unit 3: identifying and safeguarding vital records unit introduction and overview unit objective: ...
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Unit 3: Identifying and Safeguarding Vital Records
Unit Introduction and OverviewUnit objective: Describe the elements of an effective vital
records program.
Unit 3: Identifying and Safeguarding Vital Records
Identifying and Safeguarding Vital Records
Electronic and hardcopy documents, references, and records needed to support essential functions
during a COOP situation.
Unit 3: Identifying and Safeguarding Vital Records
Identifying and Safeguarding Vital Records
What are some examples of vital records?
Unit 3: Identifying and Safeguarding Vital Records
Identifying and Safeguarding Vital Records
Examples: Delegations of authority Customer records Financial records Policies and Directives Standard Operating Procedures
Unit 3: Identifying and Safeguarding Vital Records
Identifying and Safeguarding Vital Records
Categories of vital records: Emergency operating records Legal and financial rights records
Unit 3: Identifying and Safeguarding Vital Records
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.
Unit 3: Identifying and Safeguarding Vital Records
Characteristics of an Effective Vital Records Program
An effective vital records program provides for: Identification. Protection. Ready availability.
Unit 3: Identifying and Safeguarding Vital Records
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
Unit 3: Identifying and Safeguarding Vital Records
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
Unit 3: Identifying and Safeguarding Vital Records
Components of an Effective Vital Records Program
Maintenance of a complete inventory of records Location after records How to access information
Unit 3: Identifying and Safeguarding Vital Records
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 media—and 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.
Unit 3: Identifying and Safeguarding Vital Records
Components of an Effective Vital Records Program
Selection of appropriate protection methods, including: Dispersal to other locations Special media needs
Unit 3: Identifying and Safeguarding Vital Records
Components of an Effective Vital Records Program
Procedures for routinely updating vital records.
Unit 3: Identifying and Safeguarding Vital Records
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.
Unit 3: Identifying and Safeguarding Vital Records
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.
Unit 3: Identifying and Safeguarding Vital Records
Components of an Effective Vital Records Program
Development of training for all involved staff: Periodic briefings to managers Staff training
Unit 3: Identifying and Safeguarding Vital Records
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.
Unit 3: Identifying and Safeguarding Vital Records
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.
Unit 3: Identifying and Safeguarding Vital Records
Group Discussion: Establishing a Vital Records Program
What information do you need to know or consider to establish a COOP vital
records program?
Unit 3: Identifying and Safeguarding Vital Records
Summary and TransitionThis unit: Introduced safeguarding vital records.
Next unit: Selecting Alternate Facilities (Unit 6)
Unit 3: Identifying and Safeguarding Vital Records
Summary and Transition
Questions?