Transcript Where are Records Found?

Vital Records Fuel
Your Recovery…..
Are You Running
on Empty????
Donna Read, CRM
Florida Gulf Coast ARMA
November 16, 2010
What are Vital Records?

Essential records that are needed to meet operational
responsibilities under emergencies or disaster conditions
(emergency operating records)

or to protect the legal and financial rights of the organization
and those affected by the organization’s activities
(legal and financial rights records)
Where are Records Found?
Use Existing Documentation to
Track Down Vital Records
Company mission statement
 Organization Charts
 Follow the $$$$$
 Records Retention Schedule
 IT Department Backup Schedule

Record Value Scale
VITAL
3%–7%
IMPORTANT
USEFUL
NONESSENTIAL
15%–25%
50%–75%
20%–30%
Two Types of Vital Records
Emergency Operating Records:

Orders of succession and delegations of
authority

Staffing assignments

Vital records inventories
Rights and Interests Records:

Payroll and retirement records

Insurance records

Certain contracts, entitlements, and leases
Type I
Emergency Operating Records

Records needed to resume and/or
continue operating during an
emergency or disaster
– Emergency plan, Delegation of Authority,
building plans, system manuals, files
plans/records locations, vital records
inventories, and equipment inventories
Type II
Legal and Financial Rights
Records

Records needed to re-create legal and
financial operations and safeguard the
interests of the organization, its employees,
and its clientele
– Accounts receivable
– Social Security, payroll, and retirement
– Land titles, deeds, treaties, leases, contracts,
insurance, licenses
– Research findings, licensing and compliance,
product development
– Obligations whose loss would pose significant risk
Essential Functions

Determine the essential activities that
the organization must continue to
perform under adverse operating
conditions, and the steps necessary to
resume regular business operations

Analyze and prioritize your organization
and departmental mission
1890 Census records after fire of 1921
(NARA photo:NWDNS 64-NA-134)
Using a Prioritization System for
Availability

Priority 1 includes records that are needed immediately
following a disaster or emergency
– These records may include continuity of operations or
occupant emergency plans, telephone trees, delegations of
authority, security clearance rosters, building blueprints, media
policy directives, vital records inventory lists, and employee
benefit information

Priority 2 would include records that are needed to respond to
the emergency and those that are needed once you get back
into your building or office

Priority 3 would contain records that are needed off-site to work
on specific programs or projects critical to your organization’s
mission
Class Definition
Access
Example
These records and information are
essential for emergency operations.
Physical protective storage
is close to disaster
response site for
immediate access.
Electronic replication
methods are available for
immediate access of
information.
Emergency
Priority
2
These records are essential for quick
resumption and continuation of business
following a disaster.
Physical protective storage
is close to disaster
recovery site for quick
business resumption.
Electronic methods are
quickly accessible, and
backups can be quickly
restored.
Current
Priority
3
These records and information are
essential for legal or audit purposes.
Physical protective storage
is accessible and outside
the disaster area.
Accounts
Priority
1
action plan
Business continuity plan
Vital records manual
Current facility drawings
Personnel security
clearance files
client files
In-progress accounts
payable and accounts
receivable
Research documentation
Current contracts and
agreements
payable and
accounts receivable files
Existing contracts and
agreements
Unaudited financial
records
*ARMA International, ANSI-ARMA 5-2003 Vital Records: Identifying, Managing, and Recovering Business Critical Records
Fluid or Stationary
 Dynamic
vital records
contact lists
 Static
vital records
birth certificate
Can You Be More Specific?
 Unfortunately,
no!
Each organization’s functional responsibilities
and business needs are different. So each
organization must decide what records fit the
definition, and assign responsibility for those
records to appropriate staff.
Determine Business Needs
Conduct a Business Impact
Assessment (BIA)
 BIA will:

– Identify effects on an organization if a risk
should occur
– Identify critical functions
– Identify vital records
Steps for Performing a BIA
 Identify the following:
 Critical services, systems, projects, or
functions
 Responsible staff
 Engage responsible individuals to
conduct a workflow analysis and gather
information on key dependencies of the
service, system, project, or function.
Steps Performing BIA cont.

Rank services, systems, projects, or
functions, based on gathered
information.

Advise management of the priorities
assigned to services, systems,
projects, or functions. Focus planning
efforts on those in Priority 1 category.
These records and information are essential for emergency
operations
Identify Critical Functions and
Needs

What business functions are performed
by your agency?

What records are created by that
function or functions?
Identify Critical Functions and
Needs cont.

What functions are vital to your
organization and not done elsewhere?

Is there an alternative method of
carrying out the function or functions
during the stabilization period?
Determine Protection Strategies
Prevention and Mitigation
 Automatic/Routine Dispersal
 Planned Dispersal
 Evacuation
 E-vaulting
 Vaulting

Duplication of Original Records

Duplication/Copying
– Formats
– Microform
– Digital formats
– Backup tapes
– Paper
Storing Vital Records
On-site
 Off-site:

– At another office
– In a commercial Records Center
– In a "hot" site
– In a "cold" site
Vital Records Need to Be
Maintained
and Up-to-Date

Cycling needs to be part of the plan

Cycling may be done on a daily, weekly,
quarterly, or annual
basis—depending on
the need
Developing a Vital Records
Schedule
Preparation of a vital records schedule entails
the following steps:


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Inventorying
Analyzing
Classifying
Establishing priorities
Choosing media
Choosing method of protection
Developing Procedures to Ensure
Access

Availability of critical information is crucial to
the continuation of operations. Therefore,
organizations must develop procedures for
the use of vital records during an emergency

Document the policies, authorities, and
responsibilities of company officials, and
procedures governing the vital records
program, in appropriate issuances such as
directives or procedural manuals
NASA Jet Propulsion Lab –
California 2009
Developing "Fly Away" Kits

In the event of an emergency, there will be
certain organization officials who will be on
call immediately following a disaster

To provide an extra level of security and
assurance that these essential personnel will
have access to vital records, they should be
provided with "Fly Away" kits or packets that
contain certain vital records and information

Plan to keep "Fly Away" kits up-to-date
Developing "Fly Away" Kits
(cont’d.)
COOP Plan
 Delegations of
authority
 Media procedures
 Emergency
telephone lists
 Vital records plan

Passwords
 Access codes
 Emergency
passes
 Directions to a
"hot" site

Summary

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Definition of a vital record needs to be
common knowledge
Determine most likely locations
Understand the two types of vital records
Prioritize for availability
Do a Business Impact Analysis
Identify critical functions
Put protection strategies in place
Create Vital Records schedule
Have “Fly Away Kits” in place
Questions?

Donna Read, CRM
Senior Records Analyst
National Archives & Records Administration
Florida Gulf Coast ARMA Chapter
Vice President
[email protected]