The CoG System

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The CoG System
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Vital Record, Systems and Equipment

• Identification of Agency Vital Records
• Identification, Selection and Arrangement for
  Protection Methods
• Identification of Restoration and Recovery
  Resources
• Identification of Vital Systems and Equipment

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Vital Record, Systems and Equipment

• Selection and Arrangement of Protection Methods
  for Vital Systems and Equipment
• Prioritization of Recovery of Vital Systems and
  Equipment

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Vital Records, Systems and Equipment

• A successful CoG plan provides for the
  protection, accessibility and recovery of the
  agencys vital records, systems and equipment.
• These are records, systems, and equipment that if
  irretrievable, lost, or damaged will materially
  impair the agencys ability to conduct business
  or carry out essential functions.

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Vital Records, Systems and Equipment

• Every agency should have a maintenance program
  for the preservation and quality assurance of
  data and systems.
• The program should take into account the cost of
  protecting or reconstructing records weighed
  against the necessity of the information to
  achieving the agency mission.

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Vital Records, Systems and Equipment

• Continuity of Government planning takes advantage
  of the maintenance programs already in place and
  may improve upon them to achieve optimal
  readiness for disruptions to an agencys
  essential or critical business functions.

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PHMCRecords Management

• The Pennsylvania Historical and Museum
  Commission, in conjunction with the Secretary of
  Administration, is responsible for administering
  all aspects of the Commonwealth's records
  management program. Through its Bureau of
  Archives and History, the Commission operates the
  State Records Center, the Document Image Services
  Center, the State Archives and the Records
  Management program for all Executive Branch
  agencies.

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Vital Records

• Records or documents, regardless of media, which,
  if damaged or destroyed, would disrupt agency
  operations and information flow, cause
  considerable inconvenience and require
  replacement or re-creation at considerable
  expense.
• The CoG plan should address not only a system for
  protection and recovery of vital records in an
  emergency, but also a vital records program for
  normal operations.

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PHMC Briefing David Shoff
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Directives

• Management Directive 210.5, Records Management
• M210.7, State Records Management Manual
• M210.8, Vital Records Disaster Planning
• I-series ITBs I.2.3. Security, Privacy
  Business Continuity Planning
• State Emergency Operations Plan (Annex Z)

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The Loss of Vital Records

• The disruption of essential public services
• Exposure to unplanned expenses of financial
  settlements or loss of revenue
• Increased vulnerability to litigation and
  negative impact on citizens
• Loss of productivity due to gaps in information

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Vital Records Inventory

• Method
• Survey or questionnaire
• Physical inventory
• Regardless of Format
• Paper, microfilm, or electronic

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Two Types of Vital Records

• Emergency Operating records
• 2) Legal and Financial Rights records

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The 7 Solution
Your vital records will be no more than 7 of
your total records
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VR Protection Methods

• Off-Site Storage
• On-Site Storage
• Good Housekeeping Practices

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Duplication and Dispersal

• Routine
• Also called automatic
• For widely copied and distributed records

• Planned
• Intentional
• For unique records

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Off-Site Storage Options

• Another Agency Office
• State Records Center/Archives
• A Different Agencys Office
• Outside Vendor

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On-Site Storage
Vaults
Cabinets
Safes
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Good Housekeeping

• Disposition of useless records
• Transfer to State Records Center/Archives
• Put vital records away
• Proper storage
• Proper security
• Proper environment

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VR are Time Specific
Remove and update in a timely fashion!
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Implementation

• Policy establishing...
• authority
• coverage
• staff responsibilities

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Modification

• Evaluate and update plan at least annually
• Review and edit when...
• agencys mission shifts
• vital records have physically moved
• vital records designations have changed or new
  records are given vital status
• selected vital records are no longer current
• personnel changes

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Disaster Supplies

• Newsprint or blotter paper
• Mops/Brooms
• Masks
• Flashlights
• Disposable gloves
• Plastic Sheeting
• Paper Towels
• Pencils/notebooks
• Generators/Dehumidifiers

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Contact State Archives and/or vendors
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Vital Systems and Equipment

• A system or piece of equipment is vital if it is
  essential to emergency operations and/or to the
  agencys continuance of critical processes and
  services during a crisis for a minimum of thirty
  days.

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Information Technology

• Systems and applications, generally
  computer-based, which assist in the collection,
  storage, analysis, and communication or transfer
  of data and information to other systems and
  individuals.

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Vital Systems and EquipmentTwo Step Process

• 1. Identify vital systems and equipment.
• 2. Select, and arrange protection methods for
  vital systems and equipment.

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Identify Vital Systems and Equipment

• Using the worksheet, identify those systems and
  equipment that are essential to the functioning
  of the agency and the continuance of the agencys
  mission.
• Not every system or piece of equipment is vital,
  even if it is important.
• Time of the year may be a factor, i.e., Snowplows
  in Winter vs. Summer.

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Worksheet
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Select and Arrange Protection Methods for Vital
Systems and Equipment

• Review the list of vital systems and equipment
  assess the best method for protection.
• The assessment will depend the nature of the
  system or equipment, but a protection plan should
  include maintenance programs that regularly test
  the systems (i.e., testing of backup generators).

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Worksheet Vital Systems and Equipment Protection
Methods
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Prioritize Recovery of Vital Systems and Equipment

• Use Worksheet Vital Systems and Equipment
  Priority.
• When prioritizing, consider the Recovery Time
  Objectives, previously identified for Critical
  Business Functions.
• Also determine if the system or equipment is
  dependent upon another particular system or piece
  of equipment.

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Worksheet Vital Systems and Equipment Priority
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Important Points

• Most agencies, participated in the High Critical
  Information Survey.
• Utilize the information from the HCIS to complete
  this component.
• Follow the guidance provided by PHMC for records
  management.

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Deliverables

• This will be chapter 4 of the Agency CoG plan.
• This chapter needs to contain
• The listing of the agencies vital records
• The current and proposed protection methods
• The identification of Restoration and Recovery
  Resources

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Deliverables

• The list of vital systems and equipment.
• The current and proposed protection methods
• The prioritization of systems and equipment for
  recovery.

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