1. Unit 3: Identifying and Safeguarding Vital Records Unit Introduction and Overview Unit objective:  Describe the elements of an effective vital records program.

2. 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.

3. Unit 3: Identifying and Safeguarding Vital Records Identifying and Safeguarding Vital Records What are some examples of vital records?

4. 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

5. Unit 3: Identifying and Safeguarding Vital Records Identifying and Safeguarding Vital Records Categories of vital records:  Emergency operating records  Legal and financial rights records

6. 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.

7. 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.

8. 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

9. 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

10. 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

11. 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.

12. 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

13. Unit 3: Identifying and Safeguarding Vital Records Components of an Effective Vital Records Program Procedures for routinely updating vital records.

14. 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.

15. 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.

16. 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

17. 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.

18. 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.

19. 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?

20. Unit 3: Identifying and Safeguarding Vital Records Summary and Transition This unit:  Introduced safeguarding vital records. Next unit:  Selecting Alternate Facilities (Unit 6)

21. Unit 3: Identifying and Safeguarding Vital Records Summary and Transition Questions?