Vital Records Management A Briefing for Federal Agencies National Archives and Records Administration Northeast Region Pen...
Federal Records <ul><li>A record is  anything  created or received by agencies  or   contractors in the course of governme...
Vital Records Program <ul><li>A vital records program identifies and protects those records that specify how an agency wil...
Vital Records <ul><li>Emergency Operations Records:  Needed  During  an Emergency </li></ul><ul><li>Must be immediately ac...
Emergency Operations Records <ul><li>Examples: </li></ul><ul><li>Emergency/ Continuity of Operations (COOP) Plan. </li></u...
Emergency Operations Records <ul><li>Electronic Format </li></ul><ul><li>Website & E-Mail - To communicate with and provid...
Rights and Interests Records <ul><li>Are essential to protect the legal and financial rights of the Government and of the ...
Rights and Interests Records <ul><li>Not necessary to immediately re-establish operations </li></ul><ul><ul><li>Not needed...
Vital Records <ul><li>Your  vital records   will be no more than 7% of your total records (3% to 5% is likely) </li></ul><...
Regulations and Guidance <ul><li>36 CFR 1236 - Management of Vital Records </li></ul><ul><li>Federal Preparedness Circular...
Federal Preparedness Circular 65 (FEMA) <ul><ul><li>The protection and ready availability of electronic and hardcopy docum...
Vital Records Plan <ul><li>Vital Records Program must be incorporated into the overall Continuity of Operations Plan (COOP...
Agency/Business Impact Analysis   <ul><li>Identify agency/business functions </li></ul><ul><li>Determine impact of inciden...
Risk Assessment <ul><ul><li>Lost document  </li></ul></ul><ul><ul><li>Ability to provide secondary services  affected </li...
Risk Assessment <ul><li>How do you rate these risks? </li></ul>0 100% 100% Likelihood I m p a c t Meteor strike Water dama...
Vital Records Plan <ul><li>What type of information is needed during an emergency? </li></ul><ul><ul><li>What are the crit...
Vital Records Plan <ul><li>Which records support critical program activities?  </li></ul><ul><ul><li>Emergency personnel l...
Each agency’s functional responsibilities and business needs are different.  So an agency must decide which records are vi...
Identify Vital Records <ul><li>Method </li></ul><ul><ul><li>Survey or questionnaire </li></ul></ul><ul><ul><li>Physical in...
Prepare   Copies <ul><li>Paper -   Generally accessible under the worst circumstances </li></ul><ul><li>Electronic -   Req...
Vital Records Vital Records must be updated often.  They should be rotated or cycled on a regular basis so the latest vers...
Storage/Dispersal <ul><li>Vital records should be stored off-site </li></ul><ul><li>30 miles away for emergency operating ...
Off-Site Storage Options <ul><li>Regional Office </li></ul><ul><li>Agency Owned and Operation Facility:  </li></ul><ul><li...
Vital Records <ul><li>Document (make a list) your vital records.  Indicate: </li></ul><ul><li>Types of records </li></ul><...
<ul><li>Many agency functions rely on information systems (computers/networks/Internet, etc.) </li></ul><ul><li>Major disr...
<ul><li>Helps an agency: </li></ul><ul><li>Keep systems functioning </li></ul><ul><li>Maintain data integrity, availabilit...
Data Migration <ul><li>Document: </li></ul><ul><li>Policies and procedures </li></ul><ul><li>Hardware/software configurati...
Data Mitigation <ul><li>Document: </li></ul><ul><li>Back-up methods and procedures </li></ul><ul><ul><li>full </li></ul></...
Planning Issues <ul><li>Reduce confusion </li></ul><ul><li>Minimize decisions </li></ul><ul><li>Identify actions </li></ul...
Business Resumption Planning  <ul><li>Off-Site Recovery: </li></ul><ul><li>Have pre-positioned web access, and e-mail </li...
Vital Records Training/Testing <ul><li>Incorporate vital records into overall disaster plan </li></ul><ul><li>Provide vita...
Vital Records Training/Testing <ul><li>Potential Problems: </li></ul><ul><li>Plan out of date </li></ul><ul><li>Bottleneck...
Vital Records <ul><li>Summary </li></ul><ul><li>Vital records get you back to work! </li></ul><ul><li>Vital records protec...
Thank You For more information on vital records or how to develop a vital records program for your office, contact:  Steph...
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  • Vital Records Management

    1. 1. Vital Records Management A Briefing for Federal Agencies National Archives and Records Administration Northeast Region Pentagon, September 11, 2004
    2. 2. Federal Records <ul><li>A record is anything created or received by agencies or contractors in the course of government business. A Federal record can: </li></ul><ul><ul><li>Be on any media: e.g. electronic, digital, microfilm, microfiche, audio tape, video tape, film, paper - you get the idea; </li></ul></ul><ul><ul><li>Be temporary (kept for a limited period of time then destroyed) </li></ul></ul><ul><ul><li>Or permanent (kept FOREVER) </li></ul></ul>44 USC 3301
    3. 3. Vital Records Program <ul><li>A vital records program identifies and protects those records that specify how an agency will operate in an emergency or disaster, those records necessary to the continued operations of the agency, and those records needed to protect the legal and financial rights of the government and citizens. </li></ul><ul><li>Paraphrased from 36 CFR 1236 </li></ul>Sarajevo, Serb gunners attempt to destroy Bosnian identity, 1992
    4. 4. Vital Records <ul><li>Emergency Operations Records: Needed During an Emergency </li></ul><ul><li>Must be immediately accessible </li></ul><ul><li>Should be on paper </li></ul><ul><ul><li>For immediate retrieval in the event computer systems do down </li></ul></ul><ul><li>Or immediately available electronically off-site. </li></ul>
    5. 5. Emergency Operations Records <ul><li>Examples: </li></ul><ul><li>Emergency/ Continuity of Operations (COOP) Plan. </li></ul><ul><li>Staff contact and assignment information. Regularly update changes in name, address, phone numbers, etc. </li></ul><ul><li>Orders of succession and delegations of authority. </li></ul><ul><li>Policy, procedural, and systems manuals. </li></ul><ul><li>List of credit card holders to purchase needed supplies. </li></ul>
    6. 6. Emergency Operations Records <ul><li>Electronic Format </li></ul><ul><li>Website & E-Mail - To communicate with and provide information to your employees and your customers. Have website and e-mail access available from alternate site </li></ul><ul><li>Database with up-to-date emergency contact information for all staff </li></ul>
    7. 7. Rights and Interests Records <ul><li>Are essential to protect the legal and financial rights of the Government and of the individuals affected by its activities </li></ul><ul><ul><li>Payroll and accounts receivable </li></ul></ul><ul><ul><li>Social Security and retirement </li></ul></ul><ul><ul><li>Public safety records </li></ul></ul><ul><ul><li>Titles, deeds, and contracts </li></ul></ul><ul><ul><li>Licenses and long-term permits </li></ul></ul>
    8. 8. Rights and Interests Records <ul><li>Not necessary to immediately re-establish operations </li></ul><ul><ul><li>Not needed in the first 24 hours </li></ul></ul><ul><li>May be available from other sources </li></ul><ul><ul><li>Off-site centralized computer systems </li></ul></ul><ul><ul><ul><li>Payroll </li></ul></ul></ul><ul><ul><ul><li>Accounting </li></ul></ul></ul><ul><li>May be kept farther away </li></ul><ul><ul><li>Less time sensitive </li></ul></ul>Burnt Records on Shelves
    9. 9. Vital Records <ul><li>Your vital records will be no more than 7% of your total records (3% to 5% is likely) </li></ul><ul><li>Vital records can be either paper or electronic. </li></ul>
    10. 10. Regulations and Guidance <ul><li>36 CFR 1236 - Management of Vital Records </li></ul><ul><li>Federal Preparedness Circular 65 </li></ul><ul><ul><li>Federal Emergency Management Agency </li></ul></ul><ul><li>Executive Order 12656 </li></ul><ul><ul><li>Assignment of Emergency Preparedness Responsibilities </li></ul></ul><ul><li>Vital Records and Records Disaster Mitigation and Recovery (NARA Publication) </li></ul><ul><ul><li>http://www.archives.gov/records_management/publications/vital_records.html </li></ul></ul>
    11. 11. Federal Preparedness Circular 65 (FEMA) <ul><ul><li>The protection and ready availability of electronic and hardcopy documents, references, records, and information systems needed to support essential functions under the full spectrum of emergencies is another critical element of a successful COOP plan. Agency personnel must have access to and be able to use these records and systems in conducting their essential functions. . . . </li></ul></ul>
    12. 12. Vital Records Plan <ul><li>Vital Records Program must be incorporated into the overall Continuity of Operations Plan (COOP) </li></ul><ul><li>Needs clear authority </li></ul><ul><ul><li>policies </li></ul></ul><ul><ul><li>authorities </li></ul></ul><ul><ul><li>procedures </li></ul></ul><ul><ul><li>designation of a Vital Records Manager </li></ul></ul>
    13. 13. Agency/Business Impact Analysis <ul><li>Identify agency/business functions </li></ul><ul><li>Determine impact of incident </li></ul><ul><li>Estimate loss to agency/business </li></ul><ul><li>Determine recovery timeframes </li></ul><ul><li>Gather requirements for recovery </li></ul>
    14. 14. Risk Assessment <ul><ul><li>Lost document </li></ul></ul><ul><ul><li>Ability to provide secondary services affected </li></ul></ul><ul><ul><li>One or two primary services affected </li></ul></ul><ul><ul><li>Destruction of major building: non-work hours </li></ul></ul><ul><ul><li>Destruction of major building: work hours </li></ul></ul><ul><ul><li>Severe localized natural disaster </li></ul></ul><ul><ul><li>Most severe conceivable; national scope </li></ul></ul>
    15. 15. Risk Assessment <ul><li>How do you rate these risks? </li></ul>0 100% 100% Likelihood I m p a c t Meteor strike Water damage on flood plain
    16. 16. Vital Records Plan <ul><li>What type of information is needed during an emergency? </li></ul><ul><ul><li>What are the critical functions of the agency that must continue during an emergency? </li></ul></ul><ul><ul><li>Which records are needed to support those functions? </li></ul></ul>Questions
    17. 17. Vital Records Plan <ul><li>Which records support critical program activities? </li></ul><ul><ul><li>Emergency personnel lists; </li></ul></ul><ul><ul><li>Building blueprints; and </li></ul></ul><ul><ul><li>Software documentation </li></ul></ul><ul><li>Which records protect legal and financial rights? </li></ul><ul><li>What procedures/resources are needed to protect and recover records? </li></ul>Questions
    18. 18. Each agency’s functional responsibilities and business needs are different. So an agency must decide which records are vital records and assign responsibility for them to the appropriate staff. Vital Records Plan
    19. 19. Identify Vital Records <ul><li>Method </li></ul><ul><ul><li>Survey or questionnaire </li></ul></ul><ul><ul><li>Physical inventory </li></ul></ul><ul><li>Format </li></ul><ul><ul><li>Paper records by record series </li></ul></ul><ul><ul><li>Electronic records by info system </li></ul></ul><ul><ul><li>Identify records absolutely necessary for your office to function in the event of a disaster </li></ul></ul>
    20. 20. Prepare Copies <ul><li>Paper - Generally accessible under the worst circumstances </li></ul><ul><li>Electronic - Require special equipment to read </li></ul>
    21. 21. Vital Records Vital Records must be updated often. They should be rotated or cycled on a regular basis so the latest version will be available in the event of a disaster. Cycling/Rotation
    22. 22. Storage/Dispersal <ul><li>Vital records should be stored off-site </li></ul><ul><li>30 miles away for emergency operating records </li></ul><ul><li>Legal and financial rights records can be stored further away </li></ul>
    23. 23. Off-Site Storage Options <ul><li>Regional Office </li></ul><ul><li>Agency Owned and Operation Facility: </li></ul><ul><li>NARA Records Center </li></ul><ul><li>Office of Different Agency </li></ul><ul><li>Commercial Storage </li></ul><ul><li>Hot Site: Office space somewhere else all wired and ready to work in. </li></ul><ul><li>Cold Site: Empty office space somewhere else, not wired. </li></ul>
    24. 24. Vital Records <ul><li>Document (make a list) your vital records. Indicate: </li></ul><ul><li>Types of records </li></ul><ul><li>Where they are kept </li></ul><ul><li>Updates to the records </li></ul><ul><li>Off-site location(s) </li></ul><ul><li>Media type (CD, tape, paper, etc.) </li></ul><ul><li>Records accessibility </li></ul>
    25. 25. <ul><li>Many agency functions rely on information systems (computers/networks/Internet, etc.) </li></ul><ul><li>Major disruptions to systems can bring some – if not all – agency operations to a halt and/or have an impact on other systems </li></ul><ul><li>Some electronic information are records that require careful management </li></ul>Vital Records and Information Technology
    26. 26. <ul><li>Helps an agency: </li></ul><ul><li>Keep systems functioning </li></ul><ul><li>Maintain data integrity, availability, and security </li></ul><ul><li>Ensure system accessibility </li></ul><ul><li>Recover from a disaster in a timely fashion </li></ul>A Vital Records Plan
    27. 27. Data Migration <ul><li>Document: </li></ul><ul><li>Policies and procedures </li></ul><ul><li>Hardware/software configurations </li></ul><ul><li>Data backup & restoration procedures </li></ul><ul><li>Employee addresses & phone lists </li></ul><ul><li>Troubleshooting guides </li></ul><ul><li>Business recovery plan </li></ul>
    28. 28. Data Mitigation <ul><li>Document: </li></ul><ul><li>Back-up methods and procedures </li></ul><ul><ul><li>full </li></ul></ul><ul><ul><li>incremental </li></ul></ul><ul><li>Offsite storage </li></ul><ul><ul><li>Cold sites </li></ul></ul><ul><ul><li>Hot sites </li></ul></ul><ul><li>Data recovery (Ensure backup tapes can be used on off-site computers.) </li></ul><ul><li>Power supply </li></ul>
    29. 29. Planning Issues <ul><li>Reduce confusion </li></ul><ul><li>Minimize decisions </li></ul><ul><li>Identify actions </li></ul><ul><li>Recovery teams </li></ul><ul><li>Offsite recovery </li></ul><ul><li>Relocation </li></ul><ul><li>Backups & documentation </li></ul>
    30. 30. Business Resumption Planning <ul><li>Off-Site Recovery: </li></ul><ul><li>Have pre-positioned web access, and e-mail </li></ul><ul><li>Plan accessibility to critical national databases </li></ul><ul><li>Set up on-the-fly transfer of main office phone line to offsite location </li></ul><ul><li>Pre-place COOP plan, delegations of authorities, building blueprints, etc. at emergency site </li></ul>
    31. 31. Vital Records Training/Testing <ul><li>Incorporate vital records into overall disaster plan </li></ul><ul><li>Provide vital records training to all management and employees </li></ul><ul><li>Conduct annual reviews </li></ul><ul><ul><li>Tests of plan </li></ul></ul><ul><ul><li>Exercises </li></ul></ul>
    32. 32. Vital Records Training/Testing <ul><li>Potential Problems: </li></ul><ul><li>Plan out of date </li></ul><ul><li>Bottlenecked data links </li></ul><ul><li>Lack of realistic tests </li></ul><ul><li>Test becomes a disaster </li></ul><ul><li>Acceptable down-time changed </li></ul><ul><li>Needed personnel were not available </li></ul><ul><li>Equipment not available </li></ul>
    33. 33. Vital Records <ul><li>Summary </li></ul><ul><li>Vital records get you back to work! </li></ul><ul><li>Vital records protect government and citizen interests! </li></ul><ul><li>Identify and protect your vital records! </li></ul>
    34. 34. Thank You For more information on vital records or how to develop a vital records program for your office, contact: Stephanie Fawcett, Director, Records Management Program NARA-Northeast Region 781.663.0124 [email_address]
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