**Part Two:**

**Prevention/Mitigation**

*Disaster Preparedness* is a *[planned]{.underline}* approach to the
prevention or mitigation of disasters, preparedness and response to
emergencies, and recovery following an emergency or disaster.

The first phase of a comprehensive disaster preparedness plan for
records and information is to *prevent* *or mitigate* disasters from
happening. Prevention includes those activities or measures that reduce
the probability of loss due to an emergency or disaster.

Prevention activities include identifying locations within the
organization that are at risk, the types and levels of risk, and the
probability of risk.

![](media/image1.jpeg){width="3.402083333333333in" height="3.6375in"}

Chicago Fire, 1871

**[Risk Assessment.]{.underline}** Risk assessment looks at existing
risk to records and information.

-   Conduct a physical site survey to determine if potential hazards
    exist to records and information. For example:

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-   Does the electrical wiring meet the current code?

-   Are fire extinguishers placed strategically throughout the building?

-   Does the roof leak?

-   Does the staff have food stored or eat where records are maintained?

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-   Identify and recommend security controls to protect records and
    information. For example:

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-   Work with the Health and Safety Committee to obtain fire
    extinguishers.

-   Notify those responsible for building maintenance to repair or
    replace the electrical system or roof.

-   Educate staff about food stored in office space, which attracts
    insects and/or rodents.

**[Risk Analysis.]{.underline}** Risk Analysis identifies the
probabilities of damage.

-   Identify the vulnerability of the organization to natural and other
    community-wide disasters.

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-   Is the building located on a flood plain (like the CSU Library that
    was flooded about 4 years ago)?

-   What is the likelihood that a tornado will strike the Federal
    Center? How many tornadoes have struck in this area during the past
    100 years?

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-   Identify the vulnerability of the organization to emergencies caused
    by building or equipment failure or malfunction, human error or
    carelessness, and deliberate acts of destructiveness.

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-   If the computer system goes down for an extended period of time,
    what is the impact?

-   What if a pipe bursts over the weekend?

![](media/image2.jpeg){width="2.9in" height="2.5555555555555554in"}

Los Alamos, New Mexico Fire, May 2000

**[Disaster Prevention/Mitigation Plan.]{.underline}**

A Disaster Prevention/Mitigation Plan is a written, approved, and
periodically tested program outlining all actions to be taken to reduce
the risk of avoidable disaster and to minimize the loss if disaster
occurs. The key components of a disaster prevention plan are:

-   [Have a clear policy statement or directive from the most senior
    manager.]{.underline}

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-   Secures the necessary cooperation among all divisions and managers.

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-   Should be developed with the aid of a cross-section of staff and
    management; however, the ultimate responsibility for developing the
    plan should be given to the records management team or records
    officer.

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-   [Monitor potential hazards and destructive forces.]{.underline}

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-   After the risk assessment and risk analysis, the organization should
    correct conditions identified as potential hazards.

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-   Procedures should be established to monitor the building
    periodically for potential hazards.

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-   [Provide training for employees.]{.underline}

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-   Training should include recognition of potential vulnerabilities to
    the organization.

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-   Disaster drills are essential to ensure quick and appropriate
    response to an emergency or disaster.

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-   [Provide for the ongoing review and revision of the Disaster
    Prevention Plan.]{.underline}

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-   Maintain a current list of names and telephone numbers of
    individuals.

-   Update vital records schedule

-   Test disaster preparedness plan at least annually. Testing can point
    to weaknesses in the plan and in employee training and awareness.

> ![](media/image3.jpeg){width="3.1in" height="2.3194444444444446in"}
> Seattle Earthquake (Boeing Offices), March 2001

**[Other Disaster Prevention Activities that can Reduce
Vulnerabilities.]{.underline}**

-   Provide training to prevent human error, unsafe work procedures, or
    carelessness.

-   Inspect building frequently for proper maintenance, especially if
    the building is old.

-   Implement building security measures to reduce adverse consequences
    during a natural disaster, i.e., enhanced fire safety practices
    during droughts.

-   Implement an information security program to protect the
    organization. In addition to establishing a vital records program,
    this also includes protecting the organization from theft or
    vandalism.

-   Grant contracts to companies that specialize in recovery services of
    large volumes of records or other restoration services.

-   Consider alternate operating sites for critical business operations
    in case the normal work site is inaccessible.