I No Risk
2.9 DISASTER PLANNING AND SECURITY OF RECORDS AND ARCHIVES
Disaster preparedness and security are vital to the preservation and protection of archival materials. Disaster planning helps the organisation to respond efficiently and quickly to an emergency, minimizing danger to staff and damage to archival holdings and the building. On the other hand, security protects items against theft or deliberate or unintentional damage and destruction.
Records and archives are vulnerable to a variety of disasters. Disasters take many fonns. That becomes clear when reading the report on the state of preservation in the war-ravaged Angola (Antunes 1993). The Director of the National Library of Angola indicated that their greatest problem was not how to keep collections free from insects, humidity or dust. Their main
concern was how to save the few remaining collections from being destroyed by the war (Antunes 1993). The report demonstrates that our documentary heritage is vulnerable to a variety of disasters in the course ofits history.
Until recently information professionals have not prioritised disaster preparedness (Buchanan 2000:159; Law 1999:3). Depending on which part of the globe one is on, risks and hazards to documentary materials might include insects and rodents, mould and humidity, hurricanes, tornadoes, flash flooding, earthquakes, forest fires, volcanic eruptions, power outages, leaking roof and pipes, sprinkler discharges, fuel or water supply failures, chemical spills, arson, bomb threats, and acts of war and terrorism. In other words, a disaster include both:
the cataclysms that overwhelm human efforts in a moment of geological, meteorological or military fury, and those more insidious disasters which build up gradually and wear away the effects of human effort over time, with cumulative and systemic consequences (Sturges 1999: 167).
Any of these disasters can strike an organisation at any time, but if an institution is prepared, the damage may be decreased or avoided. The need to prepare for disasters is recognised by ESARBICA, ICA, IFLA and UNESCO alike. These organisations would like to see an agenda set for dealing with disasters. Indeed, the Pan-African Conference on the Preservation and Conservation of Library and Archival Materials held in Nairobi in 1993 with the support of IFLA, ICA and UNESCO endorsed the need to develop and implement disaster plans in archival and library institutions (Recommendations 1995: 170).
According to The Hague Convention for the Protection of Cultural Property in the Event of Armed Conflict, which was prepared by UNESCO, member states that are signatories to the Convention are supposed to adopt preventive measures to protect cultural heritage during war and peace times (Varlamoff 1999: 162).
Specifically, a disaster can be defined as an unexpected occurrence inflicting widespread destruction and distress and having long-term adverse effects on the conduct of normal activities. In the context of the information environment, Alegbeleye (1993) defined it as an event that "results in the sudden removal of records and documents from accessibility and use" (Alegbeleye 1993 :5).
Natural disasters, such as the 1966 Florence flood that destroyed 2 million volumes of cultural objects in the Bibliotheca Nazionale Centrale. (Feather 1991:2; Law 1999:3; Varlamoff 1999:162), and the Cyclone Eline's February 1999 assault on Mozambique, South Africa and Zimbabwe, make all of us acutely aware of our vulnerabilities to disaster (Vumbunu 2001 :122). Equally, the 11 September 2001 terrorist bombing of the World Trade Centre and the Pentagon Library in the US was indicative of the fact that disasters are part and parcel of
human existence (Harrison 2002). Thus, disaster planning or emergency preparedness IS
fundamental to the preservation of records and archives. Disaster plans are essential for:
• minimizing disruption of normal operations;
• minimizing the economic impact of the disaster;
• training personnel in emergency procedures; and
• providing for rapid and smooth restoration of services (Alegbeleye 1993:8-9; Ogden 1996b).
Despite the fact that disaster plans are important many institutions do not seem to take the matter seriously (Feather 1991:69; Jenkin 1987:2). According to Feather (1991:69) a disaster plan is central to the preservation strategy and is a key element in preservation policy-making.
A disaster preparedness plan allows an organisation to plan and make decisions about emergency response and recovery. According to Lyall (1995) a disaster plan is:
a document which describes the procedures devised to prevent and prepare for disasters, and those proposed to respond to and recover from disasters when they occur (Lyall 1995:103)
A systematically organized, formally written plan enables the organisation to respond efficiently and quickly to an emergency, minimizing danger to staff and damage to collections and the building (Ogden 1996b). Typically, a disaster plan has three phases:
• before the disaster (preventive and preparedness): implementing measures to remove or reduce danger as well as being ready by having identified resources, materials, services and procedures in place to deal with problems when they occur;
• during the disaster (response): knowing how to respond to minimize damage quickly and efficiently; and
• after the disaster (recovery): knowing what to do to recover damaged material.
The plan needs to address all types of emergencies and disasters that the organisation is likely to face. One way of ensuring that potential risks are taken care of in the plan is to conduct a risk assessment before formulating the plan. The purpose of a risk analysis is to identify those occurrences which pose the greatest threat to the holdings and the organisation. Thereafter, the existing preventive and preparedness procedures are identified as well as response and recovery ones (Lyall 1995: 105).
The plan should be reviewed with staff regularly, at least annually. The plan should include a list of steps to follow if a disaster strikes, list with addresses, names and telephone numbers of key salvage staff and the disaster team and sources of assistance and supplies that may be needed. The plan should be written clearly and understood by everyone likely to be involved.
The lists and instruction should be kept up-to-date. Much valuable time can be lost during emergencies if staff members are unfamiliar with recovery methods (Ogden 1996b). Copies of the plan should be distributed to all personnel responsible for emergency prevention and recovery. Several copies of the plan should be stored off-site as well as in the building(s) where materials are housed.
In addition to institutional disaster preparedness some institutions in Canterbury (New Zealand) are putting into practice the concept of communal disaster supplies (Campbell 200 I).
The co-operative approach to disaster management is strongly encouraged by UNESCO (2000). The UNESCO Memory of the World Programme advises institutions to be "prepared for any type of disaster, contact and consult other institutions to share information and experience, and with a view of regional co-operation" (UNESCO 2000).
Before concluding the section on emergency preparedness it is essential to briefly look at some of the disasters that might affect records and archives as well as compromising their security. Water and fire damage, and theft and vandalism cause the most recurrent damage to archival holdings (The National Archives of the Netherlands et al. 200 I : I 11). Some of the problems associated with these factors are discussed in the following sections.
2.9.1 Fire damage
Fire is regarded as one of the greatest hazards for documentary materials and it occurs much more frequently than is often thought (frinkaus-Randall 1995). The great library at Alexandria established in the third century B.C. was destroyed by fire first in 47 BC during the time of Julius Caesar and then finally in 373 AD. Fire caused extensive damage to records of the Secretariat Office in Kenya (Nairobi) in 1939 and in Pujehun town in Sierra Leone, 250 000 government records were lost to fire in 1991 (Alegbeleye 1993: 14). The Nairobi fire destroyed a vital portion of central government records (Musembi 1984:31). The Pretoria City Council in South Africa lost a range of records dating back to the 1920s in a fire at its Munitoria Building in March 1997 (Directorate State Archives and Heraldic Services 1998-1999:23).
Some of the records that were burnt included building plans and title deeds. Because of the speed and totality of the destructive forces of fire, it constitutes one of the most serious threats.
Damage caused by fire can be even more serious than that caused by water. If collections survive at all, they are likely to be charred, covered with soot and smoke, distorted, brittle from exposure to high heat, wet from water used to extinguish the fire and smelling of smoke.
Text blocks will warp and plastic will melt (Trinkley 2001). In most cases, fire causes paper records to be unusable.
Archives and records offices frequently contain numerous fuels. These include archives, manuscripts, records, combustible interior finishes, cabinets, furnishings, and laboratory chemicals. It should be recognized that any item containing wood, plastic, paper, fabric, or combustible liquids is a potential fuel. They also contain several common, potential ignition sources including any item, action, or process which produces heat. These encompass electric lighting and power systems, heating and air conditioning equipment, electric ofi.ice appliances and smoking.
Cellulose nitrate films discussed in section 2.6.3.2 above could be added to the list of fire hazards. The heat produced by the decomposition of nitrate films can result in ignition by spontaneous combustion (The National Archives of the Netherlands et a/. 2001 :112;
Volkmann 1980:18). Nitrate films become a fire hazard when they are old and when they are stored in non-conditioned storage areas, especially, in tropical countries where temperatures
are very high. Equally, biological agents like termites, rats and mice must be kept under check because they can be destructive to electrical wiring. Uninsulated electrical wires are an electrical fire hazard. As discussed in section 2.8.5.1, fire resistant materials like tiles and slates can be used in the construction of roofs of archival buildings to minimize fire risks.
The detection of fire at an early stage can prevent extensive damage to archival materials. ICA recommends smoke detectors instead of heat detectors, because smoke detectors can detect a smouldering fire in its low energy stage (Frojd et al. 1997). Where ignition from a smouldering fire is likely, they can give warning very early in the fire development. Smoke detectors include ionization type, photoelectric beam or spot type, and infrared type (Thomas 1992).
Several fire-suppression methods are available. The major categories of fire extinguishers are:
automatic fire suppression systems, hand held portable fire extinguishers and water hose reels.
The commonly used methods are the CO2 gas system, dry-pipe sprinkler and wet-pipe sprinkler systems and micro mist or water mist systems. There is a debate about fire suppression systems in archival circles. One school of thought argues that water should only be used as a last resort in view of the damaging effects of water on archival materials (Anderson & McIntyre 1985). On the other hand, the other school of thought argues that it is better to use water because it effectively extinguishes most fires (Alegbeleye 1993 :39).
For instance, a CO2 gas system is only suitable for smaller compartments, that is, spaces which can be made airtight and which are not normally occupied by people. Wet-pipe sprinkler systems are a reliable and safe extinguishing method and are relatively easy to maintain (fhomas 1992). If water-based fire protection systems, such as sprinklers, are to be installed, provision should be made for rapid drainage. Wet-pipe sprinklers are highly recommended because the environmental and human safety aspects of water are known, unlike the possible impact from various chemical agents (Adcock. n. d).
Furthermore, the recovery techniques for water-damaged material are also known. Dry-pipe sprinkler systems are essentially the same as wet-pipe systems except that the pipes in the protected area contain pressurized air. When the sprinkler is activated a valve opens allowing
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water to flow into the pipes. This lessens any threat of water leaking into collection areas.
EveI)' institution should have at least one method in operation.
Although water mist systems, which are about to become available commercially, look promising, ~utomatic sprinklers are now considered by most fire safety professionals, archivists, and conservators to be the best protection from fire for records and archives (Ogden 1996b). The preferred type of sprinkler system depends upon the institution's objectives. It should always be borne in mind that all sprinkler systems require a reliable water source and power pressure. In addition, portable fire extinguishers should always be available, even if an automatic fire suppression system has been installed (Adcock. n. d). All fire-suppression systems should be regularly inspected and properly maintained. There should be a suitable number of hand-held extinguishers (C02, water, or foam according to the likely cause of fire, that is, electrical or chemical) strategically placed. However, ICA recommends water extinguishers because the residue of foam and powder extinguishers might affect archival materials (Frojd et al. 1997).
Due to environmental concerns the use of halon 1301 (bromotrifluoromethane) gas is no longer recommended. Preservation professionals now recommend wet-pipe sprinklers for most records and archives (Artim 1999; Ogden 1996b). In addition, water misting suppression systems have become available within the last several years that can provide fire suppression using much less water than conventional sprinkler systems. Fine water droplets, or mist systems can provide automatic fire suppression even in locations where reliable water supplies do not exist (Artim 1999). Mist technology was originally developed for offshore uses such as on board ships and oil drilling platforms. For both of these applications, there is a need to control severe fires while limiting the amount of extinguishing water, which could impact vessel stability.
2.9.2 Water damage
Protection from water damage is essential to the preservation of records and archival materials. In general, water damage on wet records is easier to deal with than fire related damage (The National Archives ofthe Netherlands et al. 2001 :114). Sources of water damage are leaking roof, gutters and drains, water pipes, steam pipes, lavatories, mechanical air-
conditioning equipment, hurricanes, tornadoes and floods. For instance, a hurricane destroyed valuable records and private manuscripts at the National Archives of Swaziland in 1984 (Alegbeleye 1993:14).
The prevention of water damage leaking and burst pipes can be prevented through proper storage of records and avoiding water and steam pipes in repositories. Materials should always be stored at least four inches above the floor, never directly on the floor. Repositories should not be located beneath kitchens and water reservoirs. Equally, sewage and water pipes should not run through the repositories. Storage in basements or in other areas where the threat of flooding is great should be avoided (Giovannini 2000: 10).
If collections must be stored in areas where they are vulnerable to flooding, water-sensing alarms should be installed to ensure quick detection of water. The alarms should be connected to a central monitored security system. Staff should know the location of water pipes that run directly over repositories. Water pipes should also be equipped with strategically positioned flow control valves.
Roofs, gutters and drains should be constantly checked and cleaned to avoid blockages. Large trees should not be allowed to grow close to archival buildings because their leaves can block gutters and drainage resulting in leakages. Their roots can also suffocate the drainage system causing some drainpipe leakages.
2.9.3 Theft and vandalism
Adequate protection from theft and vandalism is key to safeguarding the valuable materials in archive repositories. The protection can range in complexity from simple locks to elaborate security systems. Usually the best protection is provided by perimeter intrusion alarms and internal motion detectors wired directly to the local police department or to another outside 24-hour monitoring agency. During working hours it is best to have only one entrance and/or exit, to be used by researchers and staff alike. If resources allow, the exit should always be staffed at all times. All other doors should be alarmed so that unauthorized use can be detected. Windows should be kept closed and locked.
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Building keys and keys to areas where materials of special value are kept should be strictly limited. A list of key-holders should be kept current, and staff members should be required to return keys when they leave the institution. All storage areas should be kept secure and clear policy guidelines provided on who has access to what areas. Access to storage areas should be strictly limited, and a staff member should accompany researchers if they have to enter these areas.
Use of materials by researchers should be carefully controlled and strictly monitored.
Researchers should never be left unattended. Bags, large folders and personal books should be left outside the reading area, and researchers should be allowed to bring only a pencil and paper into the room.
One area of security of archival materials that is often overlooked is employee theft. Employee theft can lead to considerable loss of archival documents. Archival institutions should make sure that they vet their employees before engaging them. The vetting can take the form of fingerprints that could be sent to the police or making a simple criminal history search on an individual's record. Educational and employment verification are equally important. In order to minimize theft archives should be careful on whom they hire and be sensitive to their problems.