ARA-8.11 – Identification of Agency Vital Records

A. Purpose

As part of the City’s overall business continuity plan, it is necessary to identify and protect those records that are essential to: protect City assets; protect the rights of the City, its citizens, and employees; and to resume operations in the time period immediately following a disaster. 

B. Definitions

Vital Records: records that are fundamental to the functioning of an organization. Certain vital records contain information critical to the continued operation or survival of an organization during or immediately following a crisis. Such records are necessary to continue operations without delay under abnormal conditions. They contain information necessary to recreate an organization’s legal and financial status and to preserve the rights and obligations of stakeholders, including employees, customers and citizens. Some vital records may be unique and not easily reproducible, or the cost of reproduction or replacement may be considerable. They may be required in their original form to meet or fulfill evidential requirements. Records should be classified as vital only for as long as they support critical business processes and fulfill the requirements described above. Once they have fulfilled this role, they should be reclassified. 

C. Policy

Each agency must analyze its own operation and records to determine what information is vital to its continued existence. This must be fully aligned with overall City business continuity/recovery objectives and priorities and is assisted by defining operational, legal, and regulatory recordkeeping requirements and answering the following questions: 

• What records are absolutely necessary to resume operations?
• What records are necessary to protect assets, protect legal and financial status of the City, and preserve rights and obligations of employees, customers, stakeholders, and citizens?
• How are these records created and where are they stored?
• Does the necessary information reside in more than one medium?
• Are there other sources – inside or outside the organization – from which the records can be retrieved? 

Each agency must submit upon request an inventory of its vital records to Archives & Records Management and to the Portland Bureau of Emergency Management. 

Auditor’s Office Administrative Rule Information

Questions about this administrative rule may be directed to the Archives & Records Management Division.