1. Signature Sheet

2. Records Custodian Training
Course 80065
Rev.3

3. ISMS
The Integrated Safety Management System (ISMS) is a systematic, common sense approach to working safely. The objective of ISMS is to integrate working safely into management and work practices at all levels, addressing all types of work and all types of hazards to ensure safety for the workers, the public, and the environment. ISMS integrates working safely into planning and execution of work.

4. By The End Of The Day … You should
Understand the roles and duties of a Record Custodian
Know what is, and isn’t a record
Know what is a Quality Record
Recognize the Records Inventory Form
Realize your duties in the Vital Records Program
In the old days you put records in a box and shipped them to the RMDC.
That must change because too much data is being lost and we must comply with DOE and NARA orders and guidelines.
NARA is the National Archives and Record Administration.

5. Electronic NOT Paper
Our goal is to eliminate as much paper as possible from the records management process.
Presidential memorandum, Managing Government Records Directive M ,dated states:
By 2019, Federal agencies will manage all permanent electronic records in an electronic format.
By 2016, Federal agencies will manage both permanent and temporary records in an accessible electronic format.
Eventually everyone will be working inside Documentum. We will move each department, one by one, to that platform.

6. Electronic NOT Paper p. 2
— Documentum is the Electronic Record Management System that PMA will utilize to collect, organize, and categorize records, and facilitate the preservation, retrieval, use, and disposition of records in a way that saves time over the previous manual methods. In conjunction with Documentum, the RMDC has utilized an imaging platform and process to create PDF documents from paper records to enable rapid access to the information in the original record.
We will work with each custodian so they can effectively organize and manage electronic files.

7. A Records Custodian Is …
The principle interface between the Department and the RMDC
They insure their Department follows all Department of Energy (DOE) and National Archives Record Administration (NARA) and PMA directives, guidelines and procedures.

8. Responsibility Derived From …
Responsibility is derived from :
PMA EQ RM POL 1470 Records Management Policy
PMA EQ ROM PRO 1401 Record Life Cycle and Retrieval
PMA EQ RM PRO 1404 Records Destruction
PMA EQ RM PRO1406 Record Transfer
PMA EQ RM PRO 1407 Vital Records
PMA EQ RM PRO 1409 Identifying, Filing and Maintaining Records
PMA EQ RM PRO 1410 File Plan Creation and Maintenance
PMA EQ RM PRO 1412 Storage and Inspection of Stored Records
PMA EQ RM PRO 1413 Documentum Record Processing
PMA EQ RM PRO 1414 Quality Assurance Records
These are the procedures that apply to the work of a Records Custodian.

9. PMA EQ RM POL 1470 Records Management Policy
All Departments and Functions shall :
Retain active records that are required for the PMA mission in designated and secure records storage locations.
Retain records according to the PMA File Plan located on the PMA Intranet.
Ensure vital records within each organizational unit are identified. Such records are Legal and Financial Rights Records and Emergency Operating Records. Specific collections of vital records shall be listed on the PMA Vital Records Inventory, which will be included in the Continuity of Operations Plan (COOP).
Understand an ACTIVE record is one in use.
A VITAL record is needed for the department do business.

10. Records Management is the law!
Records Management is not optional:
All federal records management activities are mandated through federal laws, regulations and DOE Directives:
44 U.S.C. (also known as Public Printing and Documents, codification under the Federal Records Act)
36 CFR Chapter 12, Subchapter B Records Management
PMA employees and contractors must not conceal or destroy any information, including non-compliance or potential non-compliance record according to 18 U.S.C 2071, Concealment, Removal, or Mutilation Generally. (Personal $2K fine and imprisonment)
DOE O 243.1b Records Management Program
DOE O 200.1A Information Technology Management

11. PMA EQ RM POL 1470 Records Management Policy
Develop and maintain a File Plan in accordance with the DOE Retention Schedule. The File Guide describes categories of records, disposition authority, retention period, and cut-off date for all records that are created, received, and maintained by personnel in the course of their official duties.
File paper, electronic and all media types of records in accordance with the PMA File consistent with DOE Record Schedule.
Ensure vital records within each organizational unit are identified. Such records are Legal and Financial Rights Records and Emergency Operating Records.
The file plan identifies the disposition which drives how long records are kept.
Hopefully 99% of the filing will be electronic.

12. Contact RMDC for record guidance.
PMA EQ RM POL 1470 p.2
Ensure sensitive, classified, or confidential records are managed and protected in accordance with NARA and DOE requirements, including requirements imposed by DOE Safeguards and Security Programs, and limit access to ensure information is not released to unauthorized individuals.
Annually review the organizational unit records to identify those record series that can be archived, or have met their required retention and can be destroyed, with appropriate concurrences.
Regularly transfer records, in all formats to PMA RMDC for archiving and disposition.
Contact RMDC for record guidance.
Documents must be protected and if they are not properly organized, there is a potential for harm.

13. PMA EQ RM PRO 1401 Record Life Cycle and Retrieval
Each staff member shall :
Create records that adequately and properly document the work performed, ensuring they are:
Accurate, legible, reproducible, retrievable, and complete,
Developed according to appropriate guidelines
If applicable, traceable to systems, components, or activities involved, these are typically Quality Records, contact RMDC for guidance.
Scanned records must be quality control checked by appropriate personnel to verify page count and transmitted in Portable Document Format (PDF), or other NARA-acceptable format, with a minimum resolution of 300 pixels per inch (ppi) for temporary records and 400 ppi for permanent records.
All s and other electronic messages constituting a record that are sent or received using a personal or non-official account must be copied or forwarded into agency recordkeeping systems within 20 days of creation or receipt.
This, for the most part, it the work most people do every day. Our job is to take that work and insure those documents are properly processed through the record management process.

14. PMA EQ RM PRO 1401 p.2 Contact RMDC to request a copy of a record.
Audiovisual records are maintained and are to be dispositioned properly according to NARA requirements. Digital photographs shall meet NARA’s requirements of a minimum resolution of 3,000 pixels across the long dimension; images that are uncompressed or which make use of lossless compression, shall be scheduled, managed and captioned as required. Contact RMDC for guidance.
Contact RMDC to request a copy of a record.
Properly manage PMA Field Operating Records by assisting in records inventory and scheduling process.
All exiting employees must complete the PMA SS PE FOR 2240, Employee Exit Check Out, and turn over any records and/or controlled documents he or she may possess to RMDC.

15. PMA EQ RM PRO 1404 Records Destruction
PMA employees and contractors must not conceal or destroy any information, including non-compliance or potential non-compliance record according to 18 U.S.C 2071, Concealment, Removal or Mutilation Generally.
PMA has the contract scope to process records to offsite storage or destruction.
PMA File Plan identifies record retention, when records are inactive PMA RMDC will archive and process for offsite storage or if retention has been met RMDC will process destruction after DOE approval.

16. PMA EQ RM PRO 1406 Records Transfer
This procedure applies to all organizations that create, process, distribute, use, control, or manage records in all formats (paper, electronic- including all media types) for the U. S. Department of Energy (DOE) Environmental Management (EM) Program at the Portsmouth Gaseous Diffusion Plant (PORTS). Portsmouth Mission Alliance, LLC (PMA) EM records include all records generated, received, or sponsored by or for PMA in support of the Infrastructure Support Services (ISS).

17. PMA EQ RM PRO 1406 p.2 Record Custodian shall :
Turn over inactive records in all formats(paper and electronic) to RMDC at regular intervals. Contact RMDC for guidance on transferring paper and electronic records.
If records come from potentially contaminated areas, request Health Physics to scan the records prior to record transfer.
Complete a PMA EQ RM FOR 1450, Records Transmittal, and create an index for each box of records.
Organize records according to record disposition schedules and contact RMDC for disposition and transmittal number at

18. PMA EQ RM PRO 1409 Identifying, Filing and Maintaining Records
Record Custodian shall :
Utilize proper record-keeping to ensure the protection and preservation of departmental records in accordance with PMA policies and procedures.
Assist PMA personnel with determining records/non-records, proper file code determination and/or how to handle specialty record categories (e.g., sensitive, OUO, UCNI).
You will work with the RMDC and your department to properly manage records.

19. PMA EQ RM PRO 1409 p.2
File and maintain records that are created or received in accordance with PMA FILE PLAN.
Verify that the document has been properly identified as a record/non-record. Resolve any discrepancies with the employee from whom it was received.
Determine proper filing designation by comparing the information content of the document with the document description in the organizational File Plan listing to ensure there is an entry for the document. Contact PMA Records staff for assistance identifying an appropriate file code and proper filing of all record types.
Attachment A, Quick Reference Guide
Attachment D, Photograph/Audiovisual Record Requirements
Your job is to identify the records in the department to bring them into compliance with DOE / NARA regulations.
NARA is the National Archives and Records Administration.

20. PMA EQ RM PRO 1410 File Plan Creation and Maintenance
Record Custodian shall :
Ensure that all records have been identified and inventoried within the organizational unit and provided to RMDC.
Provide RMDC with any changes and/or additions to their organizational unit file plan and/or Record Inventory.
It seems monumental, but it is far from that. It is merely structuring what already occurs.

21. PMA EQ RM PRO 1410 p.2
Determine what records are in the organizational unit, where the records are located and who is responsible for them.
When the records have been identified, begin the inventory. The information is collected and incorporated into a file plan.

22. PMA EQ RM PRO 1410 File Plan Creation and Maintenance p.3
Utilize PMA EQ RM FOR 1440, Records Inventory, when conducting the inventory, to help ensure consistent and complete data collection.
The data on the form is the key to good records management.

23. PMA EQ RM FOR 1440 Records Inventory
SAMPLE

24. PMA EQ RM PRO 1410 p.4
During the inventory/file creation process, decisions will need to be made on how the records are maintained. For example, it may need to be determined:
Who is responsible for the “official record” and who only has the convenience copies?
Are “drafts” or “working files” included in the record?
Is the record copy maintained in a paper or electronic recordkeeping system?
Should reference materials be centralized?
Which of the records are considered vital records?.
Which of the records are considered Quality records?
Spend time on this slide.
Talk about the record copy and convenience copies.
Encourage the use of COPY stamps.
When someone leaves and they just box up their cube and send it to the RMDC we have a nightmare.

25. PMA EQ RM PRO 1407 Vital Records
Record Custodian shall :
In conjunction with the Department Managers, determine which records within the organizational unit are vital.
Submit data utilizing form PMA EQ RM FOR 1439, Vital Records Inventory, to the RMDC.
Ensure vital records are maintained in accordance with this procedure.
This will actually be our first activity, creating the Vital Records inventory for each department.

26. PMA EQ RM PRO 1407 p.2
Transfer and replace copies (known as “cycling”) of vital records as documented in the vital records inventory.
Take the appropriate measures to ensure the survival of Vital Records in case of an emergency or disaster in accordance with the PMA (EQ RM PLA) PORTS , Infrastructure Support Services Records Disaster Prevention, Mitigation, and Recovery Plan at the Portsmouth Gaseous Diffusion Plant, Piketon, Ohio.
When the vital inventory is done, this will be a lot clearer.
If in the vital inventory, there are records that need to be routinely updated, say a quarterly copy of a list, then the custodian will be responsible for bringing the fresh data to the RMDC

27. FEDERAL RECORD CENTER (FRC)
Records Lifecycle
Maintenance
and Use
Disposition
Creation /
Receipt
Creation/Receipt: create complete and accurate records that provide adequate documentation to document the organization, functions, policies, decisions, procedures, and essential transactions of the Dept.
Maintenance/Use: All records created or received shall be grouped together by subject matter and maintained for prescribed time periods regulated by the National Archives and Records Administration (NARA).
Preserve the integrity of a record by ensuring the records has not been altered after completion. Protect access to sensitive information. Maintain permanent and temporary records in a segregable manner.
[includes file plan creation/maintenance, records inventory, planning/arranging files, and records storage).
Disposition: Destroy records of temporary value as soon as they have served the purpose for which they were created (retention schedule). Move noncurrent (inactive) records from office space and filing equipment to less expensive storage facilities, thereby improving use of files and reducing maintenance costs.
[includes purging records, implementing record schedules, transferring records to an FRC or to NARA, and actual records destruction]
PERMANENT RECORDS ARE PHYSICALLY, AND EVENTUALLY LEGALLY, TURNED OVER TO NARA. TEMPORARY RECORDS THAT GO TO AN FRC ARE JUST TURNED OVER PHYSICALLY, DOE STILL HAS LEGAL CUSTODY.
PRIOR TO DESTRUCTION A DESTRUCTION CERTIFICATE IS COMPLETED AND THE APPROPRIATE APPROVALS ARE RECEIVED (E.G., FUNCTIONAL AREA/ORGANIZATIONAL UNIT MANAGER, LEGAL AND RECORDS MANAGEMENT).
Authorized Documented Destruction
Permanent
(2-5%)
To Archives
Temporary
(95-98%)
FRC/Destroyed
NARA
FEDERAL RECORD CENTER (FRC)

28. What Is A Record?

29. What is a Record?
H.R. 1233, Presidential and Federal Records Act Amendments of 2014, became law November 26, It was codified as Public Law (P.L.) on November 26, One of the more significant points include a revised “records” definition covering all recorded information, which is further defined as “all traditional forms of records, regardless of physical form or characteristics, including information created, manipulated, communicated, or stored in digital or electronic form”. It also now provides that the Archivist of the United States’ determination of whether recorded information is a record is now binding on all Federal agencies. Also, it clarifies the prohibition of creating or sending a record using a non-official electronic messaging account unless the message is originally copied to or forwarded to an official electronic messaging account, with the latter setting a 20-day deadline. It should be noted that electronic messaging tools are not limited to just .
This is the legal definition of a record.

30. Still Not sure. Let’s make it less painful
Still Not sure. Let’s make it less painful. The next three slides take the definition apart to find out what it really means.

31. Clause # 1
“Any book, paper, map, photograph, machine-readable, or other documentary material, regardless of physical form or characteristics...”
Really Means …
A record may be in any format: paper, electronic, photography, film, sound recording, etc. The information is what matters, not the medium.
The information, not the medium

32. Clause # 2
“...made or received by an agency of the United States Government in pursuance of federal law or in connection with the transaction of public business ...”
It’s a federal record if your office received it or created it in the course of doing the business of government. DOE records concern DOE business.
Really Means …

33. Clause # 2
“... preserved or appropriate for preservation...as evidence...of the Government [activity], or because of the informational value of the data contained therein.”
Some records matter because they give evidence of how the government does its job. Other records, for example scientific research records, matter because they contain important information.
Really Means …
The content is the driving force

34. What is a Record?
In general terms, a record is recorded information, in any format, that is:
Created in the course of business,
Received for action, or
Needed to document DOE activities.
An easier working definition can be summarized as;
Information that is:
Created in the course of business,
Received for action, or
Needed to document DOE activities.
Any recorded information relating to the work of your office – regardless of who created it or how the information was recorded.
What isn’t a Record? Many individuals and programs are copied on correspondence and reports solely for information only, they have no action or responsibility for the particular subject. These copies would NOT be records for those individuals or programs.
Example: A facility manager might be copied on a memo authorizing overtime for an individual to work on an off shift or holiday solely as a “heads up” to that manager that some unusual activities will be occurring in an area he has some responsibility. The receiving manager’s copy of this memo would NOT be a record for him or his organization. However; the original copy authorizing the OT would be a record for timekeeping purposes.

35. Federal Records Formats
Paper (letters, memos, completed forms, reports, maps, etc.
Electronic (databases, , spreadsheets, geographic information systems, etc.)
Audio recordings
Photographic prints and negatives
Video recordings and motion picture films
Microfiche, microform, aperture cards, and radiographs

36. Recognizing Federal Records
When in doubt, ask yourself the following questions:
Did I generate or receive the information while conducting agency business?
Does the item document my agency’s activities or business transactions?
Is the item a business-related document that does not exist elsewhere?
Even if copies exist elsewhere, did my agency originally create the item?
If you answered “yes” to any of these questions, the document is probably a Federal record.
Tips for identifying records.
Utilize the “Is It a Record?” decision diagram
What is NOT a record?
Non-records
US government owned documentary materials that do not fit the definition of a record
Includes extra copies of documents kept only for convenience of reference or exhibition, such as journals.
Personal Papers
Non-official, private papers, or other documents which do not relate to or have an effect upon the conduct of Agency business.

37. Distinguishing Records from Non-record Materials
There are several resources you can use to distinguish records from non-record materials:
The statutory definition of a Federal record from 44 U.S.C. 3301, Definition of Records
The information just covered on non-record materials
“Is it a Record?” handout
There are several resources you can use to distinguish records from non-record materials:
The statutory definition of a Federal record from 44 U.S.C. 3301, Definition of Records
The information just covered on nonrecord materials
The Is it a Record? Handout previously shown
Determining whether a particular document is a record does not depend on whether it is an original or copy. Several copies of a single form may each have record status because each serves a separate administrative purpose and the copies are maintained in different filing systems.

38. Is it A Record? The first step is to determine if an item is a record.
These handouts will help.

39. Record / Non-record Exercise
Your Credit Card Statement
Contractor Dosimetry Records
PowerPoint Presentation given by the Secretary of Energy to ETEC
Site Telephone Book
from PMA General Manager to Federal Project Director at Oakland on a Golf Tournament
Official Personnel Files
Organizational Chart
QA Plan
from School regarding your child
Groundwater Data
Corrective Action Tracking system
DOE Time and Attendance Cards

40. Record / Non-record Exercise
Your Credit Card Statement
Contractor Dosimetry Records
PowerPoint Presentation given by the Secretary of Energy to ETEC
Site Telephone Book
from PMA General Manager to Federal Project Director at Oakland on a Golf Tournament
Official Personnel Files
Organizational Chart
QA Plan
from School regarding your child
Groundwater Data
Corrective Action Tracking system
DOE Time and Attendance Cards
Black = RECORDS
Red = NON-RECORDS
Blue = EITHER DEPENDING ON IF YOU WERE THE ORIGINATOR OF THE DOCUMENT - ONLY THE ORIGINATOR, or office of record, WOULD KEEP A RECORD COPY, ANY REMAINING WOULD ONLY BE COPIES AND NON-RECORDS
Note – Corrective Action Tracking System may or may not be electronic

41. Categories of Federal Records
Records are categorized either as:
- Program - Administrative
Then as either:
- Temporary - Permanent

42. What is a QA Record
A completed document that furnishes evidence of the quality of items and/or activities affecting quality. Types of record media may include paper, electronic (magnetic or optical), or specially processed media such as radiographs, photographs, negatives, and microforms. The term record, as used throughout the Standard, is to be interpreted as quality assurance record. (ASME NQA , Quality Assurance Requirements for Nuclear Facility Applications )

43. QA Record p.2
The Record Creator identifies QA Records when they are created.
QA records are required to be stamped, initialed or signed and dated by authorized personnel otherwise authenticated. Receipt control provides a method for identifying the records received, date of receipt, inspection of incoming records, and submittal of records to storage. (Ref: ASME NQA , Requirement 17, Para.500).
QA records are to be maintained in proper storage requirements at minimum two-hour fire rating OR dual storage when the QA record is active, when the QA record becomes inactive, it can be stored under NARA approved storage requirements.
QA records are managed by PMA EQ RM PRO 1414, Quality Assurance Records, quality matrix used to crosswalk retention and quality records with PMA forms and documents produced by department procedures.
Contact RMDC for guidance.

44. QA Record Crosswalk
SAMPLE

45. Program Records / Administrative Records
Program records are records that directly support the mission of the agency.
Examples: Reactor development, community impact, waste disposal, radiation monitoring, environmental impact statements
Administrative records are the records created in performing common facilitative functions that support the agency’s mission activities, but do not directly document the performance of mission functions.
Examples include: purchase orders, official personnel folders, travel vouchers, payroll databases, network backup tapes, building utility diagrams.
Program records are the records that directly support the mission of the agency. The agency’s mission is defined in enabling legislation and further delineated in formal regulations.
All program records should be clearly designated and maintained in an area that is easily accessible to all staff in the office.
Examples of program records are:
Reactor development
Community Impact
Environmental Impact Statements
ADMINISTRATIVE RECORDS ARE THE SAME TYPE OF RECORDS NO MATTER WHICH AGENCY; PROGRAM RECORDS ARE RECORDS THAT DIFFER FROM AGENCY TO AGENCY.

46. Administrative vs. Program Records Exercise
Are these Administrative or Program Records?:
Contract Case File
Official Personnel Files
Soil Monitoring Records
National Environment Policy Act (NEPA) Records
Quality Assurance Records
Environmental Case File
Decontamination & Decommissioning (D&D) Case File
Audiovisual Records

47. Administrative vs. Program Records Exercise
Are these Administrative or Program Records?:
Administrative
Program
Contract Case File
Official Personnel Files
Soil Monitoring Records
NEPA Records
Quality Assurance Records
Environmental Case File
D&D Case File
Audiovisual Records

48. Permanent vs. Temporary Records
Temporary records are records approved by NARA for destruction, either immediately or after a specified retention period.
Permanent records are records determined by NARA as having sufficient historical or other value to warrant continued preservation by the Federal Government.
Permanent vs. Temporary - NARA / FRC provided list
3 months – 75 years – still listed temporary

49. Active vs. Inactive Record
Active – those records that are used on a regular basis and are necessary to conduct the business of an office and, therefore, are generally maintained in office space.
Inactive – those records that are no longer needed to conduct the business of an office and, therefore, should be dispositioned.
As a rule, only 25 percent of an organization’s records need to be in the active files.
Some practitioners have advocated that, as a general rule:
10 percent of an organization’s records could be retained for long-term value;
25 percent of an organization’s records could be maintained in active files,
30 percent of an organization’s records could be maintained in inactive files, and
35 percent of an organization’s records should be destroyed.

50. Vital (Essential) Records

51. What is a Vital (Essential) Record?
The emergency operating records and legal and financial rights records required during and after an emergency or part of the recovery from a disaster.
There is a link between vital records and the Continuity of Operations (COOP).
Those records essential to the continued functioning of an organization during and after an emergency.
Records which protect the legal and financial rights of the DOE, its employees and the people it services.
There is a link between vital records and the Continuity of Operations (COOP). Any records deemed necessary in supporting the office’s essential functions (as defined in its COOP as its “essential functions”) should be part of the office’s set of vital records, as they are most critical to the Agency’s mission.
For more information on vital records, see FSS-1309 Vital Records Program
For more information on Continuity of Operations, see PMA Record Disaster Prevention Plan

52. Components of a Vital (Essential) Records Program
Identify records needed for performing the Agency’s essential functions.
Protect the Legal and Financial rights of DOE, its employees, and the people it serves.
Develop a plan to protect vital records and assess damage to and the recovery of any records affected by an emergency or disaster.
Protect and safeguard vital records from loss, misuse, and unauthorized information access or modification.
Develop a Disaster Prevention, Mitigation & Recovery Plan
The management of vital records is part of a Federal agency’s emergency preparedness responsibility.
Vital records are 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), defined under 35 CFR § Definitions. The management of vital records is part of an agency’s continuity of operations plan designed to meet emergency management responsibilities and will therefore need additional recordkeeping requirements. 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
Ensure that vital records and copies of vital records are adequately protected, accessible, and immediately usable.
Creation and maintenance requirements to consider for vital records:
The records may be maintained on a variety of media, including paper, magnetic tape or disk, photographic film and microfilm
Retrieval procedures for vital records should require only routine effort to locate needed information, especially since individuals unfamiliar with the records may need to use them during an emergency or disaster.
All equipment needed to read vital records or copies of vital records will be available in case of emergency or disaster. For electronic records systems, agencies also shall ensure that system documentation adequate to operate the system and access the records will be available in case of emergency or disaster.

53. Vital (Essential) Records Identification
Records essential to continued operations during a local or national emergency comprise the vital records. These records are categorized as either emergency operating records or legal and financial rights records. Vital records are further broken down into three tiers.
The identification and protection of copies of records containing vital information and the implementation of a records disaster prevention, mitigation and recovery program is an insurance policy against disruption of critical agency operations. To effect that insurance policy Federal agencies must act to achieve the aims of continuing operations, resuming normal business operations, protecting legal and financial rights, and recovering damaged records. Consequently, agencies need to determine their most critical functions and identify those records needed for the performance of those functions. Equally important is the identification of recorded information that protects the legal and financial rights both of an agency and of the individuals directly affected by that agency’s actions.

54. Vital (Essential)Records Breakdown
Tier 1 records are essential to the continued functioning of an organization within the first few hours of an emergency or disaster. Also called COOP Records.
Tier 2 records are essential to respond to the emergency at hand, to handle the crisis and reduce or mitigate disruption of the operation, between days 1 and 30.

55. Vital (Essential) Records Protection
There are three basic choices for protecting vital records:
Dispersal
System backups
Duplication
Off-site and On-site Storage
Off-site Storage. When vital records are protected by duplicating they shall be stored at an off-site facility.
- Store off-site at another facility (30 mile distance is recommended, but not required)
On-site Storage. When very active vital records need to be kept close to the user they should be stored appropriately (e.g., fire resistant cabinet or safe).
Keep records updated to reflect the most current information
Use electronic media for duplication when possible.

56. Why Identify Vital (Essential) Records?
Necessary for continuing operations
Mandatory for federal law and NARA guidelines
Provides insurance against catastrophic loss

57. Vital (Essential)Records Inventory
A vital records inventory lists the records which have been identified as vital as well as other information about the records, including who, what, when, where, and how. The inventory should be a “one-stop” place providing information on how to locate and recover vital records.
The inventory provides the following information:
Who is responsible for the original records, the vital records copies, and sending the copies to storage;
What are the vital records, their format and volume, and the method used to protect them;
Where are the original records and the vital record copies maintained, and
How often are the vital records replaced (known as “cycling”) and how are they updated?

58. Vital Records Inventory
SAMPLE
HANDOUT #21

59. PMA (EQ RM PLA) PORTS Infrastructure Support Services Records Disaster Prevention, Mitigation, and Recovery Plan at the Portsmouth Gaseous Diffusion Plant, Piketon, Ohio
Establishes a framework for dealing with emergency situations and disaster recovery in a measured and responsible manner. It includes detailed guidance concerning measures to prevent, mitigate and recover from emergencies or disasters that may result in damage or potential loss of records.
Prevention: Includes measures taken to avoid or minimize any loss of valuable records in the event of an emergency or disaster.
Storage conditions
Inspections
Fire Prevention
Monitoring of temperature / humidity controls
Disaster Readiness: Preparation for an emergency or disaster, intelligent response to an emergency or disaster has struck requires activation of a Disaster Action Team (DAT).
Disaster Mitigation: To prevent further damage by stabilizing the condition of the materials as much as possible and as soon as possible.
Recovery: The part of disaster response in which efforts are made to salvage and reconstruct damaged agency records in order to restore normal operations
►In many cases, an untrained person can do more harm than good in performing records disaster recovery. Therefore, records recovery and salvage shall only be performed by the records Disaster Action Team (DAT) or records recovery professionals.

60. Questions?
PMA RMDC
Alicia Coulson 3808
Susie Morrow 3901

61. Credits
This presentation is based on a model created by the Environmental Management Consolidated Business Center
Thanks to Kathy Reid for sharing the content.
The term “electronic information system” or “records management application” means an automated system that contains and provides access to Federal records and other information. An “electronic recordkeeping system” is a specific type of electronic information system which links the record with an authorized retention schedule and provides for the record’s systematic removal when it has met it’s required retention.
The Correspondence Control Tracking System (CCTS) and the IT backup tapes are NOT an electronic information system or RMAs.