Chapter 12: Vital Records
Anchor: #i1008198Section 1: Identifying Vital Records
Anchor: #i1008207Vital Records
Vital (essential) records, as defined in the Texas Government Code §441.180(13). “Vital Record” means any official record necessary to:
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- Resumption or continuation of state agency operations in an emergency or disaster. Anchor: #APBGWDLR
- Re-creation of the legal and financial status of the agency. Anchor: #PRUQGLMX
- Protection and fulfillment of obligations to the people of the state.
Although all official records serve a purpose, only about 5 percent of an agency's records are truly vital as defined above. It is important to identify vital records, and to be able to rapidly reconstruct vital records from backup copies after a disaster.
Chapter 13, “Disaster Recovery Planning,” describes procedures that can help to reconstruct records quickly following a disaster.
The essential function of each District and Division determines what records are essential. This chapter contains information on identifying and protecting vital records.
Anchor: #i1008262Identifying Vital Records
Vital records are only those records that are essential for the Agency to operate their assigned responsibilities following a disaster.
Vital records may consist of:
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- Operational records necessary to resume or continue operations. Anchor: #EMCNGAFY
- Legal records for proof of authority or activity. Anchor: #EENNRVUQ
- Fiscal/Financial records, especially those related to receivables. Anchor: #TOIPMXGU
- Governmental records necessary to protect the rights and interests of the department, it’s employees and the public.
Responsibility for Vital Records
Offices that maintain vital records are responsible for:
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- Identifying vital records and making sure they are listed as vital on the Records Retention Schedule.
Following is an example of vital records in the Records Retention Schedule:
Figure 12-1.
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- Implementing protection procedures to back-up vital records.
Common Vital Records
Vital records are not necessarily permanent records or records with archival value. Vital records may be vital for only a part of their total retention.
Common vital records include the following:
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- Active contracts and agreements, with all amendments and supporting documentation Anchor: #LXJCMRND
- Financial records
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- Accounts receivable (vendors will provide copies of lost or damaged accounts payable) Anchor: #VIXCETBS
- Loans or money transactions Anchor: #KPVTHVMY
- General ledgers Anchor: #TVPCRDHP
- Records proving payment
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- Payroll Anchor: #DYUSYQYL
- Benefits
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- Engineering drawings Anchor: #PFIFCISH
- In-process project records Anchor: #LUDGNHRH
- Research and development notes, reports, plans, formulae Anchor: #RUIYMTIO
- Production/design specifications Anchor: #OOVPAFNR
- Equipment inventory
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- Checks Anchor: #SUKOGWGJ
- Bonds Anchor: #KBIDTOYB
- Notes
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- Deeds Anchor: #TXYOPTLT
- Titles Anchor: #DBICVMPN
- Leases Anchor: #QNHYIPGG
- Patents and trademarks Anchor: #MQYERJWY
- Licenses
Anchor: #VBHCAQPC - Insurance policy information
If a record is vital, annotate your File Plan and/or Office of Primary Responsibility list to make employees aware of the need for special handling for the records.
Figure 12-2.
You may also include the following:
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- Special instructions - For example, the record may be vital only for a specific period within a longer retention period. Anchor: #AYKBWIUB
- Vital records are to be protected through a prescribed back-up process. Anchor: #UQNEWCSI
- Persons authorized to access the records - If the records are kept in secured storage, include information on contact persons for access.