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    CAL Pre-Conference
     November 9, 2006
   Diane Lunde, Colorado State University,
    Coordinator, Metadata & Preservation

   Carl Stewart, University of Colorado-
    Boulder, General Professional 3,
    Assessment and Emergency Planning
The Introductions …
   Your packets
   Give us a little information about
    yourself …
    • What library you work in
    • Your position and major responsibility
    • The status of your library’s disaster plan
    • What you hope most to get from this
Disaster Preparedness
Topics to be covered:
  • The nature of disasters
  • Disaster preparedness, response & recovery
  • Risk assessment
  • Creating the disaster plan
  • Salvage issues and strategies
  • Disaster response exercise
   Focus will be on collections disaster
    preparedness, response and recovery;
   However, other elements such as human
    safety will be mentioned because the
    many actors in a disaster need to work
Emergency Quick Reference
   All staff should have handy a resource
    that tells them what to do in case of
   Disaster
    “An occurrence causing widespread destruction
      and distress; a catastrophe.”
   Emergency
    “A serious situation or occurrence that happens
      unexpectedly and demands immediate

       (American Heritage Dictionary. 3rd ed., 1996)
   Disaster

    • “The act of recovering that which we did
      not expect to lose at a time when we least
      expected to lose it.”
Cause of Disasters
Natural causes
  • Earthquakes
  • Fire
  • Flooding
  • Hurricanes & typhoons
  • Snow storms & avalanches
  • Tidal waves
  • Tornadoes & wind storms
  • Volcanic eruptions
Cause of disaster
Man made disasters
  •   Biological contamination
  •   Chemical spill
  •   Civil disturbance & terrorism
  •   Construction failure
  •   Electrical power failure
  •   Electronic computer failure
  •   Epidemics & plagues (a flu pandemic?)
  •   Explosions
  •   Fire
  •   Gas leak
Cause of disasters
Man made disasters
  •   Human error & carelessness
  •   HVAC failure
  •   Nuclear disasters
  •   Robbery
  •   Sewage overflow
  •   Accidental sprinkler activation
  •   Strikes
  •   Toxic fumes
  •   Vandalism
  •   War
  •   Water overflows
The scope of a disaster may be:
  • One room
  • One floor
  • One building
  • One organization
  • One community
  • One region
  • One nation
Elements of a library disaster
● Safety and security of people
● The building
● Business records for “business
 The collections

● Library services
Elements of a library disaster
                                                          Disaster Happens!

                                                          Assess and notify…

        if during work hrs also:

                                                              …notify Security
         …notify Building Proctor                                2-5527 or 911
           Dan: 2-6698 or Branch Bldg

    Notification in                            Notify
    Emergency QuickReference                   Facman
    Pamphlet                                   492-5522
                                               Service Desk
Libraries Dean Jim                  FacMan                                Risk Management   Police
Williams                            Physical Plant John Morris            Gary Longfellow   Fire

                                               Disaster Response!
Incident Command System (ICS)
   Incident Command is the structure for
    managing emergencies used by Fire and
    Police Departments.
   http://www.training.fema.gov/
   New structure being adopted nationally
    called NIMS. Nat’l Incident Management
Disaster Planning
   Libraries and other cultural institutions
    MUST be prepared for all disasters,
    natural and man made, that may occur
    at their institution
   The cost of not being prepared may be
    loss of life, loss of the cultural materials,
    or, ultimately, the loss of the institution or
Disaster Planning
The objective of disaster planning is:
   • To protect libraries materials to avoid a disaster
     by being pro-active to reduce possibility of a
     disaster & 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 place (THE
     PLAN), and by familiarizing staff with disaster
     response options and activities.
Disaster Planning
   Disaster Planning is a sequence of 4
    • Disaster preparedness & prevention
    • Disaster response
    • Disaster recovery
    • Disaster follow-up and planning update
Disaster Preparedness
Tasks of disaster planning include
  • Develop a working relationship with parent
      organization and community, i.e., university
      disaster team, city disaster management, fire
  •   Risk Assessment: Identify, assess & mitigate of
      potential risks & hazards
  •   Identify insurance policies, spending authority &
      emergency funds
Disaster Preparedness
 • Assess collections & assign priorities for salvage
 • Identify disaster recovery resources, including
     your institutional assistance, vendors,
     consultants, conservators.
 •   Secure a budget for supplies and training
 •   Purchase & distribute in-house supplies (keep
 •   Analyze of impact on services
Disaster Preparedness

 • Review policies and procedures in relationship to
   a disaster
 • Write the disaster plan, distribute, maybe put on
   the web
 • Secure offsite backups
 • Staff training
 • Pre-planned tests of the plan
 • Review and report every emergency
 • Modify plan from drills and experience
 • Update plan regularly
Disaster Preparedness

A lot of tasks! But don’t do it alone!
The First Task:

  Develop a Disaster Preparedness Team
     •Distributes responsibilities across the library
      •Guarantees more buy-in from library staff
Disaster Team
   The disaster management team will depend on
    individual institution size, resources & staffing patterns
   Staff selected should have experience with:
    •   Administration activities, i.e., public relations, finance, &
    •   The physical building, i.e., building proctor
    •   The collection and materials
    •   Preservation practices
    •   Library services, including reference, circulation & ILL
    •   Computer services
Disaster Team
 • Example from CSU Libraries
   • Disaster response & recovery coordinator
   • Building proctor
   • Collection recovery coordinator
   • Services recovery coordinator
   • Computer systems recovery coordinator
   • Documentation manager
   • Bibliographic services manager
   • Library personnel specialist
Disaster Team
   Example from CU Libraries
    •   Head of Preservation Department
    •   Head of Administrative Services (Member of Cabinet,
        Building Proctor)
    •   Asst. Building Proctor—Finance
    •   Asst. Building Proctor—Building issues
    •   Head of Security
    •   Circulation
    •   Reference
    •   Branches /Special Collections representative
    •   Systems (new)
Disaster Team
   At CSU Libraries there are 2 disaster
    • Disaster Preparedness Team
    • Disaster Response & Recovery Team
       • Expanded membership with auxiliary staff
Disaster Team
●At CU-Boulder Libraries
 ● Our Emergency Planning Committee has
 just about completed its work
 ● We are in the process of forming an
 Emergency Recovery Team whose mission is to
 train others, practice and drill.
Risk Assessment
   Identify and assess risks
    What is the likelihood of something

   If something were to occur, what
    would be the loss?
Risk Assessment
●Compile and keep up-to-date past incidents

●Use your own experience

●Natural disasters?
  Local and State Emergency Managers have
  much of this material

●Man-made risks?
    Local agencies (police, fire, records)
Risk Assessment
   Survey Building
    •   Site of building
    •   Landscape
    •   Building materials and structure
    •   Fire Protection (sprinklers, type)
    •   Utilities (water, electrical, HVAC)
    •   Custodial
    •   Security
    •   Communication Systems
Switch powerpoint
Risk Assessment
   Prioritize risks (on a scale of 1-5)

The type of threat x likelihood x value of loss

Main stacks
Vanadalism X very likely x little loss
   4       x 4           x 2 = 32
Risk Assessment
   Prioritize risks (on a scale of 1-5)

The type of threat x likelihood x value of loss

Special Collections
Water Damage X very likely x loss
   4          x 4           x 5 = 80
Risk Assessment
   The conclusion of the Assessment
    should be to know:
    • Where are my biggest risk?
   Take preventative actions or regularly
    monitor or “alarm” those risks.
    • What can we do to bring the greatest good
Disaster Plan
Elements of a disaster plan
   •   Quick Reference Guide
        •   Procedures for immediate response to most common disasters
        •   Done with Security and Building personnel
   •   Basic information
        •   Emergency phone numbers
        •   Phone tree
        •   Building proctors
        •   Post evacuation meeting locations
        •   Location disaster supplies
        •   List of vendors
        •   Floor plans with fire alarms, exits, etc.
Disaster Plan
Elements of a disaster plan
  • The disaster team and list of
Disaster Plan
Elements of a disaster plan
  • Collection recovery 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”
Disaster Plan
Elements of a disaster plan
  • Disaster scale & 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
Disaster Plan
Elements of a disaster plan
  • Disaster scale & recovery operations
    • Level 2: Small disaster
       • Limited to isolated area
       • Damages less than 100 items
       • Requires 1-3 staff members
       • Disruptions resume within a day
       • Supplies available in house
       • Damaged materials treated in house
Disaster Plan
Elements of a disaster plan
  • Disaster scale & recovery operations
    • Level 3: Medium disaster
       • Damages less than 500 items
       • Service operations resumed within 48 hours
       • Outside vendors may be needed
    • Level 4: Major/large scale disaster or wide-area
Disaster plan
   Contacts: Web, email and phone,
    • Libraries contacts
    • Facilities or Local contacts
    • State contacts
    • National contacts
    • Vendors of emergency supplies and services
Disaster plan
   Vendors of Supplies
    • What to have on site?
    • What would you need most?
    • How would you get it during an emergency?
    • Establish connections?
    • Would you need ready cash; credit card?
    • Rental agencies
Disaster plan
   Vendors of Services
    Local services
    • Just drying out a carpet?   Removing wet
    •   Response time? 24 / 7?
    Larger companies
    • Belfor
    • BMS CAT
    • Munters
Selecting a Vendor
   Do they have experience with Library
   Does your agency have experience working
    with them?
   Do they provide conservation services or could
    you direct them to use certain conservators?
   Materials they use (chemicals)
   Amount of personnel and equipment they
    might have to dedicate?
Disaster Plan
 Elements of a Disaster Plan
 • Procedures for disaster recovery
    • General Guidelines
    • The Pack-out
    • Recovery of mold materials
    • Freezing of materials
       •   Vacuum freeze drying
       •   Vacuum drying or thermal vacuum drying
       •   Wei T’o Book Dryer & Insect Exterminator
       •   Freezer drying
       •   Desiccant dehumidification
    • Air drying of materials
    • Guidelines for non-paper materials
Disaster Plan
Elements of a Disaster Plan
  • Procedures for disaster recovery
    • Recovery from a fire disaster
       • Charring and burning of materials
       • Soot damage
       • Heat damage
       • Smoke damage
    • Fire Information sheet
    • Fact sheet on portable fire extinguishers
Disaster Plan
Elements of a Disaster Plan
  • Procedures and specifications for
      rehabilitation of dried materials
  •   Post-disaster procedures
       • Disaster report form
  • Procedures for testing the disaster plan
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
Disaster Response
Disaster response activities include:
  • Stabilize the environment
    • Is the HVAC working?
    • Control the temperature & humidity
    • Increase ventilation
    • Turn on air conditioning if possible to retard mold
    • Safety or security problems?
    • Arrange for environmental testing
    • Continue environmental monitoring of the whole
Disaster Response
 Assess the situation
   • Conduct the walk through
   • 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
 • Estimate time of reoccupation or need for
  relocation site
    • Define the recovery window
 • Perform initial recovery preparations
    • Identify staging area for collection recovery
    • Setting up a command center and/or off-site
     recovery area
 • If necessary, activation of the disaster plan
Disaster Recovery

 Disaster recovery includes all
   operations after the initial
   response including restoration of
   the collections and/or services
Disaster Recovery
   Provide continuity of service for
    • Reference
    • Circulation
    • Interlibrary Loan
    • Computer access to online catalog and
        electronic resources
    •   Other patron services, i.e., children’s story
Disaster Recovery
   Restore the collection
    •   Gather data on the collections
         • Type of materials
         • Status of online database
         • Record of holdings
         • Typical information the insurance folks 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
   Create & implement a plan for
    processing materials back into the
    • Review options: restoration, repurchase, gifts,
        discard and start anew, alternate format (ILL
        or IT)
    •   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:
  • Modification of the disaster plan
  • Change in policies and procedures
  • Revision of the disaster management team
  • Retraining of staff
  • Modification of the facilities
  • Assessment of risk management needs
  • Review of insurance needs
Disaster Plan Testing
Planning a test
  • Identify scope, objectives, format
  • Determine type of test
  • Set time and duration
  • 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
  • Table top exercise (talk through the exercise)
  • Pre-planned exercise
  • Simulation testing (disaster is acted out)
  • Full disaster plan test
Disaster Response Exercize
   The Colorado public library
   The Questions:
    • What needs to be done next?
    • What are the unknowns?
    • What are the major concerns for the library staff,
        building, environment, collections and service?
    •   What strategy for recovery would work best?
    •   What are the options for restoration of the