplies to keep on hand, inventory them regularly, and map their locations.
Train staff in salvage techniques.
Label vital and historical records, and create an inventory or locator map that will allow you quick access to these records when needed. Regularly update your finding aids and keep copies off-site
Buildings and collections are particularly vulnerable during periods of construction, so increase security during these times.
Improving collection storage areas, when possible, will help prevent disasters and security problems.
Keep duplicates of your disaster plan, policies, lists, and record inventories off-site.
C. Disaster Plan
A Disaster Plan guides your organization through the proper responses to various types of disasters. This section highlights some of the elements of a disaster plan.

Create a written disaster preparedness plan or policy, which includes disaster recovery, damage assessment, and post disaster evaluation procedures.
Identify and prioritize the most important records. This includes records needed to resume business, historical records, and collections. Determine which record media and collections are more vulnerable or valuable than others.
Analyze your building, site, and collection storage areas. Include building and site maps in your disaster plan.
Establish responses to all potential geographic and climatic hazards, and other risks which could jeopardize your employees, building, and collections: tornadoes; floods; fires, which will include water damage from fire-hoses; pest infestation; mold; vandalism; and accidents.
Contact local civil defense offices to understand their disaster response procedures.
Identify sources of assistance, and develop contacts with appropriate consultants, suppliers, and vendors beforehand. Check your local Yellow Pages for contacts in your area, and make a list including names and telephone numbers. Update the list annually.
Establish contact with a freezer service; verify contact annually.
Special conservation efforts may be necessary with water or fire-damaged records, have phone numbers and addresses available of people or agencies to contact.
Include a copy of your collection inventory and vital records locator map in your disaster plan.
Include a supply list and locations in your disaster plan.
Create a telephone tree of staff and volunteers to help in the event of a disaster.
Establish a chain of command among staff members. All staff should know who they report to, and who they notify in case of disaster.
Know what your insurance carrier will require as evidence of damage: photographs, written documentation.
Establish salvage procedures for all collections, records, paper, and record media.
The following section outlines the roles and responsibilities for a two-pronged approach to disaster response: damage assessment and damage recovery. When establishing assessment and recovery teams for your disaster plan, it is important to detail specific responsibilities, outline clear lines of authority, and remember that a person may have more than one role.
Facilities Manager: responsible for seeing that the building is safe, damage to the building is evaluated, and measures formulated and implemented to remedy or correct problems. Upon notification of a problem establishes that no threat exists to personnel safety, secures the affected area and/or building, and alerts Assessment Director. Establishes priorities for facility repairs, and follows the progress of repairs once begun.
Assessment Manager: organizes and manages the process by which damage is evaluated. Responsible for notifying and instructing Assessment Team Leaders, and enlisting the assistance of in-house or outside experts/resource people as required. Evaluates findings and recommendations, and contacts the Recovery Director with recovery recommendations.
Assessment Team Leader: selects and assembles the teams members, and directs their operations. Instructs the team on what to do and how to do it, including methods of inspection and sampling, assessing damaged material, and documenting the process. Monitors the damage investigation, reporting recommendations to the Assessment Director.
Assessment Team: consists of people most knowledgeable about the collection or material involved. Responsibilities include recording observations and decisions made by the team; photographing damage; investigating where damage exists, the type of damage, and the importance and significance of the affected material; estimating the extent of damage to the collection; and establishing initial priorities for recovery of damaged items.
Recovery Manager: organizes and manages the recovery process. Sets priorities based on information received from the Assessment Director, assigns recovery teams, reports on progress, actions taken, problems encountered, and future risks. In many cases, the Assessment Director and Recovery Director may be the same person.
Recovery Team Leader: appoints team members, instructs the team on what they will be doing and how they will do it. Monitors the recovery process, and updates the Recovery Director.
Recovery Team: may include all staff members. Responsible for separating collections and other material to be salvaged, moving material to be recovered from affected areas to work or other storage spaces, drying materials, and packing materials that will require shipment to another facility. Other responsibilities include maintaining records and photographs of the recovery effort, including inventories and dates when items are sent out of the building to off-site storage or other facilities; what items have been frozen, treated or dried; where items have been relocated; and items in need of additional attention. The Recovery Team may also label items that have lost inventory numbers, label or re-label boxes with locator information, and label boxes ready for shipment.
D. Disaster Recovery
Disaster Recovery refers to the response and actions your organization takes after a disaster occurs.

Always place human safety first.
In the event of an emergency, prevent staff and volunteers from entering the building until city officials (fire or police department), or a building inspector determines the building is safe to enter.
Allow only authorized staff and volunteers into the damaged area, use check-in/out sheets to monitor access.
Contact your insurance carrier.
Stabilize temperature and relative humidity.
In the instance of a disaster, a recovery plan may include the following steps:
locate and establish a recovery site.
establish a designated storage area for removed material.
retrieve vital records.
maintain building security.
set up systems necessary to continue operations, such as workspace for employees, telephones, financial services, clerical support, office supplies, equipment, food, drink, and restrooms.
plan for building repair, and the replacement of equipment and furnishings.
determine what has been lost and what records and collections are salvageable.
The goal is to stabilize the collection until further conservation measures can be taken. This includes, when possible, removing collections from the damaged area, prioritizing the recovery effort, and beginning initial stabilization measures.
Prioritize which records to conserve first, taking into consideration media type, duplication, and value to the organization.
Conservation of record media may require special processes; please contact preservation personnel before acting.
Quick reaction is a must. Mold can grow on records within 48 hours of damage. Immediately air dry or freeze wet records to prevent further damage and growth.
Minimize damage to collection materials and records on the floor by re-routing traffic, or by creating a bridge over the items with boards and chairs.
Assess the disaster response. Ask such questions as:
Could I limit or avoid the damage if a similar disaster struck again?
Do I need better insurance coverage?
Do I need to revise my records management program to minimize future losses?
Do I have the information and supplies I need to deal with future emergencies?
What aspects of the Disaster Plan need to be modified?
What additional training do I or my staff need?
Section 2: Disaster Recovery Process
A. Abbreviations / ACRONYMS / GLOSSARY
Acronym

Explanation

Acronym

Explanation

DRP

Disaster Recovery Plan

ERT

Emergency Response Team

Infosec

Information Security

BCP

Business Continuity Planning

UOM

Unit of Measure

NA

Not Applicable

B. Roles & Responsibilities
Role

Responsibilities

Head – BCP

Assess disaster situation and execute necessary action

Head-InfoSec

Coordinate with other stakeholders

ERT

Ensure safety of people

C. Entry Criteria
Any Disaster

D. Inputs
#

Description / Work Product Name

#

Description / Work Product Name

1.

Information about any disaster

2.



E. Activities performed
1 Assess Disaster Situation
Activities

Resp.

Related Documents / Processes / Notes

Assess Disaster Situation

Head – BCP

Disaster Assessment Guidelines

Evaluate whether to invoke Disaster Recovery Process

Head – BCP



Invoke Disaster Recovery Process, if needed

Head – BCP



Communicate invocation of Disaster Recovery Process to Emergency Response Team

Head – BCP



2 Ensure Employee Safety
Activities

Resp.

Related Documents / Processes / Notes

Evacuate Buildings

ERT



Ensure Employee Safety

ERT



Provide First-Aid

ERT

First Aid Guidelines

Inform nearby hospital

ERT



Inform Ambulance Service

ERT

Emergency Contact List

Send injured personnel to Hospital

ERT

Emergency Contact List

Inform nearby Police Station

ERT



Inform nearby Fire station

ERT



3 Communicate to Stakeholders
Activities

Resp.

Related Documents / Processes / Notes

Inform employee relatives about Disaster

ERT

Employee Details

Inform Clients about Disaster

ERT

Client Details

Set-up Help Desk

ERT



4 Switch to alternative modes of operations
Activities

Resp.

Related Documents / Processes / Notes

Make essential services operational in the alternative premises/modes of operations

Head – BCP

Business Continuity Plan

Communicate to employees to switch to alternative premises / modes of operations

Head – BCP

Services List

Employee Details

5 Recover essential Facilities services
Activities

Resp.

Related Documents / Processes / Notes

Recover essential Facilities

Facilities



Recover essential Facilities services

Facilities

Services List

6 Recover essential IT services
Activities

Resp.

Related Documents / Processes / Notes

Inform Vendors for Support, if required

IT

Services List

Restore Essential Servers

IT

Services List

Restore Essential Networks

IT

Services List

7 Recover facilities services
Activities

Resp.

Related Documents / Processes / Notes

Recover Facilities

Facilities

Services List

Recover Facilities services

Facilities

Services List

8 Recover IT services
Activities

Resp.

Related Documents / Processes / Notes

Inform Vendors for Support, if required

IT

Services List

Restore Servers

IT

Services List

Restore Networks

IT

Services List

9 Return to normal operations
Activities

Resp.

Related Documents / Processes / Notes

Asses if the operations have returned to normalcy

Head – BCP



Inform employees about Normal Operations

ERT

Employee Details

Inform Clients about Normal Operations

ERT

Client Details

10 Analyze Disaster Recovery Effectiveness
Activities

Resp.

Related Documents / Processes / Notes

Analyze Disaster Recovery Effectiveness

Head – BCP



Identify improvements in Disaster Recovery Process

ERT

Process Change Tracker Template

F. Outputs
#

Description / Work Product Name

#

Description / Work Product Name

1.

Facilities Recovered

2.

Systems Recovered

3.

Process Change Tracker

4.

Executed DRP

G. Measurement and Analysis
#

Metric

Definition/ Formulae

Data to be captured

Source

Owner

Frequency

1.

Recovery time

Time taken to recover

Time of Disaster and Recovery

Head – Infosec

Head – Infosec



NA

H. Related PROCESSES / ARTIFACTS
#

Description / Work Product Name

#

Description / Work Product Name

1.

Emergency Contact List

2.

Client Details

3.

Employee Details

4.

Services List

5.

Approved Vendor Contact List

6.

Disaster Assessment Guidelines

7.

First Aid Guidelines

8.

Disaster Communication Guidelines



7. standards compliance
Standard / Model

Clause No & Name

Control description

ISO 27001

A.14

Business Continuity Management

Section 3: Disaster Assessment Guidelines
A. Assessment Goals
To provide timely and comprehensive information on the scope and impacts of a disaster
To support effective emergency decision making
To keep the staff and other stake holders accurately informed
To develop and support requests for disaster resources and recovery assistance
B. The Basics

First and always, assessment must focus on immediate emergency needs for life, safety, protection of property and essential services.
Assessment resources and activity must be assigned to address human needs as well as property
Forms and structure are important to good assessment, but the keys to success are leadership, organization and management.
C. The Essentials

1 Leadership

Assign an assessment leader or coordinator
Activate leader early as the response begins
The leader’s only task is to manage the assessment
The leader supports, but cannot be the emergency manager
2 Organization

The leader needs help – a partner or team
People must be reassigned from routine work, regular jobs and other departments to support the assessment effort
Divide the tasks – establish a human needs group and a public services group
Organization and work early in the response will ease the demands of recovery assessment later
I3. Immediate and Continuous

Activate assessment staff immediately as the response unfolds, or even when a threat is imminent
Early information is crucial and the reporting process is continuous
Capturing an early overview and quickly targeting life/safety issues is vital – details and dollars come later
Resist the urge to hold and wait for better, more complete information – parts of a report at intervals are often more helpful than waiting for a complete report
Reporting at regular, frequent intervals is good, but pass along important information immediately
D. Assessment – Steps and Stages
Early impact assessment
Assessment of needs and resource priorities
Preparing for the preliminary damage assessment
E. Informed Estimates

Decision-making in a crisis cannot always wait for complete data and detailed reports – good estimating is the key.
Estimating is not guesswork – informed estimates means contacting knowledgeable officials about their evaluation and judgment of local conditions and impacts.
Informed estimates by knowledgeable local leaders – supervisors, highway/public works, engineers, fire officers, and the Red Cross – typically provide reliable assessments useful to emergency operations.
Informed estimates are a credible tool that helps meet the pace and urgent demands of providing emergency services.
F. Flexible and Adaptable

Assessment demands and priorities can differ from disaster to disaster.
Timing cannot be predicted – the process usually moves more quickly than expected.
Information needed is not always reflected in the forms – special requests are common.
In some instances, data requested on a form may be crucial, at other times the same data may not be needed.
Requests for more detail are common, but sometimes a step may be skipped.
G. The Local Government Coordination
The local government is generally responsible for consolidating and coordinating the collection of assessment data provided by government departments, municipalities, community organizations, other agencies and services.

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By Uthman Ali

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