Chapter 12: Vital Records

Section 1: Identifying Vital Records

Vital Records

Vital (essential) records, as defined in the Texas Government Code
§441.180(13)
. “Vital Record” means any official record necessary to:
  • Resumption or continuation of state agency operations in an emergency or disaster.
  • Re-creation of the legal and financial status of the agency.
  • 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.

Identifying 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:
  • Operational
    records necessary to resume or continue operations.
  • Legal
    records for proof of authority or activity.
  • Fiscal/Financial
    records, especially those related to receivables.
  • 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:
  • 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:
(click in image to see full-size image)
Figure 12-1.
  • 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:
  • Active contracts and agreements, with all amendments and supporting documentation
  • Financial records
    • Accounts receivable (vendors will provide copies of lost or damaged accounts payable)
    • Loans or money transactions
    • General ledgers
    • Records proving payment
  • Employee records
    • Payroll
    • Benefits
  • Operations and manufacturing records
    • Engineering drawings
    • In-process project records
    • Research and development notes, reports, plans, formulae
    • Production/design specifications
    • Equipment inventory
  • Negotiable instruments
    • Checks
    • Bonds
    • Notes
  • Ownership records
    • Deeds
    • Titles
    • Leases
    • Patents and trademarks
    • Licenses
  • 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.
(click in image to see full-size image)
Figure 12-2.
You may also include the following:
  • Special instructions - For example, the record may be vital only for a specific period within a longer retention period.
  • Vital records are to be protected through a prescribed back-up process.
  • Persons authorized to access the records - If the records are kept in secured storage, include information on contact persons for access.