FEDERAL VITAL RECORDS PROGRAM

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP74-00390R000100010007-9
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 19
• Document Creation Date: December 12, 2016
• Document Release Date: January 29, 2002
• Sequence Number: 7
• Publication Date: January 1, 1968
• Content Type: REPORT

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46
FPMR 101-11
RECORDS MANAGEMENT HANDBOOK
managing emergency preparedness files
FEDERAL
VITAL RECORDS
PROGRAM
1968
GENERAL SERVICES
ADMINISTRATIONS`
ix t *1-1
GENERAL SERVICES ADMINISTRATION
NATIONAL ARCHIVES AND RECORDS SERVICE
OFFICE OF FEDERAL RECORDS CENTERS
Federal Stock Number
7610-543-7722
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RECORDS MANAGEMENT HANDBOOK
/ c
Managin g Corer jency ,Prepares nea i Ji ej
FEDERAL
VITAL RECORDS
PROGRAM
1968
GENERAL SERVICES ADMINISTRATION
NATIONAL ARCHIVES AND RECORDS SERVICE
OFFICE OF FEDERAL RECORDS CENTERS
For sale by the Superintendent of Documents, U.S. Government Printing Office
Washington, D.C., 20402 - Price 20 cents
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RECORDS MANAGEMENT HANDBOOKS are developed
by the National Archives and Records Service as technical
guides to reducing and simplifying paperwork.
RECORDS MANAGEMENT HANDBOOKS:
Managing correspondence: Plain Letters .......... 1955 47 p.
Managing correspondence: Form Letters .......... 1954 33 p.
Managing correspondence: Guide Letters ......... 1955 23 p.
Managing forms: Forms Analysis ................ 1960 62 p.
Managing forms: Forms Design .................. 1960 89 p.
Managing mail: Agency Mail Operations .......... 1957 47 p.
Managing current files: Files Operations .......... 1964 76 p.
Managing current files: File Stations ............. 1968 52 p.
Managing current files: Subject Filing ............. 1966 40 p.
Managing noncurrent files: Applying Records Sched-
ules ................................... 1961 23 p.
Managing noncurrent files: Federal Records Centers . 1967 39 p.
Mechanizing paperwork: Source Data Automation ... 1965 78 p.
Mechanizing paperwork: Source Data Automation
Equipment Guide ......................... 1962 120 p.
Mechanizing paperwork: Source Data Automation
Systems ................................ 1963 183 p.
General: Bibliography for Records Managers ....... 1965 58 p.
General: Copying Equipment .................... 1966. 82 p.
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To put the Federal vital records program in its proper perspective, it must be remem-
bered that its entire purpose is to protect that core of records (information) deemed
necessary to ensure continuity of essential Governmental activities during and follow-
ing national emergency conditions, including a possible enemy nuclear attack upon
the United States.
The continuity of Government program was initiated on the Federal level by Execu-
tive Order 10346 of April 17, 1952. Under this order each Federal department and
agency was made responsible for placing itself as soon as possible in such a position
that it could carry out its essential functions in an emergency.
The continuity of Government program includes, among other things, the development
and maintenance of a program for the protection of vital records so that such records
would.be available at the time and place where they would be needed.
Leadership and coordination for overall emergency preparedness resides in the Of-
fice of Emergency Planning, acting on behalf of the President. Section 304 of Execu-
tive Order 11051 of September 27, 1962, specifies that OEP shall develop policies
and plans to assure the continuity of essential Federal Government activities through
a variety of programs providing. among other things, for safekeeping of essential
records.
Emergency preparedness responsibilities of the General Services Administration in the
area of records management are set forth in Executive order 11093 of February 26,
1963. Section 2(e) of this order directs GSA to "provide instructions and advice on
appraisal, selection, preservation, arrangement, reference, reproduction, storage and
salvage of essential records needed for the operation of the Federal Government after
attack, on an emergency basis including a decentralized system."
Designed to assist Federal records officers, defense coordinators, and others con-
cerned with emergency preparedness, this handbook suggests some of the factors
and methods that should be considered in developing and operating vital records
protection programs. It supersedes the 1958 edition of the GSA Records Manage-
ment Handbook entitled "Protecting Vital Operating Records."
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Page
1. DEFINITIONS AND BASIC ASSUMPTIONS ......................... 1
2. WHAT RECORDS ARE VITAL? ...........I ........................ 2
3. METHODS FOR PROVIDING VITAL RECORD COPIES ................. 4
4. MECHANICS OF PROTECTING VITAL RECORDS .................... 5
5. GOVERNMENT-WIDE USE OF GSA'S VITAL RECORDS DEPOSITORY ...... 8
6. VITAL RECORDS PROTECTION STATUS REPORTING ................. 11
7. ENSURING ADEQUACY OF THE PROGRAM ......................... 15
APPENDIX A-VITAL RECORDS (CHECKLIST) ...................... 16
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1. DEFINITIONS AND BASIC ASSUMPTIONS
As part of planning for national survival, the
vital records program augments related emer-
gency preparedness programs assigned by law
or executive order to virtually every department
and agency of the Federal Government.
To achieve optimum status of the program on
a continuing Government-wide basis, each Fed-
eral executive department and agency is re-
sponsible for selecting and safeguarding that
body of information which would be most use-
ful to its own essential emergency and recovery
functions. This means that each must estab-
lish and maintain its own vital records pro-
gram.
Let's start by providing some definitions of
terms.
Vital Records
This term is synonymous with "essential rec-
ords," "emergency preparedness records," "in-
dispensable records," "relocation records,"
and several other terms denoting records
vital to facilitating continuity of Government
activities under national emergency conditions.
Emergency Operating Records
This category of vital records relates to the
essential functions of the Government for the
duration of an emergency if this country is
attacked, and comprises organization and
manning records (readiness) as well as sub-
stantive and procedural records basic to imple-
mentation of emergency operations. They are
the records that would be needed immediately,
that should normally be prepositioned at emer-
gency alternate or relocation sites, and that
should normally be in the form of paper copies
so that they could be used (read) directly with-
out reliance on enlarging or other equipment.
Protection of this category is of prime im-
portance. Such records include those neces-
sary to:
1. The military effort of the Nation
-the operation of the Armed Forces;
2. The mobilization and protection
of the material and manpower re-
sources of the Nation;
3. The maintenance of public health,
safety, and order; the conduct of
essential civil defense activities.
Rights and Interests Records
This category of vital records relates to the
preservation of rights and interests of indi-
vidual citizens and of the Government. They
need not necessarily be kept at alternate sites,
as they would not normally be needed imme-
diately, nor need they be kept in readable
paper form.
The central theme of this handbook is that a
formal vital records program, reflecting top
management support, is needed within each
Federal executive department and agency to
fulfill this aspect of emergency preparedness.
It should be designed to achieve optimum ca-
pability in this area within budgetary limita-
tions.
The cost and complexity of work that would en-
sure the availability of every document that
might be needed would be prohibitive. It is
particularly important that the program be
kept on a practical basis because:
1. It is an essential part of the pre-
paredness program designed to en-
sure the continuity, of Government
under the most adverse circum-
stances. Overall preparedness will
be found wanting to the extent that
necessary information is not avail-
able when it is most needed;
2. There is every reason to expect
that this program must be kept cur-
rent for an indefinite period of time.
If it is overly elaborate, cumber-
some, or costly, inevitably it will not
be kept up. The procedures for en-
suring that vital records will be avail-
able must be made routine.
The Federal program herein set forth is based
on certain ground rules that have been gen-
erally accepted as valid. These basic assump-
tions, applicable to State and local govern-
ments and industry as well, are that:
1. The best and most accessible
storage space available, in terms of
possible nuclear attack, should be
used to safeguard vital records. Con-
sideration should also be given to
use of the best available equipment
when dispersion is used as a key
protective measure;
2. The need for duplication of rec-
ords varies according to the value of
the records, the normal distribution
of copies, and the relative safety of
the places to which the copies are
distributed;
3. Providing special alternate sites
for emergency operations in non-
target areas is perhaps the most
practical means of providing protec-
tion, with the realization at the same
time that the hitherto nontarget
areas may become targets as soon
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as valuable material is moved into
them;
4. A calculated risk must be taken
with regard to certain records of
lesser value than those identified as
vital records; and
5. Each Federal executive depart-
ment and agency affected is respon-
sible for planning and putting into
effect action necessary to protect its
own vital records. The department
or agency actions necessary to es-
tablish and maintain a vital records
program are depicted in figure 1.
PROGRAM ELEMENTS
1. Delegate agencywide program responsibility to a headquarters official, and desig-
nate a network of liaison officers to implement the program in the field;
2. Develop basic principles and guidelines to be followed, covering elements such
as program responsibilities, location of operations (concentrated or dispersed), and
records to be safeguarded;
3. Develop and issue to agency officials involved an establishment directive outlining
plans for unified management of the program, including guidelines and procedures
for the selection, collection, inventorying, transferring, protecting, and otherwise
maintaining the vital records;
4. Preposition the vital records at operational or other safe locations, providing any
necessary equipment to use machine-coded or micro-filmed records; and
5. Indoctrinate all agency personnel concerned with maintenance and operation of
the vital records program.
2. WHAT RECORDS ARE VITAL?
Standards for identifying the vital records of
a department or agency cannot be established
except in very general terms.
The key to identifying the records in the
emergency operating category, already de-
fined, is obvious. Essentially only records
necessary to the conduct of emergency func-
tions of a substantive nature are involved,
although those covering organization, assign-
ment of specific responsibilities and duties,
delegation of authority, succession to com-
mand, and related emergency readiness mat-
ters are included.' However, the determination
as to whether or not a given record is vital
and which category it fits is often a difficult
decision to make. Certain records may fall
within both the emergency operating and
rights and interests categories.
Much of what most employees do from day to
day would not be done in an emergency. Every-
one tends quite often to forget this, and it is
necessary constantly to remind ourselves.
Normally in identifying the vital records of a
department or agency either one of two ap-
proaches can be used:
1. A complete inventory is com-
piled, showing all records touching
on emergency functions, and then a
selection is made from them of the
records to be safeguarded; or
2. A careful study is made of how
functions would be carried out under
emergency conditions, and then on
the basis of such a study a listing is
made of what records would be re-
quired.
In either case the only practical way to deter-
mine the completeness of the selection. is
through a test under simulated emergency
conditions.
The first of these alternatives might at a glance
seem the surer, but that is not always true. In
using the inventory method alone, there is a
tendency to earmark entire series of records
for duplicating although actually only a few
papers in the file are essential.
The difficulty in the second method is, of
course, obvious. It is difficult enough to imag-
ine the conditions under which emergency
functions would be carried out because we
are too used to telephones, files, easy trans-
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portation, and consultation. It is even more
difficult to imagine what records would be vital
in carrying out the work to be done under
emergency conditions.
It cannot be overemphasized that in identify-
ing vital records the records themselves must
be evaluated only in regard to their essentiality
in carrying out emergency functions or in pro-
tecting rights or interests. The person making
the selection is not concerned with the archival
or research value of the files. Many records
currently being safeguarded have no lasting
value, but their value at the onset of an emer-
gency can hardly be questioned.
Lists or payrolls of persons receiving pensions
are not of much enduring value after the
statutory period for claims has run. Neverthe-
less, these records would be vital in maintain-
ing or reestablishing the flow of cash through
the economic system of the country in the
event of an emergency.
On the other hand, experience has indicated
that certain personnel are so familiar with
existing problem areas and carry so much pro-
gram knowledge in their heads that they have
not given sufficient attention to records which
should be at the relocation site. They over-
look the twin facts that in time of emergency
they themselves may not reach the relocation
site, and that people not so well acquainted
with their activities may have to take over.
Records at the site should be usable by others.
In identifying vital records, as might be ex-
pected, there are a few types that almost every
department or agency evaluates in about the
same way:
General Management Records
Vital records include statements of mission in
an emergency, plans and programs for carrying
out this mission, statements of delegations of
authority and of succession to command, any
predrafted regulations or announcements to
be issued immediately upon the onset of an
emergency, action programs that may have
been drafted in skeleton form, information as
to the whereabouts of vital records, informa-
tion about agency personnel, property, and
activities sufficient to provide a basis for dam-
age assessments, and similar information on
essential emergency functions. Copies of basic
legislation, regulations, and procedures are
often included, even though many of these
would be rendered at least temporarily in-
operative in an emergency.
Personnel Records
Among the personnel records most frequently
designated as vital, in addition to lists of key
employees assigned emergency duties, are
rosters of employees (often in the form of a
telephone directory or a copy of the payroll)
and rosters of employees' skills that might be
useful during and following an emergency. Of
prime importance, of course, in time of emer-
gency would be information as to which em-
ployees were available for duty and which were
casualties, but such information must be ob-
tained through a prearranged reporting system
rather than through storage or security copies
of records.
Legal Rights Records
In general a distinction has been drawn be-
tween records that support legal rights which
might be reestablished through affidavit and
which are well known to those involved, and
records of legal rights maintained by the
Federal Government as the statutory office of
record, particularly if it is unrealistic to expect
those involved to know the details of the rec-
ords.
Real estate titles, for example, have in the past
been reestablished after loss of records, and
usually departments and agencies know what
real estate the Government owns. Furthermore,
there are inventories of Federal land holdings,
with copies dispersed in various locations.
Finally, the Federal Government is not the
office of record for real estate titles; they are
registered in local court houses, many of which
would almost certainly escape relatively un-
harmed in an emergency. For these reasons
Federal agencies have not tried to safeguard
title papers to federally-owned land. Affidavits
and other records that might survive an emer-
gency should be sufficient to reestablish title.
Where the Federal Government is the office of
record for legal rights-citizenship, for exam-
ple-it has a primary responsibility for their
protection. Few people know the amount of
their equity in retirement funds, so the neces-
sary records to protect this equity have been
safeguarded. Most Federal departments and
agencies have also taken steps to protect the
rights of their employees to earned leave and
to pay due them through safeguarding copies
of periodic payrolls and key leave records.
Fiscal Records
There has been no effort to provide vital record
copies of all the fiscal records of the Govern-
ment simply because it would be too unwieldy
and expensive.
Most departments and agencies have safe-
guarded copies of periodic summaries of their
financial status, records of significant amounts
of money due to the Government, and records
of certain debts owed by the Government. For
the most part, however, no effort has been
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made to safeguard copies of all fiscal records
relating to procurement; it is up to the seller
to preserve what he might need to prove his
claim.
On the other hand, the Government tries to
safeguard a record of loans it has made in
order to collect, if collection would be possible
after an emergency. In its handling of fiscal
records the same factors and motivation pre-
vail in the Federal Government as in state and
local governments and in private industry. Ow-
ing to differences in the respective missions of
Government and private industry, however,
different records are chosen.
Industrial Records
The Federal Government operates many kinds
of industrial establishments, and in such es-
tablishments the key records are the same as
are to be found in private industry.
Engineering drawings, explanations of complex
industrial processes, lists of suppliers of items
and materials not everywhere available, and
similar records are carefully safeguarded.
Assigned Mission Records
In determining what are indispensible records
of activities peculiar to individual departments
and agencies, each must of course make its
own decision in the light of the emergency
mission for which it is responsible. The rec-
ords designated will be greatly influenced, how-
ever, by whether the emergency mission is
simply a continuation of a normal peacetime
program or is instead a completely or nearly
completely new program, such as price con-
trol, which is not a normal function.
If the emergency mission represents continua-
tion of a normal program, copies of those rec-
ords that show the current status of the pro-
gram should be safeguarded.
Records showing the location of stocks of
medical and other supplies may be of the ut-
most importance; records of building construc-
tion and of public utility systems may be es-
sential for repair and rescue work as well as
for determining the relative safety of structures
still standing.
Basically, departments and agencies will want
to provide vital record copies of summary in-
formation needed to continue and expand
going programs.
On the other hand, if the emergency mission,
or a part of it, consists of the administration
of a program not a part of normal Government
functions, background material as to how the
work was done in previous emergencies, or
how it should be done, should be safeguarded.
A small stock of forms used to accomplish the
mission, reports required, regulations, proce-
dures, and, particularly, critical evaluations of
the success of comparable predecessor pro-
grams, would be vital.
Such materials may often be available in
printed or published form rather than as manu-
scripts. Regardless of form, they will be all
important in getting the program off to a fast
and effective start.
There are additional problems in correlating
the selection of vital records by central offices
and field offices of agencies. As a rule, there
is no need to safeguard the same information
from both places. If a pension roll is being
safeguarded centrally, field offices need not
protect the same information at each field loca-
tion. On the other hand, a certain amount of
duplicate information is required at central
offices and field offices.
3. METHODS FOR PROVIDING VITAL RECORD COPIES
Most often vital records are maintained as
duplicate copies. The methods employed to
protect vital records vary from department to
department and from agency to agency, but es-
sentially they involve combinations of four ex-
pedients:
Reliance on Existing Duplicates at Other
Locations
Almost all departments and agencies rely to
some extent on duplicate sets of documents
already on file at separate locations within
their own organization, in other agencies, or
even in non-governmental institutions to which
they would have access in time of emergency.
These documents are regularly added to as a
part of everyday business. This has been
termed "built in dispersal." In some instances
the whereabouts of these duplicates is well
known; usually field offices have copies of all
of an agency's directives, regulations, organi-
zation charts, and the like. In other instances
only a handful of employees are even vaguely
aware of the existence of the program for the
protection of vital records, and therefore only
that handful have even thought in terms of the
existence and preservation of duplicates in
field office files.
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Provision of Duplicates for Storage at
Another Location
In most instances duplicates are assembled
specifically for storage in emergency alternate
or relocation sites, or at other security loca-
tions. This has been called "improvised dis-
persal." The volume of these records normally
is not such as to create a space problem. Such
duplicates are usually prepared simultaneously
with other records in regular day-to-day opera-
tions for periodic transfer to security storage.
Provision for Copies of Existing Records
Many departments and agencies have under-
taken programs for making copies of existing
records, either because there are existing ac-
cumulations of vital records of which no extra
copies are available or because the nature of
the record makes it impracticable to create it in
multiple copies. Examples of the first type of
records are construction drawings for public
utilities constructed in the past; examples of
the second are records of certain loans.
Copies are made by various methods, depend-
ing on the quantity of records to be copied and
on the nature of the record. Conventional office
copiers are now extensively used, but micro-
film has been the most used method for repro-
ducing existing files. Some Federal agencies
have used their own cameras or have arranged
for the General Service Administration to do
the filming on a cost reimbursable basis,
whereas others have contracted with commer-
cial companies that are equipped to do the job.
When the vital records program was first ini-
tiated it was necessary to microfilm significant
quantities of existing records to provide the
copies for security storage. As time has passed,
provision has been made for providing extra
copies at the time records are created, and
microfilm has been used less. There are at
least three reasons for this decline:
1. Microfilming is more costly nor-
mally than providing an extra copy at
the time the record is created;
2. Microfilm is relatively difficult to
use, and in an emergency there
might be real-difficulty in providing
necessary readers or reader-printers;
3. As long as the images are on a
single reel of microfilm, only one
person can use the reel at a time.
In certain circumstances, however, microfilm-
ing has merit in providing vital record copies.
It can be done relatively quickly, it presents a
minimum storage problem at the alternate or
relocation site, and it is usually less costly
than other reproduction processes where re-
production of existing documents is necessary.
When vital records are maintained in machine-
coded form, as for example on magnetic tape
or on punched cards, consideration should be
given to providing equipment for using the
coded information. Stored records so coded
also should be accompanied by a copy of the
program or other information necessary to use
them.
Evacuation of Official Files to Relatively
Safe Locations
Evacuation of vital records to a safe location is
feasible when they are referred to very seldom,
or when, after their immediate administrative
purpose has been served, they will not be
needed for a predictable or relatively long
period of time. It may also be practicable when
the emergency relocation site is in the imme-
diate vicinity.
The particular method used in ensuring the
availability of records depends on what records
are to be available, to what extent their disper-
sal has been accomplished through normal
procedures, and the relative costs of providing
protection through the several available
methods.
4. MECHANICS OF PROTECTING VITAL RECORDS
After vital records have been identified and de-
cisions made as to the best method of provid-
ing copies of them, the next question that
arises is, where should they be stored.
For storage purposes, a distinction may be
made between the two categories of vital
records:
1. Records that are "vital to the es-
sential functions of the Federal Gov-
ernment for the duration of an emer-
gency if this country is attacked"
should be available at the depart-
ment or agency relocation sites.
These are the emergency operating
.records.
2. Records that are essential to the
preservation of rights and interests
of individual citizens and of the Gov-
ernment require special protection
but need not be at relocation sites.
The sites chosen for such records
should be relatively safe, but often
these records are voluminous and it
may be impracticable to keep them
at relocation sites.
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required by security regulations of the agency.
Only in this way can proper handling be as-
sured in transmission and storage.
Transfer to Storage
Normally records are not transferred to reloca-
tion sites on a daily basis (unless the material
is of the utmost importance) but on a weekly,
monthly or other basis, particularly if the send-
ing of a special messenger is involved. Pro-
vision for interim storage in local vault or other
suitable space is desirable. In some cases it
may be appropriate to arrange with the local
postmaster at the relocation site to receive and
hold unclassified materials for temporary stor-
age in a post office vault or safe. Periodically
the material may then be picked up and moved
to the storage site. If the agency security
officer approves, this same system can be used
for classified materials, but before such ap-
proval is given, an inspection of the postal
facilities is usually required.
Storage
At the relocation site the records are usually
arranged on an organizational basis (by collect-
ing points, as noted above) and thereunder
chronologically by date of receipt or numeri-
cally by inventory number.
Rotation of Records
Records are retained at the site in accordance
with instructions on the package labels or on
the inventory sheets. If new shipments are to
replace old records, this fact must be clearly
indicated, and the envelopes, folders, bundles,
or cartons of records to be destroyed should
be destroyed on the spot, or they may be re-
turned to the collecting point for destruction
there. Similarly, when supplementary materials
are received at the relocation site, their rela-
tionship to materials already there should be
clearly set forth on the package label and on
the inventory.
Responsible Custody
Some individual must be responsible for
maintaining the records in storage. It may be
impracticable or unnecessary to station files
personnel at the storage point at all times. In
such event, someone will need to make peri-
odic trips to file additional materials in their
proper places, to remove disposable files, and
to ensure the continued proper maintenance
of the vital records.
If all of the above factors have been con-
sidered, when either a test alert or a real emer-
gency occurs, the vital records should be ready
for use. The records should be in such shape
that they can be made available immediately,
and there should be no need to search through
obsolete files to find current records.
5. GOVERNMENT-WIDE USE OF GSA'S VITAL RECORDS DEPOSITORY
The General Services Administration maintains
an underground Vital Records Depository suit-
able for safeguarding emergency preparedness
records of all Federal executive departments
and agencies. Its use is optional.
Established primarily for the protection of vital
records of the rights and interests category on
a Government-wide basis, this facility also ac-
cepts emergency operating records (those nor-
mally maintained at the individual department
or -agency relocation sites), particularly "sec-
ond" or "insurance" copies. The option of
deciding whether this Depository is an appro-
priate site for storage of emergency operating
records is one for each department or agency.
The Federal judicial and legislative branches
of Government are also invited to use this
facility for storage of their preparedness
records.
The protective physical features of the Deposi-
tory conform to criteria established for agency
relocation sites for National emergency opera-
tions. It is centrally located in the United
States, accessible to motor, rail, and air trans-
portation. Atmospheric conditions within are
ideal for proper storage of photographic film,
magnetic tape, as well as paper records. An air
conditioning system, with auxiliary stand by
power feature, controls its temperature and
humidity. Built-in automatic sprinklers pro-
vide fire protection.
The Depository operates as an annex to the
Federal Records Center, Kansas City, Missouri.
It provides essentially the same records serv-
ices as do the other Federal records centers,
as are explained in the GSA Handbook, Federal
Records Centers, Federal Stock Number 7610-
298-6904, except as set forth below.
The Depository performs the following services
for Federal departments and agencies without
cost reimbursement:
1. Receives and stores vital records
on preinstalled shelving within the
underground complex in the same
basic arrangement as received, safe-
guarding them by appropriate meas-
ures on a 24-hour basis;
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2. Makes the records available for
use as early as practicable after re-
ceipt, answering inquiries about
them as authorized;
3. Adds, replaces, withdraws, de-
stroys, or returns records, as appro-
priate, usually on an unopened con-
tainer basis.
Departments or agencies using the Depository
should:
1. On initial transfers, provide the
name, address, and telephone num-
ber of officials having primary re-
sponsibility for the transferred rec-
ords, and designate, in writing,
officials authorized to order disposi-
tion and to inspect or otherwise have
access to the records . (providing
specimen signatures);
2. For each shipment of records
transferred, show the highest de-
fense classification on the inner con-
tainer of each packaged file item;
3. Provide any special instructions
or assistance concerning arrange-
ment, service, or maintenance of the
records, if required;
4. Bear the costs of shipping records
to and from the Depository.
To help facilitate handling transfers at the
Depository, a completed inventory or descrip-
tive list of the records (in duplicate) should
accompany each shipment, or be mailed in ad-
vance. One copy will be signed and returned
as a receipt for the shipment. For future
reference to the records, it will show an acces-
sion number assigned by the Depository.
Standard Form 135, Records Transmittal and
Receipt, and Standard Form 135A (Continua-
tion Sheet), if needed, may be used for this
purpose, or the using agency's own vital rec-
ords forms may be used (see figure 2 for ex-
amples). A memorandum or letter will also
suffice. The particular forms used are not
important so long as adequate information is
furnished.
Standard size transfer cartons are available
for shipping records to the Depository. De-
partments and agencies are encouraged to use
these cartons because of their compatibility
with the uniform-size shelving installed at the
Depository. The cartons have inside dimen-
sions of 10 by 12 by 15 inches and hold each
one cubic foot of either letter or legal size rec-
ords. Standard cartons may be obtained by
requisition from the nearest Federal Supply
Service depot (Federal Stock Number 8115-
290-3379), or at no cost from the nearest
General Services Administration Federal rec-
ords center. Half-size cartons are also avail-
able at no cost from the Federal records cen-
ters. These measure approximately 5 by 10 by
15 inches inside.
Records will be handled at the Depository in
accordance with instructions provided on the
inventories furnished or on the individual pack-
aged items (inner container labels). Replaced
records will be burned at the Depository or
returned as instructed.
The updating of records prepositioned at the
Depository is best accomplished by subsitut-
ing unopened containers of current records for
like containers of obsolete records. This tech-
nique should be used to the maximum extent
practicable to help minimize, at the Depository,
such time consuming and costly operations, for
example, as changing, correcting, or interfiling
individual documents. Uniform processing at
designated agency vital records assembly or
collection stations is essential to effective and
economical use of this technique.
This means that the department and agency
stations should package separately all records
readily identifiable as a unit, label each pack-
age with an identification label similar to the
one shown in figure 2 (or otherwise relate the
packages to the inventories), place them in
records transfer cartons (or otherwise repack-
age them), and address them for shipment to
the Depository, as follows:
For Shipments Via Postal Channels:
Federal Records Center Annex, GSA
Post Office Box 141
Neosho, Missouri 64850
For shipments Via Commercial
Motor or Rail Freight:
Federal Records Center Annex, GSA
Ozark Terminal
Neosho, Missouri 64850
Prior to initial use of the Depository, depart-
ments and agencies are asked to sign a "Rec-
ords Transfer Agreement," covering essentially
the conditions outlined above plus any special
ones (subject to negotiation) which are mu-
tually agreeable. Agency officials requiring
any additional information about the Deposi-
tory, or a copy of the specified agreement,
should communicate with:
Regional Director, NARS
General Services Administration
1500 East Bannister Road
Kansas City, Missouri 64131
Representatives of departments or agencies in
the Washington area who are interested in
transferring vital records to this depository
are invited to contact:
General Services Administration
National Archives and Records Service
Office of Federal Records Centers-NC
Washington, D.C. 20408
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6. VITAL RECORDS PROTECTION STATUS REPORTING
The primary purpose of vital records status re-
porting is to provide current information for
the Office of Emergency Planning to evaluate
overall readiness of the Federal executive de-
partments and agencies in safeguarding rec-
ords needed for emergency operations. It is
also instituted as a reminder to such depart-
ments and agencies that their programs should
be reviewed periodically for possible improve-
ment.
Instructions requiring submission of the vital
records protection status reports are set forth
in the Federal Property Management Regula-
tions (41 CFR Part 101-11).
Status reports in two parts, covering both emer-
gency operating records and rights and inter-
ests records (see figures 4, 5, and 6 for forms
used), are submitted by departments and
agencies to the General Services Administra-
tion, National Archives and Records Service,
Office of Federal Records Centers-NC, Wash-
ington, D. C. 20408. The reports are reviewed
and transmitted to the Office of Emergency
Planning for overall evaluation and appropriate
action.
Reports are required for each individual vital
records program. Generally, this means that
the smaller independent agencies will prepare
a single consolidated report. Larger agencies
and cabinet departments will prepare an in-
dividual report for each large component (e.g.,
bureau, service, administration, or office). Re-
gional or field program reports shall be incor-
porated within the reports for bureau. level or
above before being transmitted to GSA.
The reports should reflect any outstanding
recommendations and actions to be taken con-
cerning vital records arising out of overall
records management program evaluations con-
ducted within the reporting department or
agency by the National Archives and Records
Service.
The reports should provide in the answers or
in attachments appropriate comments as to
conditions and planned improvements, essen-
tially as follows:
Plans and Facilities
Has your agency developed plans for preserv-
ing and providing operational and safe loca-
tions for storing its vital records? If not, what
corrective actions will be taken during this
year?
Programs
Has your agency developed an on-going pro-
gram to preserve and prelocate its vital rec-
ords? If not, what stopgap plans are going to
be used in an emergency and what corrective
actions will be taken this year?
Readiness
If a nuclear attack were to occur, would your
agency have the required vital (operating)
records to carry on emergency operations at
alternate facilities? If not, what corrective ac-
tions will be taken this year?
Recovery
Have the vital (rights and interests) records of
your agency been prepositioned at safe and
accessible locations from where they can be
recalled as needed during recovery? If not,
what corrective actions will be taken this year?
Each report is to be complete in itself and
supersedes the previous report. The reports
should be security classified appropriate to
the degree of classified information they con-
tain.
The reports are to be submitted in duplicate
annually, as of June 30, and are due in GSA
within 10 workdays thereafter. Special ad-
visory reports should be prepared and sub-
mitted whenever a significant change occurs
in the status or location of the records pro-
tected.
Limited quantities of the illustrated reporting
forms are available at no charge from GSA
Region 3, Office of Administration, Administra-
tive Services Division-3 BRD, Washington,
D. C. 20407.
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GENERAL SERVICES ADMINISTRATION
NATIONAL ARCHIVES AND RECORDS SERVICE
VITAL RECORDS PROTECTION STATUS REPORT
(PART I - EMERGENCY OPERATING RECORDS)
INSTRUCTIONS
Please submit this report in duplicate to the address shown below. This report shall be prepared for bureau level or above and shall
incorporate subordinate unit program reports before being submitted to GSA. Use plain bond paper to complete any report items.
F
TO: General Services Administration
National Archives and Records Service
Office of Federal Records Centers
Washington, D.C. 20408
0b. OTHER (Specify)
0 B J E C T I V
E S
COMPLETE
(11
INCOMPLETE
(2)
a.
PLANS FOR PRESERVING EMERGENCY OPERATING RECORDS
b.
EMERGENCY ORGANIZATIONAL AND MANNING RECORDS (READINESS)
PRELOCATED
c.
EMERGENCY SUBSTANTIVE AND PROCEDURAL RECORDS (OPERATING)
PRELOCATED
d.
RECORDS NOT PRELOCATED MARKED FOR EMERGENCY MOVEMENT
e.
EQUIPMENT NEEDED FOR USE OF PRELOCATED RECORDS PROVIDED
7.
STATUS OF RECORDS OF MAJOI
PARTICIPATING UNITS
COMPLETE NO.
INCOMPLETE
NO.
8. PERCENT OF OVER-ALL PROGRAM COM-
PLETED AND MAINTAINED CURRENT
PERCENT
9.
MAJOR LOCATION(S) OF PROTECTED RECORDS
(YES OR NO)
UNITS OF
ORIGIN ADDRESSES
SPACE
PROTECTED
IN. OR ACCESSIBLE
TO. EMERGENCY
OPERATING FACILITY
RECORDS
IN USABLE
FORM
RECORDS
COMPLETE
10. PROGRAM REVIEWED
1:1 a. ANNUALLY
r_1 b. SEMIANNUALLY C. OTHER (Specify)
It. GIVE REASONISI FOR UNCOMPLETED PROGRAM ACTIONS FOR EACH ITEM
INCOMPLETE UNDER ITEMS 6 .AND B.
Figure 4. Status Report Form for Emergency Operating Records
M a. TOTAL ORGANIZATION
12. LIST DEFINITIVE CORRECTIVE ACTIONS TO BE TAKEN THIS FISCAL
YEAR !ND INTERIM STOPGAP MEASURES FOR EACH ITEM INCOMPLETE
UNDER ITEMS 6 AND B.
ONE
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GENERAL SERVICES ADMINISTRATION
NATIONAL ARCHIVES AND RECORDS SERVICE
VITAL RECORDS PROTECTION STATUS REPORT
(PART 11 - RIGHTS AND INTERESTS RECORDS)
INSTRUCTIONS
Please submit this report in duplicate to the address shown below. This report is to be filled-out for the some reporting element for
which GSA Form 2034, dealing with emergency operating records, was completed.
F
TO: General Services Administration
National Archives and Records Service
Office of Federal Records Centers
Washington, D.C. 20408
4. REPORT COVERS
0 a. TOTAL ORGANIZATION b. OTHER (Specify)
O B J E C T I V E S
COMPLETE
111
INCOMPLETE
(2)
a. PLANS FOR PRESERVING RIGHTS AND INTERESTS RECORDS
b. APPROPRIATE RIGHTS AND INTERESTS RECORDS OF DEPARTMENT OR AGENCY EMPLOYEES PRESERVED
C. APPROPRIATE RIGHTS AND INTERESTS RECORDS OF PUBLIC (CITIZENRY) PRESERVED
d. APPROPRIATE RIGHTS AND INTERESTS RECORDS OF DEPARTMENT OR AGENCY PRESERVED
_
_
_
7. STATUS OF RECORDS OF MAJOR
PARTICIPATING UNITS
COMPLETE NO.
INCOMPLETE NO.
8 PERCENT OF OVER-ALL PROGRAM CONT.
PLETED AND MAINTAINED CURRENT
C
ENT
VffR
9. MAJOR LOCATION(S) OF RECORDS DEPOSITORIES
(YES OR NO)
UNIT OF ADDRESSES
OR GIN
SPACE
PROTECTED
RECORDS
COMPLETE
10. PROGRAM REVIEWED
a. ANNUALLY
11. GIVE REASON(S) FOR UNCOMPLETED PROGRAM ACTIONS FOR EACH ITEM
INCOMPLETE UNDER ITEMS 6 AND B.
12. LIST DEFINITIVE CORRECTIVE ACTIONS TO BE TAKEN THIS FISCAL
YEAR AND INTERIM STOP-GAP MEASURES FOR EACH ITEM INCOMPLETE
UNDER ITEMS 6 AND B.
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RECOJ ING MEDIUM(Paper,
microlfi m, punt -cars, etc.)
b,
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7. ENSURING ADEQUACY OF THE PROGRAM
What appears on paper to be the best possible
program for the protection of vital records will
represent virtually a complete waste of time
and effort if it is not kept up-to-date.
To ensure that the program is adequate, it
must be simple and economical, and it should
be reviewed at least annually. Vital records
inventories should be reviewed for adequacy
in terms of any new or revised program respon-
sibilities.
As has already been indicated, in determining
what are vital records there are two conflicting
tendencies to be reconciled:
1. The tendency of most people to
over-emphasize the value of the
tasks they are performing and con-
sequently to earmark too many rec-
ords as vital records, and
2. The tendency of people to forget
that when someone else must per-
form their vital functions, that other
person will not have the benefit of
all the information in their own
minds.
The records must be complete enough to en-
able a person relatively new to the job to
carry it out, and they must be few enough to
make a continuing program practical.
Federal agencies have found that, as in the
case of private companies, the percentage of
all their records that deserve designation as
vital records will vary with the functions they
are to perform, but that in any event the per-
centage will be relatively small. On an average
not more than 1 or 2 percent at most of the
total holdings are vital records. Accordingly,
optimum protection should be provided.
Care should be taken to avoid developing overly
elaborate programs to safeguard too many
records so that they can be continued indefi-
nitely without running into budget or proce-
dural difficulties.
The vital records reporting system provides
full information on the status of the program,
the persons responsible for specific activities,
and the nature and whereabouts of the key
records. The information, which should be
kept where it is available as well as safe, will
be needed not only at the agency relocation
site, but also where it can be used by the
relocation officers and others responsible for
planning, directing, and reviewing emergency
activities.
Among the data needed are the specific loca-
tions of the vital records. In an emergency it
would not be sufficient to know only the name
of the city where the records are held. If only
this were known by the official needing the
records the emergency might well be over be-
fore the records were found.
Similarly, if records are kept at several loca-
tions, the person needing them wants to know
which files are at which location so that he can
get what he wants with a minimum of delay.
In addition, names and addresses should be
kept of several people who know about the
program, preferably people at different loca-
tions. This is done on the theory that the same
disaster that made necessary recourse to the
records might also eliminate the officials at
any single location who know about the pro-
gram.
Unless this information is reviewed regularly
and kept current it may be of no value in time
of emergency.
Valuable information for improving the pro-
gram can be obtained by testing it under simu-
lated emergency conditions. Such tests are
also useful to instill in the participants a sense
of the meaning and importance of prepared-
ness. These should be designed to disclose,
among other things, that:
1. Records essential to carrying out
assigned responsibilities are pro-
tected;
2. Records are current and can be
located quickly and easily;
3. Records are sufficiently complete
to permit persons other than regu-
larly assigned employees to perform
required tasks;
4. Methods and procedures relating
to records transfers to security
site(s), and their updating, are suffi-
cient to ensure smooth operation;
5. Lines of program supervision and
organization are clearly shown in the
records and understood by those as-
signed emergency responsibilities.
Naturally such tests are not conclusive, but
nonetheless they are among the best available
means of ensuring program adequacy.
In conducting surveys of overall agency rec-
ords management programs and practices,
under authority of the Federal Property and
Administrative Services Act of 1949, 63 Stat.
377, as amended, the General Services Ad-
ministration (National Archives and Records
Service) includes a review of agency programs
for the protection of vital records.
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CHECKLIST
The questions are so worded that check marks in the NO column indicate the need for corrective
action.
1. Do you know the emergency mission of your organization?
2. Are all records vital to your emergency mission stored at your relocation
site or otherwise appropriately safeguarded?
3. Are appropriate officials of your agency apprised of services available
at GSA's Vital Records Depository?
4. Are records at the relocation site kept current?
5. Are they adequately arranged and listed or indexed?
6. Are obsolete materials systematically removed?
7. Are statements of emergency mission, delegations of authority, and
predrafted emergency issuances available at relocation site?
8. Are adequate records of personnel there?
9. Are voluminous records vital to eventual safeguarding of rights and in-
terests maintained separate from emergency operating records either
within the relocation site or elsewhere?
10. Are records necessary to facilitate establishment of new programs at
relocation site?
11. Has the availability of any special equipment needed to use the records
in the area been checked?
12. Have field office plans been coordinated with central office plans?
13. Are you able adequately to monitor the program by available reports and
inventories?
14. Are program status reports prepared and submitted annually?
15. Were the records at the relocation site adequate during the past test?
16. Is your program so simple and inexpensive that you anticipate no diffi-
culties in keeping it up to date?
17. Are adequate security measures in effect for the program?
18. Is your office's program in full operation and now capable of meeting
emergency requirements?
Appendix A-Vital Records (Checklist)
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