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Vital Records

Vital Records. Preparing for the Unexpected.

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Vital Records

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  1. Vital Records Preparing for the Unexpected Vital records mean essential agency records that are needed to meet operational responsibilities under national security emergencies or other emergency or disaster conditions (emergency operating records) or to protect the legal and financial rights of the Government and those affected by Government activities (legal and financial rights records). 36 CFR 1236.14

  2. The management of vital records is an essential part of a Federal agency’s emergency preparedness responsibility. This responsibility originated in the 1950s as part of the Continuity of Government program. Emergencies and disasters can take many forms. They can threaten our place of business; we worry about loss of stock, income, and property. But the threat to records? We don’t always associate the loss of records with a disaster. The fact is, whether at home or abroad, no matter where a federal government building is located, it is vulnerable to some form of emergency or disaster.

  3. Vital Records Are: • Essential to the continued operation of the agency • Part of the agency’s disaster preparedness program • Unique or cannot be replaced or too expensive to recreate • Needed to recreate agency’s legal, financial and administrative obligations • Required to protect the rights of individuals • Necessary to reconstruct assets and liabilities

  4. Types of Vital Records EMERGENCY OPERATING RECORDS • Required immediatelyfor implementing DHS emergency operations RIGHTS AND INTEREST RECORDS • Necessary for the preservation of the rights and interests of individual citizens and government • May not be needed immediately

  5. Essential Elements A good program has 3 steps: Planning • Determine most critical activities • Identify records that may support critical activities and business resumption • Identify legal and financial rights records • Develop records recovery information

  6. Essential Elements Analysis • Determine most critical activities • Identify records that may support critical activities and business resumption • Identify legal and financial rights records • Develop records recovery information

  7. Essential Elements • Issue Directive • Test and Practice • Update the Plan • Promote the Program • Update the Records Implementation

  8. Vital Records Provide: • Protection of critical assets • Continuing operations or rapid resumption of business • Protecting legal and financial rights • Recovering damaged records • Improved safety and security • Compliance with laws and regulations

  9. Laws, Regulations & Guidance Executive Orders • Agency Responsibilities in National Emergency E.O. 12656, November 18, 1988 • Homeland Security (Information Systems) E.O. 13231, October 16, 2001 By law, heads of agencies are responsible for vital records programs under the authorities of 44 USC 3101 and Executive Order 12656. 36 CFR 1236.20 clearly states that in carrying out the vital records program, agencies shall: • Specify agency staff responsibilities; • Ensure that all concerned staff are appropriately informed about vital records; • Ensure that the designation of vital records is current and complete; and • Ensure that vital records and copies of vital records are adequately protected, accessible, and immediately usable.

  10. Questions? Contact: Kathy Schultz DHS Records Officer (202) 343-4201 Kathy.Schultz@dhs.gov OR DHSRecordsManagement @hq.dhs.gov

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