OCC VITAL RECORDS PROGRAM Presentation by: Carol Cory, Records Management Office Mail Stop 1-11; Phone: (202)874-5551 Sherry Smith, OCC Records Officer (202) 874-5035
AGENDA • Why Vital Records? • Vital Records Authority • Function of Vital Records • Characteristics of Vital Records • Definition of Vital Records • Types of Vital Records • Implementing a Vital Records Program • Function of Vital Records Coordinator • Elements of Program • Conclusion
WHY VITAL RECORDS PROGRAM? • Protect information which supports OCC’s critical functions • Protect rights and interests of persons served by and who work for OCC
VITAL RECORDS AUTHORITY • Title 36 Code of Federal Regulations, Chapter XII - Part 1236-Management of Vital Records Establishes program for identification & protection of vital records, those records needed by agencies for continuity of operations before, during, & after emergencies & those needed to protect the rights and interests of government & persons affected by government activities.
VITAL RECORDS AUTHORITY • Executive Order 11490 • Assigns Emergency Preparedness Functions to Federal Departments & agencies • PPM 3100-3 - OCC Vital Records Program • Establishes responsibilities and procedures for a vital records program
VITAL RECORDS ARE NEEDED TO: • Resume essential services • Rebuild facilities • Evaluate inventories and properties • Determine accounts receivables • Determine our liabilities • Determine employee benefits • Resume data processing
CHACTERISTICS of VITAL RECORDS • 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
CHARACTERISTICS of VITAL RECORDS continued • Required to protect the rights of individuals • Necessary to reconstruct assets and liabilities
DEFINITION OF VITAL RECORDS • Essential agency records needed to: • meet operational responsibilities under national security or other emergencies or disaster conditions and/or to • protect the legal and financial rights of the government and those affected by government activities.
TYPES of VITAL RECORDS • Emergency Operating Records • Rights and Interest Records
EMERGENCY OPERATING RECORDS • Required immediatelyfor implementing OCC emergency operations • Examples: • Delegations of Authorities • System Documentation • Building Plans and Building Systems • Disaster Recovery Plan/Contingency Plan
RIGHTS and INTEREST RECORDS • Necessary for the preservation of the rights and interests of individual citizens and government • May not be needed immediately • Examples: • payroll records - retirement records • insurance records - appeals hearings • accounts receivables - grievance case files
IMPLEMENTING A VITAL RECORDS PROGRAM • Vital Records Coordinator Functions • Elements of Program • Determine Agency’s Most Critical Functions • Determine paper and electronic records that support the most critical function • Determine paper and electronic records that support rights and interest of staff and constituents.
VITAL RECORDS COORDINATOR’S FUNCTIONS • Inventory Office’s Vital Records • Advise staff on procedures for protection and maintenance of vital records • Ensure records are updated and current • Identify methods of retrieval • Test Vital Records Program • Provide advise and direction to office • Serve as liaison with Records Office and Disaster Preparedness & Security Officer
ELEMENTS • Determine agency vital functions • Identify vital records that support functions • Identify updating cycle to keep records current • Determine methods of retrieval
ELEMENTS continued • Determine methods of protection • duplication • dispersal • electronic backup • Annual Reviews • Testing • Training
ELEMENTS continued • Procedures manual • Promotion of program
OCC’S MOST CRITICAL FUNCTIONS • Formulate and implement policies and procedures • Supervise and regulate banks, Federal branches • Oversee and analyze international banks and issues • Represent OCC in legal matters
OCC CRITICAL FUNCTIONS continued • Write and interpret statutes, regulations and rulings • Defend Comptroller of the Currency’s actions • Protect employees • Protect agency contracts, holdings and inventories
OCC CRITICAL FUNCTIONS continued • Recoup accounts receivables • Maintain databases • Reestablish building
CONCLUSION • OCC must implement a vital records program (Law) • Vital Records Coordinator is critical to success of program • Elements of program must be completed to implement a successful program • OCC’s critical functions must continue in the event of an emergency