Vital Records Fuel Your Recovery…..

Donna Read, CRMFlorida Gulf Coast ARMA

November 16, 2010

Are You Running on Empty????

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

IMPORTANT

USEFUL

NONESSENTIAL

3%–7%

50%–75%

15%–25%

20%–30%

VITAL

Two Types of Vital Records

Emergency Operating Records: Orders of succession and delegations of authority Staffing assignments Vital records inventoriesRights 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 Priority

1 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 action planBusiness continuity planVital records manualCurrent facility drawingsPersonnel security clearance files

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 client filesIn-progress accounts payable and accounts receivableResearch documentationCurrent contracts and agreements

Priority 3

These records and information are essential for legal or audit purposes.

Physical protective storage is accessible and outside the disaster area.

Accounts payable and accounts receivable filesExisting contracts and agreementsUnaudited 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 SchedulePreparation of a vital records schedule entails

the following steps:

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

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, CRMSenior Records AnalystNational Archives & Records AdministrationFlorida Gulf Coast ARMA ChapterVice Presidentdonna.read@nara.gov