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Section 2: Threats and Protection

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Introduction

This section contains information on potential threats to vital records, methods of protection, storage equipment and conditions. TxDOT must carefully consider the maintenance, storage equipment, and conditions of archival and vital records. They should adhere to established procedures to protect against potential threats.

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Potential Threats to Records

Potential threats to records include the following:

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Methods of Records Protection

Districts and Divisions that are the Office of Primary Responsibility for vital records are accountable for taking measures to protect, maintain and store those records for the period established in the Records Retention Schedule.

Below is a list of four effective methods of protection in the order of their expenses:

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Method

Description

Duplication and Dispersal
  • Dispersal is the practice of maintaining convenience copies of a vital record in more than one location on the assumption that a disaster is unlikely to affect two different locations at the same time.
  • There are two types of dispersal: Routine and Planned. Either way, you should document specific remote storage locations in Disaster Recovery Procedures (see Chapter 13 “Disaster Recover Planning”)
  • Routine dispersal is frequently used in an agency with more than one office location. During regular business, vital records are sent to several different locations for use and reference. If these records are maintained at two or more locations, and employees are aware that the records are vital, additional protection may not be required.
  • Planned dispersal is the distribution of a convenience copy of a vital record specifically for protection purposes. The convenience copy can be in any media or format. The secondary convenience copy is sent to another storage location until the records are no longer considered vital or retention requirements are met.
  • Periodic inspection and duplication can arrest the aging process to some degree.

On-Site Storage
  • On-site storage involves storing back-up convenience copies in special storage equipment in, or near the office location. Fire-resistant files or vaults are used most often. Use storage equipment designed specifically for the record medium (paper, film, electronic) and use it only for vital records.
  • Place equipment carefully, with disaster prevention in mind. Equipment should be on an outside wall, if possible. In fires, structures tend to collapse toward the center, where the fire burns hotter and longer. Do not store vital records in a basement. Basements collect water from efforts to extinguish fires, and flooding is an obvious danger.

Off-Site Storage
  • Off-site storage involves storing back-up convenience copies in a remote location and is best for official records that are referenced infrequently. Off-site storage locations in Austin include the Records Warehouse and the State Records Center.
  • Districts may develop storage areas or choose to use a commercial off-site storage facility. Considerations in selecting a commercial facility include the following:
    • Speed of access to the records.
    • Access control and security at the facility.
    • Environmental conditions (temperature, humidity, protection from outside air infiltration and electromagnetic fields, insect, and rodent control) related to the type of record media stored.
    • Whether the facility meets National Fire Protection Association/American National Standard Institute standards for off-site storage.
    • Availability of auxiliary power to maintain environmental conditions in the event of utility power failure.
    • Availability of insurance for the center and the records.
    • Type of fire prevention, detection and suppression-systems used.
    • Type of filing index system used.
    • Procedures for receipt, transfer, and disposal of records.
    • Existence of an established Disaster Recovery Plan.
    • Availability of duplication and reproduction equipment.
    • Client references.

Microfilm or Imaging
  • Microfilming or imaging offer back-up protection by creating duplicate convenience copies. Because of the expense and labor involved in imaging, this alternative should only be considered for records that are vital through a lengthy retention.

NOTE: Do not store microfilm or CDs in fire-resistant cabinets. In a fire, the insulation in the cabinet creates steam on the inside of the cabinet. Moisture and heat at relatively low temperatures will destroy film and plastic while not harming paper. Microfilm and electronic back-up media require periodic inspection and possibly duplication when used to retain records for lengthy periods of time, especially if the media is stored in unfavorable conditions.



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Storage Equipment and Conditions

Records protection equipment, such as fire-resistant file cabinets, safes, or vaults, is rated for safety and damage resistance. Labels on the equipment certify that it has been tested for its capacity to withstand specified levels of intense heat, sudden cooling, and severe impact.

Texas State Library and Archives Commission State Agency Bulletin 2 “Microfilming Standards and Providers”, Section 6.26 “Storage of Original Microfilm” requires the following storage climate conditions for microfilm:

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  1. For microfilm of records with a retention of 10 years or more, temperature must not exceed 70 degrees Fahrenheit, and a constant relative humidity of 35% must be maintained with a maximum variance of plus/minus 5.0% relative humidity in a 24-hour period.
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  2. For microfilm of records with a retention of less than 10 years, the maximum temperature must not exceed 77 degrees Fahrenheit, and a relative humidity range between 20% and 50% must be maintained with a maximum variation of plus/minus 5.0% relative humidity in a 24-hour period.
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