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ISO21110 Emergency Response

ISO 21110:2019 outlines standards for emergency preparedness and response in archives, libraries, and museums, focusing on planning, response, and recovery processes. It provides a framework for understanding risks, establishing emergency plans, and coordinating responses without addressing the causes of emergencies. The document serves as a guide for stakeholders to enhance their emergency management capabilities and includes various informative annexes and templates.

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ISO21110 Emergency Response

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INTERNATIONAL ISO
STANDARD 21110

First edition
2019-08

Information and documentation —

Emergency preparedness and
response
Information et documentation — Préparation et réponse aux
situations d'urgence

University of Toronto User.

Reference number
ISO 21110:2019(E)

© ISO 2019
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ISO 21110:2019(E)

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COPYRIGHT PROTECTED DOCUMENT

© ISO 2019
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may
be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting
on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address
below or ISO’s member body in the country of the requester.
ISO copyright office
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CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Fax: +41 22 749 09 47
Email: [email protected]
Website: www.iso.org
Published in Switzerland

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ISO 21110:2019(E)

Contents Page

Foreword...........................................................................................................................................................................................................................................v
1 Scope.................................................................................................................................................................................................................................. 1
2 Normative references....................................................................................................................................................................................... 1
3 Terms and definitions...................................................................................................................................................................................... 1
4 Planning.......................................................................................................................................................................................................................... 3
4.1 Process of preparing........................................................................................................................................................................... 3
4.1.1 General...................................................................................................................................................................................... 3
4.1.2 Establishing an emergency committee.......................................................................................................... 4
4.1.3 Establishing a documented program.............................................................................................................. 4
4.1.4 Stating the emergency preparedness and response plan’s objective.................................. 5
4.2 Understanding identified risks and their impact....................................................................................................... 5
4.2.1 General...................................................................................................................................................................................... 5
4.2.2 Identifying hazards......................................................................................................................................................... 6
4.2.3 Identifying building vulnerability...................................................................................................................... 7
4.2.4 Identifying collections vulnerability................................................................................................................ 8
4.2.5 Assessment of potential damage or loss...................................................................................................... 9
4.2.6 Risk analysis......................................................................................................................................................................... 9
4.2.7 Security strategy............................................................................................................................................................ 10
4.2.8 Risk management and monitoring measures....................................................................................... 10
4.3 Definition of emergency levels and phases.................................................................................................................. 10
4.4 Alignment with other emergency plans.......................................................................................................................... 11
4.5 Plan content............................................................................................................................................................................................. 11
4.6 Plan validation....................................................................................................................................................................................... 12
4.7 Plan publication and distribution......................................................................................................................................... 12
4.8 Plan presentation................................................................................................................................................................................ 13
4.9 Plan maintenance procedures................................................................................................................................................. 13

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4.9.1 Principles.............................................................................................................................................................................. 13
4.9.2 Maintenance in co-ordination with other plans................................................................................. 14
4.9.3 Procedures for maintaining the plan............................................................................................................ 14
4.10 Identifying tasks and resources............................................................................................................................................. 14
4.10.1 Principles.............................................................................................................................................................................. 14
4.10.2 Priorities for response and recovery............................................................................................................ 15
4.10.3 Legal, financial and administrative framework................................................................................... 16
4.10.4 Emergency supply and equipment and resupply.............................................................................. 17
4.10.5 Facilities................................................................................................................................................................................. 17
4.10.6 Documentation and forms..................................................................................................................................... 18
4.11 Organization............................................................................................................................................................................................ 19
4.12 Responsibilities.................................................................................................................................................................................... 20
4.13 Training....................................................................................................................................................................................................... 21
4.13.1 General................................................................................................................................................................................... 21
4.13.2 Exercising and testing the plan......................................................................................................................... 22
4.13.3 Debrief and evaluation............................................................................................................................................. 22
5 Response and recovery................................................................................................................................................................................23
5.1 Principles of effective response and recovery........................................................................................................... 23
5.2 Responding to an emergency................................................................................................................................................... 24
5.2.1 Levels of command...................................................................................................................................................... 24
5.2.2 Management and co-ordination of the response phase............................................................... 24
5.2.3 Assessments....................................................................................................................................................................... 25
5.2.4 Decision making and planning.......................................................................................................................... 26
5.2.5 Working with contractors and voluntary sector................................................................................ 28
5.3 Recovering from an emergency.............................................................................................................................................. 28
5.3.1 Principles.............................................................................................................................................................................. 28
5.3.2 Management and coordination......................................................................................................................... 29

© ISO 2019 – All rights reserved iii

5.3.3 Assessment......................................................................................................................................................................... 30
5.3.4 Operations planning................................................................................................................................................... 30
5.3.5 Post-emergency mitigation................................................................................................................................... 30
5.3.6 Funding for recovery.................................................................................................................................................. 32
5.3.7 Ending of operations.................................................................................................................................................. 32
5.3.8 Review..................................................................................................................................................................................... 33
6 Indicators of performance.......................................................................................................................................................................33
6.1 General......................................................................................................................................................................................................... 33
6.2 Indicators and methodology..................................................................................................................................................... 34
Annex A (informative) Stakeholders and their roles during an incident.....................................................................44
Annex B (informative) Example template of response and recovery plan..................................................................46
Annex C (informative) Emergency planning — Principal components..........................................................................51
Annex D (informative) Suggested roles and responsibilities during relocation..................................................52
Annex E (informative) Typical list of tasks in the case of water leakage......................................................................53
Annex F (informative) List of supplies..............................................................................................................................................................55
Annex G (informative) Example of a daily occurrence report form...................................................................................57
Bibliography.............................................................................................................................................................................................................................. 58

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iv © ISO 2019 – All rights reserved

Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of
any patent rights identified during the development of the document will be in the Introduction and/or
on the ISO list of patent declarations received (see www.iso.org/patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to the
World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) www.iso
.org/iso/foreword.html.
This document was prepared by Technical Committee ISO/TC 46, Information and documentation,
Subcommittee SC 10, Requirements for document storage and conditions for preservation.

University of Toronto User.

Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.

© ISO 2019 – All rights reserved v

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INTERNATIONAL STANDARD ISO 21110:2019(E)

Information and documentation — Emergency

preparedness and response

1 Scope
This document provides a context for emergency planning, response and recovery for all types of
an archive, library or museum collections in light of other existing plans. It provides responders and
other stakeholders with an outline for planning, responding and recovering. This document does not
address the causes of a critical event, but the consequences and wider impacts. This document outlines
a cycle for developing, exercising and reviewing a plan, and how to present a plan. It aims to encourage
responders to develop their capabilities in emergency preparedness and touches on some elements of
response and recovery, where relevant, by highlighting indicators of good practice.
It is not intended to be an operations manual as there is no single approach that meets the needs of
every site, nor is there one single set of organizational arrangements that is appropriate to each and
every type of emergency.

2 Normative references
There are no normative references in this document.

3 Terms and definitions

For the purposes of this document, the following terms and definitions apply.

University of Toronto User.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https://www.iso.org/obp
— IEC Electropedia: available at http://www.electropedia.org/
3.1
business continuity
capability of the organization to continue delivery of products or services at acceptable levels following
disruptive incident
[SOURCE: ISO 22300:2018, 2.3.10]
3.2
business continuity plan
BCP
documented procedures that guide organizations to respond, recover, resume, and restore to a pre-
defined level of operation following disruption
Note 1 to entry: Typically, this covers resources, services and activities required to ensure the continuity of
critical business functions.

[SOURCE: ISO/IEC 27031:2011, 3.3]

3.3
collection
documents and items under the stewardship of an archive, library or museums regardless of format

© ISO 2019 – All rights reserved 1

3.4
emergency management
overall approach preventing emergencies and managing those that occur
Note 1 to entry: In general, emergency management utilizes a risk-management approach to prevention,
preparedness, response and recovery (3.11) before, during and after potentially destabilizing and/or
disruptive events.

[SOURCE: ISO 22300:2018, 3.78]

3.5
emergency preparedness
measures and action taken in advance to mitigate the effects of possible destructive events
Note 1 to entry: This includes drawing up a disaster response plan.

[SOURCE: EN 15898:2011, 3.4.6]

3.6
emergency response
immediate phase in the aftermath of an event, consisting of gaining control, limiting the extent of the
emergency and minimizing further damage
3.7
hazard
source of potential harm
Note 1 to entry: Hazard can be a risk source.

[SOURCE: ISO Guide 73:2009, 3.5.1.4]

3.8
incident response

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actions taken in order to stop the causes of an imminent hazard (3.7) and/or mitigate the consequences
of potentially destabilizing or disruptive events, and to recover to a normal situation
Note 1 to entry: Incident response is part of the emergency management (3.4) process.

[SOURCE: ISO 22300:2018, 3.115]

3.9
mutual aid agreement
written agreement between institutions that provides for assistance upon request, by furnishing
personnel, equipment, and/or expertise
3.10
pre-impact phase
phase of warning
3.11
recovery
restoration and improvement, where appropriate, of operations, facilities, collections (3.3), livelihoods
or living conditions of affected organizations, including efforts to reduce risk factors
[SOURCE: ISO 22300:2018, 3.187, modified — The term "collections" has been added.]
3.12
review
activity undertaken to determine the suitability, adequacy and effectiveness of a subject matter to
achieve established objectives
[SOURCE: ISO Guide 73:2009, 3.8.2.2]

2 © ISO 2019 – All rights reserved

3.13
risk
effect of uncertainty on objectives
Note 1 to entry: An effect is a deviation from the expected — positive and/or negative.

Note 2 to entry: Objectives can have different aspects (such as financial, health and safety, and environmental
goals) and can apply at different levels (such as strategic, organization-wide, project, product and process).

Note 3 to entry: Risk is often characterized by reference to potential events and consequences or a combination
of these.

Note 4 to entry: Risk is often expressed in terms of a combination of the consequences of an event (including
changes in circumstances) and the associated likelihood of occurrence.

Note 5 to entry: Uncertainty is the state, even partial, of deficiency of information related to, understanding or
knowledge of an event, its consequence, or likelihood.

[SOURCE: ISO Guide 73:2009, 1.1]

3.14
risk assessment
overall process of risk identification, risk analysis and risk evaluation
[SOURCE: ISO Guide 73:2009, 3.4.1]
3.15
risk management
coordinated activities to direct and control an organization in regard to risk (3.13)
[SOURCE: ISO Guide 73:2009, 2.1.1]
3.16
risk management plan

University of Toronto User.

scheme within the risk management framework specifying the approach, the management components
and resources to be applied to the management of risk
[SOURCE: ISO Guide 73:2009, 2.1.3]
3.17
triage
prioritizing or sorting system to assess the severity of affected collections and to assign stabilization
priorities

4 Planning

4.1 Process of preparing

4.1.1 General

Preparing is a continuous cycle of planning, organizing, equipping, training, evaluating and improving
procedures to ensure effective co-ordination and the enhancement of capabilities to respond and
recover in the event of an emergency.
Figure 1 illustrates this process.

© ISO 2019 – All rights reserved 3

Figure 1 — Process of preparing

NOTE See Annex C for a detailed diagram of emergency planning.

4.1.2 Establishing an emergency committee

An emergency committee shall be established.

This committee is responsible for the emergency preparedness and response plan. Senior management
should be directly involved in the committee. This committee shall be responsible for:
— preparing an emergency preparedness and response plan;
— managing an integrated response and recovery to an emergency affecting or threatening collections
and their environment.
The emergency committee should include:
— the emergency preparedness and response plan coordinator with a background in conservation
and/or collections care or substantial knowledge of collections and buildings;
— senior management with knowledge of the different emergency plans within the institution (i.e.
business continuity plan, emergency communication plan, etc.);
— full range of service groups;

University of Toronto User.

— experts with knowledge of:
— logistical implementation issues such as financing, insurance, and governmental support;
— different emergency plans within the institution;
— conservation and preservation;
— collections and their priorities;
— stacks and storage management;
— heating, ventilation and air-conditioning (HVAC) and other building systems.
— other stakeholders.
Expertise may be recruited from outside the institution as needed.
NOTE Annex A gives a list of stakeholders and their roles during an incident.

4.1.3 Establishing a documented program

The institution shall have a documented and scheduled program that includes:
— written policy approved by the leadership;
— established program goals and objectives;
— established program plans and procedures that safeguard the collections;

4 © ISO 2019 – All rights reserved

— budget, purchase, and maintenance of standard emergency supplies and equipment;

— review process for continuous improvement;
— training plan and training programme.

4.1.4 Stating the emergency preparedness and response plan’s objective

The emergency preparedness and response plan for collections shall have a clearly stated objective.
The objective is a brief summary of the purpose of the emergency preparedness and response plan
to reduce damage to the collections and their environment with procedures to address hazards that
present the highest risks.
The objective shall include planning for small and large emergencies and the appropriate actions under
a range of circumstances, with emergency procedures to address each situation.
NOTE 1 Emergency levels are defined in 4.3.

NOTE 2 Lack of preparedness can lead to inadequate or inappropriate response and the escalation of a small-
scale emergency to a larger incident, with greater impact on more of the collection and/or building, over a longer
period of time.

The objective shall specify the limitation on planning, sectors or areas out of the scope.

4.2 Understanding identified risks and their impact

4.2.1 General

The emergency committee shall identify conditions or events that could contribute to loss or damage
to collections to proactively address hazard mitigation, emergency response and emergency recovery.

University of Toronto User.

Building regulations mainly relate to life safety and mechanical system operations. Therefore, a risk
assessment shall be conducted with regard to the protection of the building and collections.
Risk assessment can be used to support decisions about disaster prevention or protection of collections
in a new or existing building. It can be used to provide general guidance or to support choices in the
selection of scenarios. A risk assessment shall be carried out to identify the specific risks to collections
and the site.
Risk assessment can identify:
— compliance with safety code and regulations;
— compliance with preservation standards and requirements;
— corrective and compensatory measures against the identified hazards;
— balance between cost and risk reduction benefit;
— special events or temporary exhibitions that can compromise existing fire protection systems;
— acceptable risks especially for severe events;
— reliability of the emergency preparedness and response plan and/or the overall crisis management.
Effective risk assessment and management requires information about:
— collections and the building;
— hazards to these;
— collections and building vulnerabilities;

© ISO 2019 – All rights reserved 5

— potential impacts on these;

— controls that can be put in place.
It is important that gaps in information or the need to gather more information (such as risk
assessments, surveys, etc.) are identified during the planning process.
The expertise of emergency services (such as representatives of local fire and police departments,
occupational health and safety officer, etc.) shall be requested for assessing the site risks and reviewing
the plan.

4.2.2 Identifying hazards

Accurately assessing hazards and identifying vulnerabilities is critical to understanding the risks to
collections.
NOTE 1 ISO 11799 contains information on risks and requirements for a new construction or for reviewing an
existing building and for their maintenance.

NOTE 2 ISO/TR 19815 contains information on risks and requirements for managing the environment of
collections in a repository.

NOTE 3 ISO/TR 19814 contains information on risks and requirements for managing library and archives
collections.

Table 1 ranks the likelihood of hazards.

Table 1 — Ranking the likelihood of hazards

Established The site is periodically affected by natural hazards (i.e. more than every 10 years).
The area includes buildings or other activities which can be targets for damage, vandalism or
unauthorized access.

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Technical failures like leakages, power failures, etc. occur on a frequent basis or have been
registered in the recent past years. Collections have been affected by technical failures in the
recent past years.
Activities in the area are hazardous to the site.
Credible The site is prone to natural hazards which affect the site on a sporadic basis (i.e. less than
once every 10 years).
No damage, vandalism or unauthorized access against archives, libraries or museums has
been registered in the area but in immediate vicinity other buildings could be a target.
Technical failures like leakages or power failures have been registered in the past years but
with no harm to collections.
Activities in the area can be hazardous to the site.
Potential The region is prone to natural hazards, but the site has never been affected.
No damage, vandalism or unauthorized access against archives or libraries has been regis-
tered in the area.
The maintenance of the building and its equipment is made according to regulations and doc-
umented.
Activities in the area are not hazardous to the site.
Minimal The region is not prone to natural hazards and no critical event has been registered.
The maintenance of the building and its equipment is made according to regulations and doc-
umented.
Activities in the area are not hazardous to the site.

6 © ISO 2019 – All rights reserved

4.2.3 Identifying building vulnerability

The building vulnerability assessment considers the potential impact of loss after an event, and
determines if critical systems will continue to function during an emergency.
It shall consider the age, function and style of the building to determine inherent risks, including fire risks.
The building vulnerability assessment shall consider the following factors:
— local area risks such as severe weather, tsunamis, mudslides, volcanoes, floods;
— site;
— building envelope;
— physical structure and design;
— heating ventilation air-conditioning;
— plumbing and gas systems;
— electrical systems;
— fire detection and fire suppression systems;
— fuel load constituted mainly of paper-based collections;
— use of non-storage areas for storage;
— adjacency with science laboratories or chemical storage;
— changing exhibition and display areas;
— prior or chronic infrastructure problems.

University of Toronto User.

The vulnerability assessment shall consider external factors, including:
— access conditions for rescue vehicles;
— fire-fighting water supply;
— time of response to an alarm;
— criminal activities.
Table 2 ranks the severity of the building vulnerabilities.

Table 2 — Building vulnerability rankings

Devastating One or more major weaknesses have been identified that make the building extremely suscep-
tible to a hazard.
All or part of the building will be lost or have structural problems.
Critical installations will be interrupted.
Side effects are not manageable.
The facility is closed.
Severe One or more major weaknesses have been identified that make the building very susceptible to
a hazard.
Critical installations can be interrupted.
The entire facility can be closed for a period of up to two weeks and a portion of the facility can
be closed for an extended period of time.

© ISO 2019 – All rights reserved 7

Table 2 (continued)
Noticeable A weakness has been identified that makes the building susceptible to a hazard. Critical instal-
lations can be interrupted.
Facility remains open but one or several repositories are affected requiring the relocation of a
part of the collections.
Minor A minor weakness has been identified that slightly increases the vulnerability of the building.
Critical installations will continue to function.
Side effects of an event are manageable.
The collections environment can be affected with no need of relocation of collections.

4.2.4 Identifying collections vulnerability

The collections vulnerability assessment shall consider consecutively physical damages and the loss
of value.
The vulnerability assessment shall consider special hazards to collections and the side effects on their
preservation conditions in the case of an incident. Only hazards that have a significant probability shall
be considered.
Potential physical, biological or chemical effects on materials and on their enclosures and furnishings
shall be evaluated but not be limited to the following:
— fire hazards, heat, smoke and soot;
— discharge of sprinklers;
— clear and contaminated water;
— interruption of core services;

University of Toronto User.

— hazards from the collection itself (radioactivity, poisons, asbestos, explosives, etc.);
— Use of stack areas for non-collection storage purposes, including staff work areas and facility
maintenance equipment and supply storage.
The collections vulnerability assessment shall be based upon an accurate documentation of the
collections preservation conditions, including:
— conditions of collections;
— all types of materials and media;
— all types of enclosures and their description;
— all storage furnishings in which collections are kept.
Special attention should be drawn to some collections materials that emit volatile compounds. This list
shall reflect all changes in location.
The collections vulnerability assessment shall include an independent evaluation of the effectiveness
of fire suppression systems and their full compliance with standards. The system shall be periodically
tested to ensure that it can extinguish or control the fire in the fuel package.
NOTE Changes in type of storage, ceiling construction and room elevations can alter the effectiveness of the
fire suppression systems.

The collections vulnerability assessment shall consider an individual event and the accumulative effect
of multiple minor events, including:
— physical forces;

8 © ISO 2019 – All rights reserved

— thieves, vandals, displacers;

— fire;
— water;
— pests;
— pollutants;
— light;
— incorrect temperature;
— incorrect relative humidity;
— custodial neglect and dissociation.
Table 3 ranks the severity of collection vulnerability.

Table 3 — Collections vulnerability rankings

Devastating A large proportion of collections or high priority collections are at risk of being lost, destroyed
or damaged beyond restoration. Enclosures are non-existent or unreliable.
Severe Parts of sensitive collections are at risk of damage beyond restoration. A large proportion of col-
lections or irreplaceable collections can be damaged or contaminated but treatment is possible.
One or several repositories need to be evacuated.
Noticeable A limited number of collections are at risk of damage beyond restoration. The repositories en-
vironment is under control.
Minor There is no risk of loss of irreplaceable collections. Irreplaceable collections and sensitive mate-
rials are protected by enclosures. Provisions for basic treatment or replacement of enclosures
are available.

University of Toronto User.

4.2.5 Assessment of potential damage or loss

The emergency committee shall identify the conditions that could provoke damage or loss of collections.
Scenarios shall consider the possible multiplier effects and their adverse effects including:
— Requirements of overall plans or local authorities plans;
— Damage to essential building installations such as electricity, water, ventilation, air conditioning,
security systems;
— Damage to equipment such as storage furniture;
— Inaccessibility to the building for an extended period of time.

4.2.6 Risk analysis

The risk analysis shall consider consecutively distinct risks.

For each risk, the ranking specified in Table 4 can be applied.

Table 4 — Risk rankings

Very high The risk is totally unacceptable. Immediate measures shall be taken to reduce these risks and
mitigate hazards.
High The risk is unacceptable. Measures to reduce risk and mitigation hazards should be implemented
as soon as possible.

© ISO 2019 – All rights reserved 9

Table 4 (continued)
Medium The risk may be acceptable over the short-term. Plans to reduce risk and mitigate hazards should
be included in future plans and budgets.
Low The risks are acceptable. Measures to further reduce risk or mitigate hazards should be implemented
in conjunction with other security and mitigation upgrades.

4.2.7 Security strategy

Objectives shall be established to determine the level of protection required for the collections.
A security strategy shall include specific measures relating to the protection of the collections. It shall
be drawn up in accordance with the risk assessment. It shall be based on knowledge of the collection
materials’ vulnerability and the collections’ value.
The security strategy shall be drafted in consultation with fire safety and building security specialists,
such as local firefighter or police.

4.2.8 Risk management and monitoring measures

Regardless of the nature of the threat, institutions shall limit or manage risks from these threats to
the extent possible. The emergency preparedness and response plan shall address the risks identified.
Research findings can lead to revisions in the plan.
The purpose of risk management is to reduce the risks identified during the risk assessment. institutions
shall address those risks that are not acceptable; otherwise, it would be difficult to define priorities and
to finance the mitigation of all the identified risks.
Risk management includes the following activities:
— avoidance;

University of Toronto User.

— detection;
— protection;
— response.
Building vulnerabilities shall be addressed to reduce risks. Where collections are at risk, they shall
be relocated. If relocation is not possible, the collection shall be protected until vulnerability can be
eliminated or reduced.
NOTE See NOTES 1 to 3 in 4.2.2.

4.3 Definition of emergency levels and phases

The emergency preparedness and response plan of the institution shall have a clear definition of an
emergency.
A small-scale incident can affect part of a collection, a small number of shelves or be restricted to a
single floor, but essentially the definition of scale is proportional to the resources an institution has
available to respond and deal with an emergency incident. A large-scale emergency can affect a whole
building. Large-scale incidents can be caused by natural hazards (earthquakes, widespread flooding,
hurricanes, uncontrolled forest fires), or other causes such as gas or bomb explosions. Large-scale
incidents can affect areas beyond the institution and collections can be at additional risk of looting or
vandalism.
The plan should distinguish between small incidents, which can have a limited impact, and larger or
more serious incidents, which can have a widespread impact. For example, internal leaks can affect a
small area or natural emergencies can affect a city or a region.

10 © ISO 2019 – All rights reserved

An incident can escalate from one level to the next. The three main levels can be defined as:
— Level 1: minor incident requiring commitment of resources within current capabilities of the
institution;
— Level 2: major incident requiring more resources than the current capabilities of the institution;
— Level 3: critical incident requiring extensive resources, and additional external resources.
Hazards such as floods or storms often provide a pre-impact phase (warning) that shall be time-lined in
order to plan for precautionary tasks.

4.4 Alignment with other emergency plans

An emergency preparedness and response plan should be aligned or coordinated with other existing
local, regional or national emergency management plans (for example crisis management plans).
Emergency preparedness and response plans for collections shall be coordinated with the institution’s
business continuity plan.

4.5 Plan content

An emergency preparedness and response plan should at least include the following basic elements.
The order may vary according to needs.
a) management, control and coordination;
b) chain of command;
c) communication with the command centre and the responders;
d) roles and responsibilities;
e) key principles of intervention;

University of Toronto User.

f) procedures for alerting key decision makers and activating response team;
g) operational procedures to support the execution of the emergency preparedness and response
plan, including:
1) health, safety and welfare for responders;
2) containment and stabilization in affected area(s);
3) requirements for shelter;
4) access;
5) security of any facilities locations where collections are temporarily held;
6) facility access protocol for contractors brought in to assist with collections salvage.
h) protocol for securing utility shut-offs (such as electrical power or water main). This is listed below
in o) “Annexes”, but should be included as an operational procedure;
i) salvage priorities criteria and lists;
j) salvage procedures;
k) decontamination protocols for building or collections;
l) communication with the command centre and between response team;
m) tracking of collection moves and relocations;

© ISO 2019 – All rights reserved 11

n) monitoring (program, processes, building stability, climate and people) and reporting on activities,
performance and compliance);
o) annexes, for example:
1) contacts lists;
2) location of resources and supplies including contact information of specialist contractors and
suppliers;
3) location of alternate sites for storage of collections, treatment of collections and incident
control;
4) location and access to specific facilities, e.g. freezing facilities;
5) site plans and floor plans with the following mapped:
i) priority and vulnerable collections;
ii) shut-offs for utilities;
iii) hazards, including hazardous collections and building materials e.g. asbestos;
iv) fire extinguishers;
v) entry/exit routes;
vi) meeting point;
vii) response supplies and equipment;
viii) list of location of response supplies and equipment.
p) salvage forms including:

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1) risk assessment;
2) tracking;
3) key communications, decisions and events log;
4) on-site attendance;
5) expenditure and time.
NOTE Annex B gives an example template of an emergency preparedness and response plan.

4.6 Plan validation

The emergency preparedness and response plan shall be authorized by the management.

4.7 Plan publication and distribution

The emergency preparedness and response plan shall be distributed to designated positions within
organizations rather than to individuals. Copies of the plan or parts of it are distributed to at least:
— those involved in the planning process;
— related planning committees;
— decision-making unit;
— experts and team responders.

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Provisions for the dissemination of the current approved version of the emergency preparedness
and response plan shall be clearly defined in a project records management system and controlled in
accordance with it.
The dissemination of the emergency preparedness and response plan should be tracked. Each
authorized copy of the plan shall contain a version identification number and shall be dated.
A master distribution list shall be maintained for backup purposes and shall include a hard copy in case
of IT failure.
Electronic access to the current approved version of the emergency preparedness and response plan
shall be limited to the staffs that need to know the content, based on their work assignments, emergency
response team duties, managerial functions, and other appropriate considerations.
Distribution of printed and electronic copies of the plan to external stakeholders shall be limited to
those, with a legitimate need, such as local authorities and response organizations.
A list of approved external stakeholders shall be maintained in the current version of the emergency
preparedness and response plan.
Draft or superseded print copies of the emergency preparedness and response plan shall be physically
retrieved and destroyed (except for copies retained for legal or regulatory purposes).
Proof of distribution (such as transmittal letters) of original copies, additional copies, and revisions to
external stakeholders, shall likewise be maintained in a project records management system.
Unauthorized copying or distribution of the Emergency Preparedness and Response Plan shall be
prohibited.

4.8 Plan presentation

The planning process shall result in integrated or single plan documents, or a combination thereof.

University of Toronto User.

The planning process shall result in a written program and a set of actions and operational procedures.
The emergency preparedness and response plan shall provide staff members with written instructions
about their particular emergency duties. Duties should be assigned based on response team title rather
than name of staff member. If that staff member is away, others should be able to step in and fulfil the
duties outlined for that position.
The emergency preparedness and response plan shall include systematic procedures to guide situation
and damage assessment, situation reporting and incident action planning.

4.9 Plan maintenance procedures

4.9.1 Principles

Plans shall be reviewed and adjusted to reflect organizational changes, including restructurings,
new policies, changes in technology and facilities such as renovation work, changes in the location
of collections or the redesign of a permanent or installation of a temporary exhibition. Plans shall
continuously reflect changes in the details of key personnel, including names, job titles, and contact
arrangements. The emergency preparedness and response plan maintenance shall be completed
according to an established schedule.
The emergency preparedness and response plan, its procedures and capabilities shall be evaluated
through periodic reviews, testing and exercises.
The plan maintenance includes the designation of a review team, the establishment of a review schedule
and the identification of the issues that can impact the frequency of changes.

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Additional evaluations shall be based on post-incident analysis and reports, lessons learned and
performance evaluations.
Responsibility for updating the plan shall be allocated to a named individual, and formally integrated
into their job description. In addition to regular updating (such as personnel/contact detail changes) a
formal review period should be set and adhered to.
NOTE An emergency preparedness and response plan that has not been properly updated or properly
tested is in general more dangerous than not having one. Out-of-date plans create a sense of false security in the
organization and can obstruct or delay valid responses during an actual emergency.

4.9.2 Maintenance in co-ordination with other plans

The emergency preparedness and response plan shall be reviewed in co-ordination with updates to
other related institutional plans, in particular:
— crisis management plan;
— communication management;
— business continuity plan;
— building security;
— building operation and support;
— first aid;
— data protection.

4.9.3 Procedures for maintaining the plan

Procedures shall be in place to ensure the plan is up to date by:

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— recording contact and employment details of personnel;
— testing the communication systems on an established schedule;
— updating checklists and forms;
— recording the locations of collections;
— ensuring version control;
— reviewing plan objectives, roles, methods;
— documenting trainings and recording who has been trained.
Corrective action shall be taken on any deficiency discovered during testing or an actual event.
Major changes shall be advertised by a publication announcement to all personnel.
Procedure manuals should be reviewed regularly and updated as necessary to allow for organizational
and procedural changes.

4.10 Identifying tasks and resources

4.10.1 Principles

Effectiveness of measures taken during the response and recovery phases depends on interrelated
activities.

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Tasks and resources shall be identified and managed during the planning phase.
Planning should take into account the main tasks that need to take place and the resources that need to
be in place to support them, including:
— health, welfare and safety;
— security;
— legal, financial and administrative framework;
— logistics;
— personnel needs (food, coffee, etc.);
— operation’s needs (transport, supplies, etc.);
— communication;
— building stabilization and securing;
— collections (identification, prioritization, quantification, conservation).
For each activity strategies and arrangements shall be identified, based upon valid assumptions
regarding the effects of hazards. They shall be consistent with the overall emergency management
arrangements.
Each activity shall have emergency procedures ready to implement.
For each of these procedures, supporting tools and resources should be in place to guide people’s actions
before, during and after a critical event.

4.10.2 Priorities for response and recovery

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Priorities for the response and recovery phases shall be identified during the planning phase. Knowing
where the most vulnerable collections are is important when allocating appropriate resources before,
during and after an emergency, for example a flood event.
Setting priorities will make it easier to plan effectively particularly for the delivering of warnings and
managing an evacuation.
Setting priorities for response and recovery phases consist in establishing a decision-making process
to fit into the three key phases of pre-impact, impact and post-impact.
Priorities shall result from a collection survey combining both quantitative and qualitative approaches
by identifying in advance the following collections:
— to be protected, moved, evacuated during a warning phase;
— that need consideration due to vulnerability of items;
— that need special consideration due to their significance.
Criteria shall be defined according to the institution’s policy, considering the following factors[10]:
— value, authenticity;
— rarity, integrity, significance, uniqueness, function or difficulty of replacement;
— legal status of the collections;
— fragility of items;
— difficulty of treatment: expensive, rarely successful or requiring special expertise;

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— cost of replacement or surrogates;

— existing protection such as boxes or shelving or other protective measures;
— moveability of items or collections.
Priorities can be set for a whole institution and for each repository, floor, area or department.
Priorities for response and recovery phases shall be documented according to requirements established
in 4.10.6.
Priorities for response and recovery phases shall be available for coordinators and those in charge of
writing response and recovery procedures.
NOTE 4.7 gives recommendations to protect the confidentiality of this sensitive information.

4.10.3 Legal, financial and administrative framework

The emergency preparedness and response plan shall be developed to the level required to meet the
institution needs.
Regulations establish a framework for civil protection and define a clear set of roles and responsibilities
at the local level. The planning process should include representatives of local organizations and local
government departments with identified roles in response and recovery.
The full legal status of the collections shall be established as follows.
— Category of ownership: for example, is it owned privately, or by a public institution, or by a
commercial corporation?
— Responsible administration: Who is legally responsible for safekeeping of the material, and how is
that responsibility being exercised?

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The preparation phase includes the review and documentation of the procedures to request financial
resources to cover the costs of dealing with the consequences of an emergency on the collections and
their environment.
NOTE Examples include self or commercial insurance.

The review of the coverage in the event of damage shall consider:

— protection against loss or damage by identified hazards;
— coverage of the costs for conservation, replacement and duplication;
— coverage of the costs for temporary storage at a remote site against theft, loss due to fire, water or
poor environmental conditions;
— coverage during transport to/from a remote site in the case of an emergency;
— authorized level of spending;
— coverage of the costs for re-organizing and re-housing;
— clean-up and the decontamination costs of the affected areas following a chemical, biological or
nuclear incident or as a consequence of a fire or water incident;
— clean-up and decontamination costs for the affected collections.
This phase shall identify any extra insurance needed to cover collections in a temporary storage space
or staff working outside of working hours or under deteriorated conditions.

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Special financial arrangements need to be considered. The planning committee shall identify the state
and local financial procedures and review the emergency procurement procedures.
Pre-agreements with commercial disaster response vendors can be considered. Such agreements
can contain institution commitments to request a quote from that vendor when occasion arises, and
vendor commitments to receive requests, and respond to the institution before responding to non-
commitment organizations or individuals. Such agreements can also contain registration of facility
plans and priorities for salvage; agreed upon salvage procedures; and/or costs per unit.
Preparing agreements of mutual assistance between entities facilitates cooperation when an emergency
occurs. A mutual aid agreement is a written agreement between institutions in which they commit
to assist one another upon request by furnishing resources. These agreements are to be established
before an emergency occurs. A mutual aid agreement involves at least two institutions agreeing to help
each other in the event of an emergency.
The preparedness phase includes procedures for making arrangements for funding emergency needs
and receiving and reporting donations or grants during an emergency whether solicited or unsolicited.

4.10.4 Emergency supply and equipment and resupply

Supplies for initial use should be easily accessible and kept in an easy-to-carry or easy-to-push
emergency kit.
The emergency equipment kit is designed to enable rapid response to collections including means of
protection, evacuation and stabilization measures.
Emergency supplies include personal protective equipment.
NOTE 1 Annex F provides examples of personal protective equipment.

Flexible, comprehensive and scalable response arrangements shall be in place to deal with relatively
simple critical event, which can be scaled up to deal with more serious challenges. The site should

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have readily available supplies and equipment to effectively and immediately respond to the effects of
relatively small emergency situations threatening or directly affecting the collections.
The kit designed for immediate response shall be supplemented by additional resources available on
site or by contractors or vendors.
The inventory shall be completed, and an inspection of emergency supplies and equipment shall be
conducted on a regular basis to ensure that supplies are available and equipment functioning properly.
The type of emergency equipment available on site shall be reviewed periodically to reflect changes in
risks or developments in materials and equipment available for purchase.
NOTE 2 Annex F provides a typical list of supplies.

A list of special service suppliers shall be prepared that includes conservators, security contractors,
alarm companies, conservation centres, companies controlling mould and indoor air quality, emergency
recovery companies, transport.

4.10.5 Facilities

The institution shall establish a primary and an alternate emergency operations centre including a
place to meet, a place for temporary storage for collections and a place for treatments.
The emergency preparedness and response plan should identify places on the grounds of the building
and places off site if the building is too small, too damaged, unsecured or inaccessible.
In determining alternate facility locations, planners shall consider the following factors:
— location that provides a safe environment;

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— road access;
— adequate space;
— access to electricity and equipment including power generator;
— communication capabilities;
— security levels and controlled access;
— access to water, food, and other necessities.
If lecture rooms or exhibition rooms could be commandeered, planners shall consider the additional
disruption it can cause by activation and what arrangements need to be put in place to minimize these
consequences. The pre-identification of alternate sites or rooms allows issues such as safety, fire
and change of use regulations to be addressed, additional requirements to be identified and the pre-
deployment of supplies or equipment.
The emergency preparedness and response plan shall specify the conditions for mobilizing these spaces
in the case of an emergency.
Transport needs to be arranged.
NOTE Requirements for administration and public services are part of a business continuity plan.

A large-scale, widespread incident can affect a number of organizations simultaneously, some of whom
may have agreements to provide mutual support, or who may find they are in competition for the use of
the same spaces. Consider alternative options as part of the planning process.

4.10.6 Documentation and forms

Documents and forms that support each activity shall be drafted.

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A list of priority collections should be drawn up, reviewed and updated.
The emergency preparedness and response plan shall give information on how to access the list and
specify the dissemination policy of this list (see 4.7, for site and floor plans see 4.5).
Written specifications should be prepared for execution of the following tasks:
— assessing affected collections;
— handling, packing and transport of affected collections;
— operation centre for stabilization and sheltering of collections;
— freezing methods allowed;
— drying techniques required for small and large quantity of collections;
— cleaning of repositories, shelving, exhibition rooms and other affected areas;
— decontamination treatments allowed;
— return of collections;
— documentation and tracking.
All methods shall be conceived with consideration to the material.
Forms shall be prepared in the planning phase in particular, and electronic devices considered for the
following functions:
— tracking of collections;

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— tracking of resources;
— assignments;
— assessment;
— key communications, decisions and events log;
— financial authorization;
— attendance log.

4.11 Organization
Emergency management requires collaboration, coordination and integration to facilitate
complementary and coherent action by all partners to ensure the most effective use of emergency
management resources and execution of activities. Complementary emergency management systems at
all levels are provided for concerted efforts to facilitate timely and effective prevention and mitigation,
preparedness, response and recovery measures to deal with emergencies. Coherency of action relies on
the existence of clear and appropriate roles, responsibilities, authorities and capacities of emergency
management partners and is based on widely shared expectations, understanding and support.
The emergency preparedness and response plan for collections is only one of the emergency plans
necessary in an institution, but it shall be compatible with all other emergency plans of the institution.
It is essential that the roles and responsibilities are consistent across all emergency plans including
external local planning.
The emergency preparedness and response plan shall detail the management systems to be used in
various phases (such as warning, response and recovery) of an event.
The emergency preparedness and response plan shall include the identification of activation methods.
The emergency preparedness and response plan shall establish clear lines of authority and define the

University of Toronto User.

responsibilities of the various managerial and supervisory positions for dealing with the response and
recovery phases. In particular, it shall specify the following.
— Who is in charge of activating the plan?
— Who is notified of its activation and what information is provided to them?
— Who is in charge of implementing the plan and to whom do they report?
The emergency preparedness and response plan shall specify lines of authority, policies and procedures
during an institution-wide emergency.
Strategies and procedures detailed within preparedness, response and recovery plans shall be
coordinated with established warning systems, to ensure that the emergency preparedness and
response plan is mobilized at an early stage, and that guidance is given for response to different types
of warnings.
The emergency preparedness and response plan describes the relationship to emergency management
plans and business continuity plans already in place.
The emergency preparedness and response plan coordinator shall be appointed and authorized to
develop, implement and keep the plan current.
The emergency preparedness and response plan specifies how the different units and responders will
cooperate and share information. The plan shall identify the process for managing communication,
the communication media to be used, and the flow of information between the different units and
responders. It clarifies the reporting relationships for all staff involved.

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Workforce rotation principles shall be detailed in the plan and include principles for break times
and meals.
If necessary, grief counselling shall be available for staff.

4.12 Responsibilities
Specific duties, responsibilities, authority and resources shall be clearly defined, distinguishing those
within the sphere of the decision-making unit and those within the sphere of the operational unit.
Institutions with a small number of employees shall consider the possible need of support.
NOTE 1 4.10.3 provides information on the financial and administrative framework for the use of vendors or
possible mutual agreements for assistance.

Responsibilities and duties in the sphere of the decision-making unit may already be documented in a
crisis management plan. The emergency preparedness and response plan coordinator shall be informed
of the procedures already in place.
Responsibilities of the decision-making unit, include:
— activating the response plan for collections;
— assuming overall command;
— ordering evacuation of collections;
— requesting external aid;
— communicating with media and stakeholders including lenders;
— advising all personnel;
— alerting external agencies;

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— allocating funds.
Responsibilities of the operational unit include:
— liaising between different plans;
— mobilizing response teams;
— confirming evacuation is complete;
— coordinating activities of various groups including response teams.
Responsibilities of the emergency response team, include:
— assessing of incident and needs;
— securing;
— ensuring health, welfare and safety;
— evacuating;
— stabilizing of collections;
— ongoing monitoring of environmental conditions in affected storage areas;
— inspecting;
— informing collection and dissemination;

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— resource management;
— logistics.
NOTE 2 See Annex E.

The assignment of roles and responsibilities shall be prepared by the emergency committee and agreed
upon by the management.
Responsibilities shall be clearly aligned with emergency objectives and tasks spelled out and on
organizational framework. The emergency preparedness and response plan specifies the process of
decision and validation for all phases, including preparedness, response and recovery.
Responsibilities shall be assigned on the basis of realistic expectations on management and personnel.
Roles and responsibilities shall be described to ensure that all required functions and tasks are
accounted for, and that there is no overlap. The limits of responsibilities in performance of the roles
shall be specified. The description of responsibilities shall consider exposure to danger and the welfare
of personnel.
A succession plan shall be documented. For each key role at least one substitute should be identified.
Naming key personnel consists of a delegation of authority and the definition of orders of succession.
Delegations of authority ensure officials are trained to perform their emergency duties.
Required competencies and staff qualified for the designated tasks shall be identified.
Ensure that all staff members are trained in the appropriate use of fire extinguishers, and that all are
aware of the procedures to quickly direct facility managers to valve and switch locations as needed.
An updated list of key personnel and response team with off-duty telephone numbers shall be
maintained.
It is advisable that all relevant contact details for all staff on the response team, also for agencies and

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experts are available.

4.13 Training

4.13.1 General

Emergency response and recovery activities shall be integrated in a training policy and program with
the purposes of raising awareness, exercising operational procedures and testing the plan.
The emergency preparedness and response plan shall develop actions to enhance awareness of the
types of potential emergencies at all levels of the hierarchy and among all professions.
Education programs shall be repeated periodically in order to maintain high levels of understanding of
the threats, their effects and the plans to mitigate the risks.
The emergency preparedness and response plan shall develop measures to maintain continuous
awareness, commitment and enthusiasm.
Every employee shall be informed of the main principles of the emergency preparedness and response
plan, including alarm systems, collection materials salvage options, reporting and tracking procedures.
NOTE When delivering training, extensive literature, press clippings, pictures and videos of relevant
emergencies in other institutions can be useful.

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4.13.2 Exercising and testing the plan

The emergency preparedness and response plan shall develop and implement a training program
to support the emergency and response procedures. Exercises shall be designed to test individual
essential elements, interrelated elements, or the entire plan.
NOTE 4.10.3 provides information on the financial and administrative framework for the use of vendors or
possible mutual agreements for assistance. The primary purpose of an exercise is to enhance knowledge and
skills of staff and to test the effectiveness of the plan. The secondary purpose is to identify areas that require
additional training or planning.

Training shall include on-site training of staff, volunteers, and board members.
The frequency and scope of training shall be specified. A regular exercise should be conducted at least
annually. Additional training is needed when employees are hired or when their jobs change, when
collections have moved, when procedures have been updated or revised, or when exercises show that
performance is inadequate. Training can be acquired through a mutual aid network or other venues.
Different types of exercises include the following.
— Emergency response team members shall receive specific training for the duties they are to
undertake. Training for emergency response team personnel will include relevant topics related to
their roles including:
— handling and moving damaged materials;
— evacuating undamaged materials;
— packing;
— tracking procedures;
— reporting;

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— practice in specialized skills or treatments.
— Table top may be used, based on simulation. The exercise involves a realistic scenario and a time
line. Players are expected to know the emergency preparedness and response plan and are invited
to test how the plan works.
— Hands-on drills are useful for testing procedures, logistics and physical facilities and can be held at
random or at otherwise required intervals and can include outside emergency response agencies.
The preparation of the exercise shall rely on documentation including:
— objectives of the exercise;
— methodology;
— basic scenario;
— evaluation form.
Exercise records shall be maintained including the names and functions of participants, date, type of
exercise and results.

4.13.3 Debrief and evaluation

A debrief shall be held immediately after the exercise or testing.

The exercise report draws on the debrief and on written comments from the key players. Comments
shall also be sought from observers.

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The exercise report shall include recommendations for improvement of the emergency preparedness
and response plan.
NOTE Comments from observers with knowledge in emergency planning from outside the exercising
institution are valuable sources for plan improvement.

5 Response and recovery

5.1 Principles of effective response and recovery

Every emergency situation is different and the approach to response varies significantly depending on
the location, the materials and personnel involved, weather conditions and other variables.
An emergency can consist of three phases, pre-impact, impact and post impact as shown in Figure 2.
NOTE Pre-impact does not always occur.

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Figure 2 — Three phases of an emergency

The objective of the response phase is to gain control, to limit the extent of the emergency and to
minimize further damage to the collections and their environment. The response phase will determine
when it is safe for recovery to begin.
The initial response phase begins in the immediate aftermath of an event. The length of time it takes
to recover depends on the magnitude of the emergency, the preparedness of the institution, the
vulnerability and accessibility of the affected building, the vulnerability and accessibility of the affected
collections and the resources that are immediately or locally available.
The initial response phase can have two components.
— Response by emergency services (fire brigades, police and ambulance). This response will have
precedence over internal procedures.
— The response by internal organizational personnel through mobilization of first responders in the
affected area with appropriate support and coordinating action by key personnel.
The sequence of steps can include:
— making the decision to activate the plan;
— alerting people required to be on site;

© ISO 2019 – All rights reserved 23

— activating the communications process.

If an event is imminent, such as a hurricane, the pre-impact phase shall be used for preparing to
undertake actions in subsequent phases.
The plan shall specify precautionary tasks such as:
— warning and evacuation, of both people and/or collections;
— establishing operational readiness;
— identifying potential collections impacted;
— pre-deploying resources for protection of collections;
— readying resources for salvage and stabilization of the affected collections;
— restricting access to areas likely to be impacted;
— readying resources for protection of staff during evacuation and recovery.

5.2 Responding to an emergency

5.2.1 Levels of command

The order in which authority is wielded and delegated from top management to the teams of responders
shall be implemented. Instructions flow downward along the chain of command and accountability
flows upward.
Lines of communication and authority within team, and between teams, should be agreed upon.
Team leaders shall be appointed with a defined role and provided with detailed instructions and
reporting.

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5.2.2 Management and co-ordination of the response phase

The response phase can be coordinated by the fire brigade or other responder and the access to the
affected area forbidden to institution’s staff.
Instructions for prioritized measures shall be ready to be communicated to the command staff. (See 4.8
and 4.10.3.)
The emergency preparedness and response plan coordinator for the safeguarding of collections shall
be mobilized at the earliest stage to give guidance on measures to be taken to protect the collections,
salvage damaged collections materials, and monitor impacted storage area environments.
The response phase includes the mobilization of the necessary emergency services and first responders
in the affected area and the off-site operation centre.
The first priority in any emergency situation is the safety of the employees, first responders, and any
other persons potentially exposed to the hazards associated with the emergency.
No employee, visitor or contractor on site should respond to an emergency by taking actions for which
the individual is not trained or qualified which puts the individual or others at risk.
A liaison shall be appointed with the task of transmitting information and facilitating communication
between separated teams.
It is advisable to select team leaders with training experience and knowledge of the emergency
procedures and forms.

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The response team shall be briefed by the emergency preparedness and response plan coordinator on
the assessment needs, response strategy and procedures, priorities to be observed and safety issues.
Appropriate personal protective equipment shall be distributed according to the context. Periodic
breaks shall be established and enforced.
Reporting procedures to the command staff shall be specified.

5.2.3 Assessments

In the early stage of an emergency, timely and accurate information shall be provided for effective
decision-making.
Incident initial assessment is a process of collecting information after an emergency in order to estimate
actual or expected casualties or damages, and the needs for response, recovery and future prevention.
Where there are no identified priorities in an affected area, decisions about what to retrieve or protect
in situ will need to be made by assessing which items are most at risk of damage or which require
stabilization most urgently.
It is therefore important during the initial response to an emergency to be able to rapidly classify the
situations so that all emergency response personnel subsequently contacted understand the potential
nature and extent of the emergency and the full range of response personnel, qualifications and
equipment that will be required.
The incident classification system described in 4.3 is designed to quickly communicate the required
level of response to emergency responders and other stakeholders.
As soon as possible, after initially responding to an emergency, the incident classification shall be made
by the first responder(s) to the incident or by those personnel most familiar with what has happened
in discussions with first responders and/or the incident coordinator. Classifications and subsequent
actions may be revised with the concurrence of the incident coordinator as warranted based on new or
revised information.

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Two types of assessment can be conducted concurrently, impact and needs.
— Impact assessment examines the way hazards have affected collections and their environment. It
shall collect information on damages or losses resulting from direct contact with the hazard and
indirect damages or losses resulting from the event.
— Needs assessment deals with the amount and priorities of salvage and stabilization needed for
collections.
An assessment shall be conducted to identify the resource capability shortfalls and the steps necessary
to overcome any shortfalls.
Depending on the extent of the event, assessment can last for 10 min to several days after the event. The
time immediately following the event requires a fast response to avoid degradation of collections in
imminent danger and prevent further damages.
The assessment shall be consistent, standardized to enable comparisons and be replicable. Structured
data shall be produced using assessment forms prepared in advance.
The assessment documents evidence of damage with photos, video and written reports. The assessment
forms shall be concise and easy to complete.
Refer assessment results to those responsible for operational decision-making. The assessment shall
provide the communication decision-making unit with the information requested.

© ISO 2019 – All rights reserved 25

5.2.4 Decision making and planning

5.2.4.1 General

Not all collection items can be protected equally in an emergency; the first response consists of
prioritizing efforts. Response shall be guided by the response plan, ensuring that the plan is applicable
to the on-going situation.
A comprehensive record shall be kept of all events, decisions, reasoning behind key decisions and
actions taken. A daily log shall be kept in a chronological order. This record will provide an audit trail.
A named individual shall be appointed to fulfil this role.
NOTE 1 Other daily occurrence reports can be fulfilled by those responsible for actions in other fields.

NOTE 2 Table G.1 in Annex G gives an example for a daily occurrence report form.

5.2.4.2 Triage

Triage refers to the methods used to assess the severity of damage within a short time after their
retrieval, assign priorities and transfer each item to the appropriate place for stabilization.
Registration of wetness signs alone is not suitable for identification of critically affected documents in
an emergency. Several factors shall be considered during triage, including:
— whether there is no on-going degradation with risks of loss when dry (soluble ink and coated papers
for instance);
— the quantity of affected materials;
— whether it can be air-dried;
— whether it can be frozen;

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— if it cannot be salvaged;
— if it requires special treatment or examination by specialist.
Triage shall be consistent with the tracking procedures (see 5.2.4.5).

5.2.4.3 Facilities

An alternate room or site is a place where collections can be held and/or treated for a few hours, several
weeks or even longer. The housing in an alternate room or site shall be coordinated with the evacuation
planning.
Facilities on site shall be considered for no-notice events when:
— there is no time to evacuate before the hazard occurs;
— moving the collections would expose them to greater harm or dangerous conditions;
— immediate risk is unclear.
The advantages of keeping the collections on site will depend on the event and its effects on the building
or the collections. In some cases, it can be suitable to evacuate immediately and disperse the collections
to different sites.
Once the risk is understood, a decision shall be made about how long the collections can remain on site,
whether an evacuation is possible (such as building stable enough to enter, collection moveable) and
whether an evacuation is necessary and could be conducted without exposing them to increased risks.

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Access for the institution staff shall be made possible to off-site storage facilities for regular inspections,
inventory and treatment. Planning shall consider the following actions:
— eliminate hazards;
— undertake protective measures for safety and health;
— control and secure affected repositories;
— protect unaffected collections items from sustaining any damage during the recovery process;
— prepare for relocation of collection materials to on-site or off-site locations;
— Ttriage;
— establish treatment options for damaged collection items based on type and extent of damage, and
resources available;
— prepare suitable work areas for recovery treatments.

5.2.4.4 Relocation of collection materials

The purpose of relocation is to move collections away from potential danger to a place that is safer. This
action can pre-empt an event or occur in the wake of an incident.
NOTE 1 4.10.3 and 4.10.4 provide information on pre-arranged agreement for relocation of collections.

Planning shall consider how many collections can be moved to another area within the building.
The decision to relocate or protect in situ shall be taken quickly. It shall be based on an assessment of
the threat to the integrity of collections and/or the impact of an event. The assessment will be taken as
the event unfolds on the ground. And it will be improved by planning.
The merits and challenges of relocating materials and the alternative of moving the collections to

University of Toronto User.

another area within the building or of protecting in place shall be assessed.
Relocation planning shall be proportionate to the risk identified. Relocation should be considered
within a wide range of risks, such as:
— natural hazards (coastal floods, river or surface water floods, reservoir failures, forest fires);
— vicinity of fires or clearance of bombs;
— military conflicts.
There are risks where it is necessary to consider the trigger point for a decision to relocate, protect in
situ or move the collections to another area within the building.
The decision shall depend on several factors, including:
— human health and safety;
— available means;
— capacity of routes away from the affected area;
— risks of building collapse.
There are a number of cross-cutting issues in evacuation planning. These include registration of
collections, logistics, security and disruption of current activities.
When deciding whether or not to relocate collections, the institution shall check potential risks on the
identified evacuation routes including flooding, civil disorder or demonstrations. Stationary traffic

© ISO 2019 – All rights reserved 27

can expose collections to greater risks, and measures in accordance with the police shall be taken to
maintain the flow of the traffic on evacuation routes.
Communication and information sharing are important to ensure an effective evacuation and the
security of the collection during transport and moving in and out of a building.
NOTE 2 Annex D provides information on roles and responsibilities during relocation.

5.2.4.5 Tracking

Tracking is a key component of a response plan.

Tracking procedures shall be implemented to document every movement of collections. Tracking shall
result in procedures and forms prepared and tested in advance.
Tracking procedures and forms shall be consistent with both the safety policy of the institution and the
conditions of an emergency.
Tracking forms shall include the identification of priorities of treatment during response and recovery
phases when possible.
Tracking procedures shall facilitate the reunification of collections when returned after treatment.
NOTE Establishing a list of each item cannot be applicable in an emergency situation.

5.2.5 Working with contractors and voluntary sector

Contractors can be hired to work in tandem with the emergency response team or as an alternate. The
emergency response team should monitor the activities of the contractors and their staff.
There shall be a liaison with the contractor.
The institution shall provide feedback to the contractors.

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The voluntary sector and professional organizations can play a significant role in providing assistance in
the response phase. Working with voluntary sector requires agreed-upon joint working arrangements.
Volunteer management, which should include basic training of volunteers, is necessary to prevent
loss or damage to collections and potential injury of volunteers. Procedures of work shall include the
registration of the persons who are allowed into affected areas, and clear ways to identify them.

5.3 Recovering from an emergency

5.3.1 Principles

Recovery starts when the emergency is determined to be over, for example, fires are out, spills are
stopped and contained, any other situation prompting the emergency is under full control, and the
chance of a recurring emergency is deemed minimal.
Recovery is defined as the process of restoring both the emergency site and the affected collections
to a stable and usable condition following an emergency. Recovery actions often continue long after
the incident itself. Each emergency is a unique event that requires careful assessment. And because
recovery can take a long time, it is important to create a strategic plan to identify and protect or
stabilize the most vulnerable and severely affected collections. In reality, the stages of recovery do not
always follow a neatly defined timeline. Yet there are several phases that unfold.
The recovery process includes:
— follow-up communication with emergency response personnel including notification to any outside
agencies or emergency response personnel that were notified during the emergency;

28 © ISO 2019 – All rights reserved

— mitigation strategies to prevent hazards from developing into emergencies altogether, reduce or
avoid the effects of emergencies on the collections and their environment;
— assessment of collection needs and priorities;
— clean-up or replacement of all emergency equipment and verification that all emergency equipment
is fit for use;
— conservation treatment, replacement, and/or reformatting of damaged collection items.
This phase considers both collections that have been directly affected and those that can be indirectly
affected or threatened.
The program is based upon priorities for conservation work, the best methods and options, and cost
estimates.

5.3.2 Management and coordination

Recovery management shall embrace the measures taken before, during and subsequent to any event.
NOTE 1 The success of operational actions in the recovery phase depends on the decisions and priorities
established during the initial response to the emergency.

Specifications to dry and clean the building and the collections shall be discussed with the emergency
preparedness and response plan coordinator for collections and the insurance adjuster.
When the building is affected, the recovery process may be overseen by building management.
In any case, a recovery committee shall include the emergency preparedness and response plan
coordinator for the recovery of collections to advocate for the collections needs.
In some situations, recovery may be overseen by a construction manager answerable to the insurance
adjuster. In this case, and to provide better control of works and costs, an onsite manager shall be named.

University of Toronto User.

Cost estimates to dry and clean the building and the collections shall be ready and available for
all stakeholders including insurance adjuster and decision makers. Cost estimates shall include
conservation consultancy for the assessments of further treatments.
NOTE 2 The interventions for works covered by insurance are determined by the insurer’s agreement.

The provision of recovery services is most effective when coordinated by a unique co-ordination team,
represented by an identified coordinator.
Resources management shall involve the management of all physical resources needed to deliver
effective recovery services. Such resources include locations, equipment, vehicles, office supplies,
records, finance, staff and volunteers.
Services to the public may be phased in over time, depending on the magnitude of recovery needs, and
shall be coordinated with ongoing recovery operations.
Adequate physical resources are essential for recovery teams to be able to perform the tasks required
of them. Management of these resources involves their continuing availability and accountability for
their purchase, hire, maintenance and return.
Recovery workers are part of a multidisciplinary team. Care and support shall be provided to the
recovery teams engaged in stressful duties in disrupted circumstances.
Debriefing and recovery support shall be organized daily to ensure that the details of the experience
are reviewed, along with the mental and physical health of staff.
NOTE 3 4.10.3 provides information on recovery funding.

© ISO 2019 – All rights reserved 29

5.3.3 Assessment

Assessment is an on-going process during the recovery phase.

Assessment during the recovery phase establishes priorities for further treatments including:
— cleaning;
— relabelling, refoldering and reboxing;
— conservation;
— stabilization for creating surrogates;
— replacement.
Assessment shall be conducted with full knowledge of the collections’ legal status. It will include
comparisons of costs based on preservation needs and different scenarios.
Assessment can rely on conservation centres or preservation consultants for specialized items.
Assessment shall result in reports for planning purposes.

5.3.4 Operations planning

This phase covers the period from the hours immediately following activation up to 30 days. It shall be
established if the emergency will extend beyond a 30-day period. The planning should start as soon as
possible after the emergency. Operations to salvage, restore and recover the building and the collections
shall be initiated after approval of the appropriate local or emergency services.
Stabilization treatments and cleaning of collections shall be identified as a priority through a prior
planning process. Procedures and resources shall be ready to use.

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Planning should take into account works covered by insurance. Collection recovery may be postponed
by the clean-up and security-related infrastructure improvements to the building.
Coordinators and response teams for collections shall be prepared to follow a strict schedule, in
particular, those working in the affected area.

5.3.5 Post-emergency mitigation

5.3.5.1 Security

The affected area and the rehabilitation rooms or site shall be monitored and secured against
unauthorized entrance.
A policy shall be established to provide a list of personnel and contractors authorized to enter these
spaces.

5.3.5.2 Protection of collections

When collections shall stay in the building during its recovery, they shall be protected in order to avoid
further damage.
Protection shall be comprehensive and safeguard against further risks, including mould, soot and
construction airborne particles.
In the case of mould, before moving affected items, unaffected collections shall be isolated by draping
the shelves or the area from ceiling to the floor with a tarp. The tarp should remain in place until the
end of evacuation of the affected collections.

30 © ISO 2019 – All rights reserved

5.3.5.3 Clean-up

While every situation will be different, typical actions will include:

— assessment;
— initiation of clean-up;
— treating, storing or disposing of waste, contaminated water, and other material impacted by the
incident.
Clean up measures shall include walls, floors and storage and display furniture in the affected area.
Clean up measures shall include protection of collections, such as isolation or covering as needed. For
the cleaning of collections, time is an important element to avoid further damage, so action shall be
carried out as soon as possible. Conservators shall be consulted when deciding on methods of cleaning.

5.3.5.4 Decontamination

It is common during emergency response activities for ambient air to be impacted by the emergency
and/or response actions. For example, fires impact the ambient air; firefighting often generates
significant water runoff; mould appears rapidly as a result of elevated levels of relative humidity.
During an emergency response action, the institution shall evaluate whether or not environmental
sampling should be performed, and if so, if the sampling should be performed during (if safe to do so) or
immediately after the emergency response.
Sampling can be required to determine:
— if biological or chemical contamination is ongoing;
— health risks;
— extent of contamination;

University of Toronto User.

— degree of facility impacted;
— appropriate treatments required.
In the aftermath of a fire, decontamination can be needed to treat damage caused by smoke and soot.
NOTE 1 Hazardous gases and particulates can be produced when collections and building materials, most
notably plastics, burn, smolder, or off-gas, when subjected to high temperature.

Depending on the extent of the damage, decontamination of the collections can be part of an overall
operation including the building renovation. Decontamination of air shafts or ventilation shafts shall be
required.
Protocol of decontamination as well as all information on products used for the building recovery shall
be validated to meet preservation needs. The institution shall have written specifications regarding
the disclosure of materials used in cleaning to ensure that collections are not harmed chemically or
physically during decontamination operations.
NOTE 2 Ozone which is often used for decontamination after a fire can be detrimental to collections.

5.3.5.5 Rehabilitation space

A rehabilitation space is a site for the reorganization and treatment of a collection. Depending on the
extent of the damage, this space can be needed for a period of several months or years.
The rehabilitation space is indispensable for the storage of affected materials after drying to allow:
— moisture equilibrium;
— triage and reunification of dispersed collections before their return;

© ISO 2019 – All rights reserved 31

— re-boxing, re-foldering, relabelling and cataloguing when needed;

— storage of collections that need further treatments.
Collections in the rehabilitation space shall be stored under conditions that allow their ventilation
and be separated from the treatment space. The ventilation system of the rehabilitation space shall be
completely separated from other storage areas.
The rehabilitation space shall provide space for movement of collections. It shall be equipped at a
minimum with shelves and tables and include electrical outlets for vacuum cleaners, fans, computers
and other devices.
The rehabilitation space shall be accessible for inspections.
When the rehabilitation space is hosted at a remote site, insurance coverage shall be checked.
NOTE 4.10.3 provides information on requirements for insurance coverage.

5.3.5.6 Inspection

Post-emergency mitigation procedures shall include inspection measures of the affected area and
collections.
Inspections in the affected area include measuring the water content of the walls, ceilings, floors and
storage and display furniture to ensure they are dry.
Books and the contents of boxes shall be checked, using a calibrated humidity measurement device, before
they are returned to a repository ensuring that their water content does not exceed 10 % per weight.
Collections are checked against inventory sheets in the affected repository and the treatment room,
when returned from a contractor.
Regular inspections of the collections after treatment shall be conducted before they are returned to the

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main collections and random inspections shall be organized after their return in order to identify any
potential mould growth. Inspections shall be continued throughout seasonal changes after collections
are returned.

5.3.6 Funding for recovery

An assessment shall be conducted to identify the resource shortfalls and the steps necessary to
overcome any shortfalls.
Donation of goods, services, personnel and facilities solicited and unsolicited shall be addressed. The
institution shall demonstrate needs for preservation of collections against external criteria.
NOTE Fund raising can include precautionary actions and unforeseen costs in dealing with the aftermath of
an emergency incident.

5.3.7 Ending of operations

Ending of operations is the orderly, safe and efficient return of an impacted area to a stabilized status.
A plan shall provide agreed-upon procedures to help facilitate return to normal conditions. The faster
an institution can become fully operational, the less the incident will cost. Issues to consider include:
— establishing priorities;
— notifications of the end of operations;
— human resources needed for ending the emergency operations;
— human resources needed for resuming normal operations;

32 © ISO 2019 – All rights reserved

— clean-up of rehabilitation room and return of unused supplies;

— finalized inventory of used items.

5.3.8 Review

Following an emergency, reviewing and reporting shall be conducted in an effort to understand the
impacts of the event and to inform any necessary changes to response plans.
During any emergency incident, documentation of the emergency begins with the initial report of the
emergency by the first responder. All documents generated throughout the emergency become part of
the emergency record. In addition, corrective and preventive actions shall be taken to ensure that such
emergencies can be prevented in the future.
Once the emergency is declared over, the incident investigation process begins, with the purpose of
determining:
— the root cause of the emergency;
— if appropriate emergency response was taken;
— if the emergency preparedness and response plan, emergency and response organization, and
emergency procedures need to be modified;
— corrective and preventive actions to prevent recurrence.
It is essential that the incident and subsequent corrective/preventive actions are documented. A post-
emergency analysis shall include:
— description of the emergency including photographic, video and social media text documentation of
all phases of the event;
— chronological summary of the emergency response;

University of Toronto User.

— details of the effects on the collections;
— formal notification of lost collections;
— impacted collections and their subsequent replacement or conservation;
— damage to infrastructure;
— interruption of services;
— assessment of any barriers to communication among the emergency responders;
— safeguards taken for staff working in the emergency area;
— quantity of collections evacuated, stabilized or treated, the mitigation efforts to avoid risks during
the emergency response and recovery phases;
— positive and/or negative impact on the image of the institution;
— costs of the emergency (rescue of collection items, building renovation, personnel, etc.) plus any
revenue loss (for example, when the institution is closed to the public).

6 Indicators of performance

6.1 General
Benchmarking is a strategic process used to evaluate and measure performance in relation to best
practices.

© ISO 2019 – All rights reserved 33

The criteria fall into the categories of:

— human resource development, training and education;
— planning;
— funding;
— vulnerability assessment;
— information systems;
— collections care;
— coordination.
To achieve these criteria is a long-term process, and the guiding principle is that institutions will need
to prioritize their interventions based on their existing capacity.

6.2 Indicators and methodology

Indicators provide a tool for planning emergency preparedness plans and activities. The framework as
outlined in this document consists of a benchmark and its corresponding standards. Each benchmark
has 5 standards and each standard has 5 indicators against which monitoring can take place. The
indicators are as specific as possible to make them measurable but remain generic. It is up to each
institution to formulate precise and measurable indicators that apply to its situation.
Although the implementation of some indicators might not be the mandate of the preservation sector,
they are important to consider when planning and evaluating the collection preservation sector
emergency preparedness activities. This will help guide analysis of the existing situation and thus
facilitate the establishment of the baseline against which progress will be evaluated (see Table 5).
Use the following chart to assess progress in complying with each indicator (see Table 5).

University of Toronto User.

Table 5 — Scoring mechanism
Score Progress scoring
0 Unknown. The information is not available
1 Does not meet the indicator at all
2 Meets indicator to some extent; marginally effective
3 Meets indicator; partially achieved
4 Meets indicator to a great extent; effective
5 Very effective

Table 6 provides an example of how the above criteria are used to assess progress for a specific indicator.

34 © ISO 2019 – All rights reserved

Table 6 — Indicators
N° Benchmark Standards Indicators Clause/ Score
Subclause
1 Human safety International and Procedures for response team include safety and health information and recommendations 4.10.1
national regulations Personal protective equipment is listed to meet potential threats such as, biological and 4.10.4
chemical contamination, water 5.2.2
Personal protective equipment is pre-positioned 4.10.4

© ISO 2019 – All rights reserved

Workforce rotation principles are detailed in the emergency preparedness and re- 4.11
sponse plan 5.2.2
The emergency preparedness and response plan includes the possible need for care and 5.2.2
support for teams engaged in stressful duties in disrupted situations
2 Advocacy and Advocacy for im- Information on hazards, their sequential development and how to reduce impacts to the 4.2
awareness proved collections and their environment is disseminated with various stakeholders and across
awareness of all levels
Pre-, during
emergency Information related to the building and the collection vulnerabilities is available for the 4.2
and post- event
preparedness emergency committee
measures for

collections Basic information on how to respond to an emergency is disseminated to all staff 4.13.1
The emergency preparedness and response plan coordinator is part of all emergency and 5.3.2
recovery committees to advocate for the collections needs whether directly or indirectly
impacted
Experiences during a drill or an emergency response involving collections preservation 4.13.3
are disseminated to all staff
3 Exercises to Emergency preparedness and response plan awareness activities for collections safe- 4.13.2
test and guarding are integrated in a training policy and program
validate the Training programs developed to reflect anticipated needs /gaps in the development of the 4.13.2
plan emergency preparedness and response plan
Exercises designed for key functions in emergency response and for the implementation 4.13.2
of procedures (tracking, handling, etc.)
Emergency drills based on the emergency preparedness and response plan and involving 4.13.2
all essential sectors are conducted annually
Exercises and drills involve a formal assessment to improve procedures and the perfor- 4.13.3
mance of the emergency preparedness and response plan
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Table 6 (continued)

36
N° Benchmark Standards Indicators Clause/ Score
Subclause
4 Capacity to Capacity to assess The nature of threats and their sequential developments are identified 4.2.1
understand the vulnerability is devel- Potential effects of identified hazards on collections are evaluated based upon the knowl- 4.2.1
effects of risks
ISO 21110:2019(E)

oped among various edge of the materials’ vulnerability 4.2.3

on collections stakeholders
and their The expertise of emergency services is requested for assessing the site risks, deter- 4.2
environment mining appropriate level of response, and reviewing the emergency preparedness and
response plan
The building and the collection vulnerability assessments consider the effectiveness of 4.2.3
the means of protection in place
Gaps in the knowledge or resources on the nature of threats and their sequential develop- 4.2
ments are identified
Methods and tools Information including maps required for the vulnerability assessment of the building and 4.2
the collections is shared among the various stakeholders 4.2.2
A scoring method has been established to assess the severity of the collections’ vul- 4.2.2

nerability 4.2.3
4.10.6
A participatory approach to understand the vulnerability of collections is developed to 4.2
reflect the relationships between criteria and interdisciplinary knowledge 4.2.4
The documentation of the collections' preservation conditions includes lists and location 4.2.3
of all types of materials and media, enclosures and storage furnishings 4.10.6
The assessment of potential damage is documented through scenarios and based upon 4.2.4
knowledge of possible multiplier effects
5 Provision of The minimum need The emergency preparedness and response plan lists essential supplies and logistic 4.10.4
essential for essential collection requirements for the needs of affected or threatened collections in the phase of response
services and preservation needs and recovery
supplies in an emergency has Alternate facilities have been identified 4.10.5
been determined
The arrangements to provide an operation centre for the shelter or the treatments of 4.10.5
collections are identified Annex E
Annex G
Suppliers and transportation means are identified 4.10.4
Annex F
Essential supplies and equipment are pre-positioned in strategic locations 4.10.1
4.10.3

© ISO 2019 – All rights reserved

Arrangements for receiving donations or grants in an emergency are made 4.10.3
5.3.6
Insurance coverage has been checked to meet the needs for collection preservation in an 4.10.3
emergency for response and recovery phases
Insurance coverage has been checked for the protection of staff and volunteers working
in deteriorated situation and after regular working hours
6 Preparedness Giving vulnerable Vulnerable items have been identified and located 4.2.4
and response items special attention The identification of the collections’ vulnerability results in scenarios of possible effects 4.2.4
based on of identified hazards on materials
vulnerability

assessment The identification of the collections’ vulnerability results in a programme of protection 4.2.7
measures
The emergency preparedness and response plan specifies special treatments for vulnera- 4.10.2
ble items
Criteria for prioritized collections are established, documented and validated 4.10.2
Documentation and Priorities of actions in the key phases of an emergency are detailed in procedures 4.10.6
procedures Prioritization of collections results in a list and a quantification 5.2
Exceptions are accurately recorded in a vulnerability management system 4.2.4
Procedures specify that initial response to an incident begins with an assessment of the 5.2
situation and the collections impacted
Procedures and treatment for vulnerable collections have been tested 4.10.6
7 Early warning Early warning for Information systems for sharing and interlinking information between sectors include 5.1
identifying collections the emergency preparedness and response plan coordinator 5.2.2
concerns established The emergency preparedness and response plan coordinator is committed at an early 4.11
stage in the case of an emergency 4.12
5.2.2
Time to initiate an effective response is specified 4.3
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Table 6 (continued)

38
N° Benchmark Standards Indicators Clause/ Score
Subclause
Early warning systems for identified hazards are in place and a response mechanism for 4.11
collection preservation is attached 4.12
ISO 21110:2019(E)

Roles and responsibilities are clearly defined and described to ensure that all required 4.12
functions and tasks are accounted for Annex E
7 Early warning Procedure for de- Emergency levels have been defined 4.3
termining whether The emergency preparedness and response plan identifies the person who should deter- 4.11
an emergency has mine whether an emergency has occurred 4.12
occurred
The emergency preparedness and response plan specifies the activation methods, the 4.11
process of decision and validation 4.12
The emergency preparedness and response plan specifies how the initial assessment shall 5.2.3
be conducted
The emergency preparedness and response plan specifies who should be consulted in 4.11
making the decision and who should be informed once the decision has been made 4.12

5.2.1
An updated list of key personnel and services and off-duty telephone numbers is maintained 4.5
4.10.6
4.12
A succession plan is documented. For each key role a substitute is identified 4.12
A call-out system is in place to save limited resources on-site early in an incident when the 4.5
situation requires a large number of people
Mandates defined 4.11
4.12
5.2.1
Documents and forms that support each activity have been drafted 4.10.6

Following an emergency or a drill, reviewing and reporting is conducted systematically to 4.9.3
understand the impacts of the event and to inform on the necessary changes to the emer- 5.3.8
gency preparedness and response plan
The procedure of revision includes assessing the impact of changes introduced in other 4.9.3
emergency plans inside the institution or at a local level
Frequency of revision is attached to the plan 4.7
9 Standard Documentation Information in words, plans, lists and forms about collections needs for an outsider to 4.10.6
operating understand the area and the actions required for collection preservation
procedures The emergency preparedness and response plan includes and specifies the importance of 5.2.4

the initial report 5.3.8
Annex G
Procedures include that a person is appointed to maintain a record of all key decisions, 5.2.4
actions taken and documentation 5.3.8
Tracking procedures and forms are drafted and tested in advance 5.2
Supporting documentation and procedures for response teams have been drafted in 4.10.6
advance
Management of teams Key members are readily identifiable 4.10.6
Procedures specify information chain between teams and with the strategic unit 4.10.6
Daily briefing and debriefing are organized to ensure that work instructions are clear and 4.10.6
that details of the experience are reviewed 5.3.2
Activities of contractors and/or volunteers are monitored by the institution teams 5.2.5
The emergency preparedness and response plan identifies the process for communication 4.11
and the flow of information between responder teams
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Table 6 (continued)

40
N° Benchmark Standards Indicators Clause/ Score
Subclause
10 Mitigation Risk treatment Priorities defined in a security strategy are based on risk ratings 4.2.5
Risk treatment results from a security strategy that includes the knowledge of the materi- 4.2.6
ISO 21110:2019(E)

als’ vulnerability and the collections’ value

Risk treatment includes detection, the protection of the collections and the protection of 4.2.7
their environment
The effectiveness of monitoring measures is controlled 4.2.7
The resources of the emergency preparedness and response plan capability (size and 4.2.7
structure) are based on a risk strategy
Mitigation during re- The process for assessing and addressing resource shortfalls during an emergency is 5.2.3
sponse and recovery specified and available 5.3.6
phases The emergency preparedness and response plan includes the validation by the preserva- 5.3.5
tion sector of all protocols of decontamination of the building
The emergency preparedness and response plan includes written specifications regard- 5.3.5

ing the disclosure of products used during decontamination operations
The institution is able to demonstrate needs for preservation of collections against exter- 5.3.5
nal criteria
The emergency preparedness and response plan includes post-emergency inspections of 5.3.5
affected collections and repositories

4.12
The emergency committee covering all sectors has defined a project plan and a schedule 4.1.3
for the emergency preparedness and response plan
The emergency committee has defined the validation process of the emergency prepared- 4.6
ness and response plan
Adequate resources are available for emergency training and exercising 4.1.3
4.13.1
Coordination During an emergency, senior management and emergency stakeholders and teams share a 5.2.3
common picture of the situation 5.2.5

The dissemination of the emergency preparedness and response plan is tracked 4.7
The emergency preparedness and response plan is consistent with other emergency plans 4.4
within the institution 4.9.2
4.11
The emergency preparedness and response plan is consistent with local emergency plans 4.4
4.9.2
Lines of authority and procedures are specified in emergency preparedness and re- 4.11
sponse plan
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ISO 21110:2019(E)

Table 6 is a self-assessment guide that can serve as a tool to benchmark the progress the organization is
making in achieving standards.
For example, the average score of “2,5” in benchmark n09, standard operating procedures would indicate
that, overall, there is evidence of limited, but demonstrable progress in meeting the expectation. This
would indicate that the organization is on Level 2 or 3 of Table 7. Although this scoring mechanism
provides a quantitative descriptor of each indicator, the scoring process has a number of methodological
limitations.
— The benchmarks focus primarily on process measures. It is assumed that meeting these process
measurements will result in improved outcomes measured during exercises.
— Despite the objectivity of the evaluation methodology, it still relies on the qualitative judgments by
those completing the assessment.
— Despite efforts to make the document objective, it is difficult to provide complete operational
definitions for some terms. One assessment to another will vary considerably, depending on the
experience and expertise of the assessor.

Table 7 — Measure of implementation level for each benchmark

Level 0: Immature Few measures implemented to strengthen the organization. No coherent
framework and no management direction.
Level 1: Basic Organization strengthened through specific disciplines.
No formal communication on organizational resilience across the organization.
Level 2: Managed Activities are controlled and maintained with results specified. Limited
co-ordination between related activities. Improvements made in isolation.
Level 3: Established Management has set direction and understands the internal and external
environment and how it is changing. Programme to strengthen the organization in
operation.
Level 4: Predictable Strengthening measures implemented and agreed, continual improvement on-going.

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Level 5: Optimizing Activities are repeated, measured, evaluated and continuously improved to meet
objectives. Divisions are proactively cooperating for improvement.
NOTE Based on BS 65000:2014.

Figure 3 is an example of a visualization of this bench-marking process.

a Human exposure.
b Awareness.
c Training.
d Understand the effects of risk.
e Provision of supplies.

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f Vulnerability assessment.
g Early warning.
h Updating.
i Standard operating procedures.
f Mitigation.
g Senior management commitment.

Figure 3 — Indicators of performance applied

Annex A
(informative)

Stakeholders and their roles during an incident

1. Local, state, government agencies

a. Police
— Assists individuals as needed;
— Protects public and private property.
b. Fire brigade
— Initial search and rescue;
— Suppresses fires;
— Assists with damage assessment and damage control.
c. Utility companies (water, power, sewer, telephone, internet providers)
d. First responders, emergency medical response teams/ambulance
e. Locally elected officials
— Establish and maintain an emergency management program;
— Report the status of the recovery effort to the general public;

University of Toronto User.

— Provision of technical assistance and funding;
— Local needs assessment.
f. Local floodplain management authority
g. Civil protection
2. Citizens (public, donors, etc.)
— Apply for emergency recovery assistance;
— Volunteer with emergency relief organizations.
3. Media
— Supply information and directions to the public;
— Disseminate information on preparedness, recovery and mitigation following emergencies;
— Stimulate volunteerism and donations;
— Gain an understanding of the recovery process.
4. Non-profit agencies
a. International Red Cross and Red Crescent Moon
b. Blue Shield

c. International Council on Archives (ICA)

d. International Federation of Library Associations and Institutions (IFLA)
e. International Council of Museums (ICOM)
f. International Centre for the Study of the Preservation and Restoration of Cultural Property
(ICCROM)
g. International Council on Monuments and Sites (ICOMOS)
h. Emergent local groups
5. Contractors
a. Emergency planning and response companies;
b. Debris management;
c. Physical removal of debris;
d. Implementation of post-emergency grant programs;
e. Recovery planning;
f. Recovery vendors for collections (e.g. preservation and conservators specialists, etc.);
g. Insurance:
— Advise service;
— Loss assessment.
6. Associations and collaborative partnerships;

University of Toronto User.

7. Neighbours.

Annex B
(informative)

Example template of response and recovery plan

Table B.1 is an example of a simplified response and recovery plan. This plan could be used as a basis
for a much more expanded plan as detailed in 4.5.
The Pocket Response Plan™ (PReP™) was developed by the United States Council of State Archivists
(CoSA) as part of its Framework for Emergency Preparedness. For additional information, see www
.statearchivists.org.

University of Toronto User.

Table B.1 — State Archives Pocket Response Plan™ (PReP™)
INSTITUTIONAL FIRST RESPONDERS ARCHIVES FACILITY RECORDS CENTER EMERGENCY SERVICE OTHER CONTACTS
CONTACTS PROVIDERS
Agency Head Police Department Building Manager Building Manager Conservator SHRAB — designated contact
  [name]   [phone]   [name]   [name]   [name]   [name]
  [office phone]/[home Fire Department   [office phone]/[home phone]/   [office phone]/[home phone]/   [phone]   [phone]
phone]/ [cell] [cell] [cell]
  [phone] Data Recovery Service Local government records
Building Staff   [name] commission

Deputy Director Emergency medical/ Building Staff   [name]   [phone]   [name]
ambulance service
  [name]   [name]   [office phone]/[home phone]/ Dehumidification Services   [phone]
  [phone] [cell] (building)
  [office phone]/[home   [office phone]/[home phone]/ Local govt association(s)
phone]/ [cell] Security [cell]   [name]
  [phone]
State Archivist   [phone] Utilities Utilities   [phone] National Archives
Regional Office
  [name] State EMA Electricity/gas Electricity/gas Document Recovery   [phone]
Services
  [office phone]/[home   [phone]   [name]   [name] National Archives
phone]/ [cell] (freeze drying) (Washington DC)
Local EMA   [phone]   [phone]

State Records Manager   [phone] Telephone Telephone   [name]   [name]
  [name] State Command Center   [name]   [name]   [phone]   [phone]
  [phone]
  [office phone]/[home   [phone]   [phone] Exterminator Natl Endowment for the
phone]/ [cell] Humanities
  [name]
Department/Section State Police Water Water   [phone]   [name]
Manager1
  [phone]   [name]   [name] Freezer Space   [phone]
  [name]
Highway Patrol   [phone]   [phone]   [name] Institute for Museum and
  [office phone]/[home Library Services
phone]/ [cell]   [phone] Internet provider Internet provider   [phone]
  [name]
Sheriff   [name]   [name] Industrial Hygienist (mould)
Department/Section   [phone]   [phone]   [phone]   [name]   [phone]
Manager2
Centers for Disease Control Elevators Elevators   [phone] Natl Historical Publications
  [name] and Records Commission
  [phone]   [name]   [name] Refrigerated Trucking Service
  [office phone]/[home   [name]
phone]/ [cell]   [phone]   [phone]   [name]   [phone]
Preservation Manager Red Cross Security / fire system Security / fire system   [phone] American Association for
provider(s) provider(s) State and Local History
  [name]   [phone  ]
  [name]   [name]
  [office phone]/[home
phone]/ [cell]   [phone]   [phone]
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Table B.1 (continued)

48
TEAM STATE GOVT OFFICIALS MUTUAL AID PARTNERS REGIONAL
PRESERVATION
Conservator ARMA International
  [name] SERVICES   [name]
  [office phone]/[home   [phone]
phone]/ [cell]
Local Governments Manager Team Leader Chief Information Officer/IT Dept   [institution]   [name] National Association of
ISO 21110:2019(E)

Government Archives &

  [name]   [name]   [name]   [name]   [phone] Records Administrators
  [office phone]/[home   [office phone]/[home phone]/   [phone]   [phone]   [name]   [name]
phone]/ [cell] [cell]
Parent agency contact Member 1 Risk Manager   [institution]   [phone]   [phone]
  [name]   [name]   [name]   [name]   [name]
  [office phone]/[home   [office phone] / [home phone]/   [phone]   [phone]   [phone] Society of American
phone]/ [cell] [cell] Archivists
  [institution]
Member 2 Department of Public Health   [name] Council of State Archivists
(CoSA)
  [name]   [phone]   [phone]
  [name]
  [office phone]/[home phone]/ Purchasing Agent
[cell]   [phone]

  [phone]
Member 3
  [name]
  [office phone]/[home phone]/
[cell]
Member 4
  [name]
  [office phone]/[home phone]/
[cell]

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Table B.1 (continued)
Response checklist for emer- Assessment, salvage, recovery Response checklist for state- Provide or coordinate Protect vital records or Using the FEMA Conference
gency in a state archives or wide response emergency services those Line
records facility containing sensitive or
personal data
   Ensure that all hazards are
cleared before entry Follow these steps as you    Obtain appropriate 800–320–4330
Follow these steps as you respond to an emergency with a permissions to enter disaste
respond to an emergency in    Assess and document damage regional or statewide impact. site from public safety    Assess status of secure The toll-free conference line
the state archives or records to collections, building, authorities, storage facilities may be used by any state
centre. information systems Identify and contact agencies or public health department archives and/or records
repositories that might be    Check condition of vital management agency for
Coordinate your Archives         What type of an affected    Deliver services to records records-related planning or
emergency was it (fire,

response repositories in need: response purposes.
smoke, chemical, clean    Obtain appropriate storage
   Recognize and define the water, dirty water, heat,         Connect institutions in space for threatened vital To schedule a call on the
emergency humidity)?    Use directories to locate need with services (send records line, contact a CoSA
state agency field offices, local vendor/supplier list from representative:
   Notify public authorities         What areas have been governments, and archival state ARM emergency    Determine if microfilm
and first responders affected? repositories plan) or other duplicates of vital   [name]
records are stored elsewhere
   Ensure that all staff and         What is the nature of    Establish mechanism for         Recruit volunteers    Assist affected agency or   [phone]
visitors are safe and the e? local governments to call in and repository to establish salvage

Educate and train

accounted for for state archives to reach out  Provide supplies priorities

responders
 Contact risk manager and  How much of the using the dedicated toll-free  Facilitate trips The CoSA representative
insurance agent collection has been number provided by FEMA (see will relay your request to
 Conduct assessments

affected? last column) FEMA staff who will lock in
   Activate the Disaster Plan    Coordinate deployment of the schedule for the calls (to
        What types of materials    Account for all affected         Assist with public staff and volunteers to
   Activate the Disaster Team relations prevent overlap of
have been damaged? repositories affected areas conferences) and maintain
   Activate Archives    Are critical information    Determine if state ARM is         Provide recovery    Train response and a log of all conference line
command centre systems functional / safe? holding a copy of affected assistance salvage crews activity.
   Establish communication organizations’ emergency    Contact outside emergency
   Maintain security response plans
with staff, public service providers
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Table B.1 (continued)

50
Phone tree Establish and maintain
channels of communication
   Stabilize the environment at    Confirm funding sources for CoSA will provide you with
your facility emergency services the pin number that call
[customize to fit your participants will use to
repository]    Identify and gather     Make contact with state and connect to the conference
emergency supplies local EMA (emergency call.
                                                  management agency)
        Locations:    Post staff at EMA Command The toll-free line is for
ISO 21110:2019(E)

Center official use only, either (1)

   Contact aid partners during emergencies and
   Contact CoSA to schedule disasters or (2) for
   Contact outside emergency “meet me” call on the toll-free
service providers coordination calls for
line planning purposes.
   Begin salvage    Establish communication The conference call line can
with appropriate local hold up to 50 separate
   Contact news media government networks callers at one time. There is
   Report status to constituents    Post emergency information no maximum time limit on
the length of a conference
and instructions on Website call; however each
   Contact NARA Regional conference should be
Archives properly scheduled so there
are no conflicts with other’s
   Establish communication use of the conference

with FEMA, other NARA officials number.
 Contact risk manager and
insurance agent
 Contact the news media

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ISO 21110:2019(E)

Annex C
(informative)

Emergency planning — Principal components

Figure C.1 illustrates the general process of preparing and planning for any emergency threatening
collections.

(Clause 4)

University of Toronto User.

Figure C.1 — Emergency planning — Principal components

Annex D
(informative)

Suggested roles and responsibilities during relocation

Table D.1 summarizes certain roles and responsibilities which are highlighted in this document.

Table D.1 — Suggested roles and responsibilities during relocation

Decision to relocate
Information and communication — Inform the emergency committee

— Inform the staff

— Communicate with authority

— Inform the public

Mobilization of the response teams and experts
Coordination of response teams — Register team members

— Assign roles including team leaders

— Brief and debrief

— Provide with information on progress

— Inform decision-making authority

Evacuation route planning Inside the building:

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(inside or outside the building)
— Avoid public areas if not closed

Outside:

— Identify best routes according to on-going risks

— Verify access and conditions of parking

Logistics — Gather and disseminate crates and packing materials

— Resupply

— Administer contact lists

— Contact external specialist

— Contact contractors
Transport — Specify the type of vehicle needed

— Check the availability of vehicles and drivers

— Identify the need of escort

Handling and packing
Registration — List outgoing collections from the affected area

— List incoming collections in the alternate room or site

Consignment of tracking forms — Maintain files

Annex E
(informative)

Typical list of tasks in the case of water leakage

Upon arrival at the affected zone, the emergency response team would typically follow the general steps
below, recognizing that all situations are different and can call for different actions (see Table E.1).

Table E.1 — List of tasks in the case of water leakage

Function Tasks Staffa
Containment — Stop the water at its source
— Deploy absorbent roll and pads
— Evacuate water on the floor
Provide needed supplies See list in Annex F, Table F.1
Protection Tarps
Assessment — Identify the extent of the situation
— Quantify the extent of damages
— Qualify the damage: materials required/treatment required
affected/treatment
Stabilization — Dehumidify
— Freeze when required
— Check residual flow of water or remaining water. Check for
damp items or remaining water in the affected area

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Evacuation of affected — Retrieval
documents — Triage of most vulnerable materials
— Crating documents according to triage
Tracking the evacuated In the affected zone, tracking includes:
documents
— Labeling the crates
— Counting documents/crates and treatment scheme
— Fulfil tracking forms
In the treatment zone, tracking includes:
— Checking the number of crates
— Checking the number of document/crate
— Checking the number of document/ treatment scheme
— Establish a list of documents / treatment scheme
Preparation of a treatment Requisitioning of a room
zone
Arrangement of the room providing separated zones for actions
including:
— Reception of crates
— Treatment schemes according to special materials or techniques
— Stock of needed supplies
a Number of staff will depend on the incident. Staff could have multiple roles.

Table E.1 (continued)

Function Tasks Staffa
Conservation specialist / — Contact
contractors
— Check the funding policy and insurance coverage

— Insurance coverage for transport

— Safety of the remote site or contractors site

Prepare for evacuation to a — Crating and tracking
remote site or contractor
— Check transport means and routes, parking possibilities

— Convoy

— Specifications and procedures for treatment

Treatments — For air drying, blotting paper and fans

— Periodical change of blotting paper (average period of 1 week)

— Pressing for an average period of 1 week

a Number of staff will depend on the incident. Staff could have multiple roles.

University of Toronto User.

Annex F
(informative)

List of supplies

Table F.1 — List of supplies

Health and safety Caution tape
Work gloves
Nitrile gloves
Properly fitted articulate respirator tested by wearer and dust masks
Safety goggles
Medical cabinet
Boots
Chemical resistant gloves
Personnel Protective Equipment (PPE) suit
Hand sanitizer
Flash lights or head lamp
In affected zone Wet vacuum
Camera
Tarps including fire retardant polyethylene sheeting sized to cover
stack ranges
Supply to secure the tarps (sturdy metal clips…)

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Paper towels
Absorbent rolls and pads
Clotheslines and clips
Blotting paper
Mops and buckets
Fans for drying ceiling and floor
Crates and openwork crates
Ladder
Scissors
Utility knife
Carts/hand trucks
Dehumidifier
Tape
Screw drivers
Wrenches
Tracking labels
Clip boards
Pencils and sharpeners or mechanical pencils and lead refills
Mallets or hammers
Large trash cans

Table F.1 (continued)

Crowbars
Pre-printed forms and labels
In treatment room Polyethylene sheeting
Large trash cans
Ziplock polyethylene bags (various sizes)
Dry cleaning sponges
Blotting paper
Tables
Fans
Carts/hand trucks
Distilled water
Kraft paper
Mops and buckets
Forms: condition assessment, tracking, etc.
Tracking labels
Clip boards
Pencils
Scissors
Clotheslines and clips
HEPA vacuum cleaner
Communication Cell phone
Walkie talkie

University of Toronto User.

Annex G
(informative)

Example of a daily occurrence report form

Table G.1 — Example of a daily occurrence report form

NAME
Function

Date Hour Name/role (or function) of Information given Actions recommended/done

the person who called

University of Toronto User.

Bibliography

[1] Chuo-Koron Bijutsu Shuppan, Risk preparedness for heritage properties, Development of
Guidelines for Emergency Response, Tokyo, 1999
[2] International Council on Archives, Committee on Prevention, “ICA study n°11: Guidelines
on Disaster Prevention and on Control in Archives”, ICA, 2011. Available at http://www.ica
.org/sites/default/files/ICA_ Study-11-Disaster-prevention-and-control-in-archives_EN.pdf
[3] OCTO Ltd and Cranfield University, Performance indicators for the assessment of
emergency preparedness in major accident hazards, HSE, 2001. Available at http://www.hse.gov
.uk/research/crr_pdf/2001/crr01345.pdf
[4] OCTO Ltd and Cranfield University, Benchmarking emergency management good practice,
Symposium series, 2001. Available at
[5] Regional Emergencies & Disaster Support, (REDS)
[6] M25 Consortium of Academic Libraries disaster control plan site, 1998, revised 2004
[7] Information management and communication in emergencies and disasters: manual for disaster
response teams, Area on Emergency Preparedness and Disaster Relief, Washington, D.C., 2009
[8] Roper (M.), Planning for emergencies: a procedures manual, International Council on Archives,
International Records Management Trust, 1999
[9] Wise , (C.), Thinking the unthinkable: disaster planning for the M25 Consortium of Academic
Libraries
[10] Unesco, Memory of the world, General guidelines to safeguard documentary heritage, 2002

University of Toronto User.

[11] Unesco, Disaster planning: Prevention, Preparedness, Response, Recovery, part of safeguarding
our documentary heritage website. http://webworld.unesco.org/safeguarding/en/pdf/txt
_sini.pdf
[12] ISO 22300:2018, Security and resilience — Vocabulary
[13] ISO 22320, Societal security — Emergency management — Requirements for incident response
[14] ISO Guide 73:2009, Risk management — Vocabulary
[15] ISO/TR 19083-1:2016, Intelligent transport systems — Emergency evacuation and disaster
response and recovery — Part 1: Framework and concept of operation
[16] ISO 14001:2015, Environmental management systems — Requirements with guidance for use
[17] ISO 31000:2018, Risk management — Guidelines
[18] ICCROM, First Aid to Cultural Heritage in Times of Crisis, Handbook, Available at: https://www
.iccrom.org/sites/default/files/2018-10/fac_ handbook_print_oct-2018_ final.pdf
[19] ICCROM, First Aid to Cultural Heritage in Times of Crisis, Toolkit, Available at: https://www
.iccrom.org/sites/default/files/2018-10/fac_toolkit_print_oct-2018_ final.pdf
[20] ICCROM, UNESCO Endangered Heritage, Emergency Evacuation of Heritage Collections, Available
at: https://www.iccrom.org/sites/default/files/2017-12/endangered-heritage_interactive.pdf
[21] CCI, ICCROM Guide to Risk Management, Website: https://www.iccrom.org/publication/guide
-risk-management

[22] ISO/IEC 27031:2011, Information technology — Security techniques — Guidelines for information
and communication technology readiness for business continuity
[23] EN 15898:2011, Conservation of cultural property — Main general terms and definitions
[24] ISO 11799, Information and documentation — Document storage requirements for archive and
library materials
[25] ISO/TR 19814, Information and documentation — Collections management for archives and
libraries
[26] ISO/TR 19815, Information and documentation — Management of the environmental conditions
for archive and library collections
[27] BS 65000:2014, Guidance on organizational resilience

University of Toronto User.

ICS 97.195; 01.140.20
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ISO21110 Emergency Response

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ISO21110 Emergency Response

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Copyrighted material licensed to University of Toronto by Techstreet LLC, subscriptions.techstreet.

com, downloaded on 2021-05-14 08:59:12 +0000 by

Information and documentation —

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University of Toronto User.

COPYRIGHT PROTECTED DOCUMENT

ii ﻿ © ISO 2019 – All rights reserved

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© ISO 2019 – All rights reserved ﻿ iii

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iv ﻿ © ISO 2019 – All rights reserved

University of Toronto User.

© ISO 2019 – All rights reserved ﻿ v

Information and documentation — Emergency

3 Terms and definitions

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[SOURCE: ISO/IEC 27031:2011, 3.3]

© ISO 2019 – All rights reserved ﻿ 1

[SOURCE: ISO 22300:2018, 3.78]

[SOURCE: EN 15898:2011, 3.4.6]

[SOURCE: ISO Guide 73:2009, 3.5.1.4]

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[SOURCE: ISO 22300:2018, 3.115]

2 ﻿ © ISO 2019 – All rights reserved

[SOURCE: ISO Guide 73:2009, 1.1]

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4.1 Process of preparing

© ISO 2019 – All rights reserved ﻿ 3

Figure 1 — Process of preparing

NOTE See Annex C for a detailed diagram of emergency planning.

4.1.2 Establishing an emergency committee

An emergency committee shall be established.

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4.1.3 Establishing a documented program

4 ﻿ © ISO 2019 – All rights reserved

— budget, purchase, and maintenance of standard emergency supplies and equipment;

4.1.4 Stating the emergency preparedness and response plan’s objective

4.2 Understanding identified risks and their impact

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© ISO 2019 – All rights reserved ﻿ 5

— potential impacts on these;

4.2.2 Identifying hazards

Table 1 ranks the likelihood of hazards.

Table 1 — Ranking the likelihood of hazards

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6 ﻿ © ISO 2019 – All rights reserved

4.2.3 Identifying building vulnerability

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Table 2 — Building vulnerability rankings

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4.2.4 Identifying collections vulnerability

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— thieves, vandals, displacers;

Table 3 — Collections vulnerability rankings

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4.2.6 Risk analysis

The risk analysis shall consider consecutively distinct risks.

Table 4 — Risk rankings

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4.2.7 Security strategy

4.2.8 Risk management and monitoring measures

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4.3 Definition of emergency levels and phases

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4.4 Alignment with other emergency plans

4.5 Plan content

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© ISO 2019 – All rights reserved ﻿ 11

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4.6 Plan validation

4.7 Plan publication and distribution

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4.8 Plan presentation

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4.9 Plan maintenance procedures

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