Unit Introduction and Overview

1
Unit Introduction and Overview

• Unit objective
• Describe the elements of an effective vital
  records program.

2
Identifying and Safeguarding Vital Records

• Electronic and hardcopy documents, references,
  and records needed to support essential functions
  during a COOP situation.

3
Identifying and Safeguarding Vital Records
What are some examples of vital records?
4
Identifying and Safeguarding Vital Records

• Examples
• Delegations of authority
• Customer records
• Financial records
• Policies and Directives
• Standard Operating Procedures

5
Identifying and Safeguarding Vital Records

• Categories of vital records
• Emergency operating records
• Legal and financial rights records

6
Identifying and Safeguarding Vital Records

• Two types
• Static records may change little or not at all.
• Active records change constantly with
  circumstances or completed work.

7
Characteristics of an Effective Vital Records
Program

• An effective vital records program provides for
• Identification.
• Protection.
• Ready availability.

8
Components of an Effective Vital Records Program

• Official establishment of the program and
  assignment of responsibility
• Specifies purpose and scope
• Assigns roles and responsibilities
• Provides for staff training
• Requires periodic review and testing

9
Components of an Effective Vital Records Program

• An appropriate medium for accessing vital records
  
• within 12 hours of COOP activation
• LAN
• Vital electronic records
• Critical information systems and data
• Internal and external e-mail and archives
• Vital hardcopy records

10
Components of an Effective Vital Records Program

• Maintenance of a complete inventory of records
• Location after records
• How to access information

11
Components of an Effective Vital Records Program

• A risk assessment to
• Identify the risks involved if vital records are
  retained at their current locations and in their
  current mediaand the difficulty of
  reconstituting them if they are destroyed.
• Determine if offsite storage is necessary.
• Determine if alternate storage media are
  advisable.
• Determine if duplication is advisable.

12
Components of an Effective Vital Records Program

• Selection of appropriate protection methods,
  including
• Dispersal to other locations
• Special media needs

13
Components of an Effective Vital Records Program

• Procedures for routinely updating vital records.

14
Components of an Effective Vital Records Program

• Identification of records recovery experts and
  vendors to assist with recovery in the event of
  damage or loss.

15
Components of an Effective Vital Records Program

• Development and maintenance of a vital records
  packet that includes
• A list of key personnel and disaster staff with
  up-to-date telephone numbers.
• A vital records inventory with precise locations
  of all vital records.
• Necessary keys and/or access codes.
• Alternate operating facility locations.

16
Components of an Effective Vital Records Program

• Development of training for all involved staff
• Periodic briefings to managers
• Staff training

17
Components of an Effective Vital Records Program

• Periodic program review that
• Addresses new security issues.
• Updates information.
• Identifies additional vital records.
• Provides an opportunity to familiarize staff with
  the program.

18
Components of an Effective Vital Records Program

• Testing capabilities for
• Protecting classified and unclassified vital
  records and databases.
• Providing access to vital records from alternate
  operating facilities.

19
Group Discussion Establishing a Vital Records
Program
20
Summary and Transition

• This unit
• Introduced safeguarding vital records.
• Next unit
• Selecting Alternate Facilities (Unit 6)

21
Summary and Transition

• Questions?