Template for Vital Records
This section contains the information regarding the critical resources to be retrieved
and vital records, both automated and manual files, that are required to support the
critical processes of the business unit. Automated – or electronic - records should be
defined by a report name/number, job number or other appropriate description. For
personal computer applications, the program software and data files as well as the
location of the backup are indicated. Manual records, including files, tickets and
manual reports, are also identified. For both types of records, manual and automated, a
backup source of information should be indicated.
Backup and Storage Strategies
(List the backup and storage strategy your company uses to protect its critical data.)
Data File Backup
The various business units across your company need to be able to generate a current
master file that reflects transactions up to the point in time of the disruption. Ideally
data files should be backed up both on- and offsite to provide recovery capability.
Retention of current data files, or older master files and the transaction files necessary to
bring them current, is important so that processing can continue in the event of a
disaster or other disruption. The creation and rotation of core processing data file
backup should occur at least daily, more frequently if the volume of processing or
online transaction activity warrants. Less critical data files may not need to be saved
offsite in a timely manner and not be returned until new backup files are offsite.
The data backup schedule is as follows:
System / data
Frequency of backup
Location of backup
Software Backup
Software backup for all hardware platforms across your company might consist of
three basic areas: operating system software, application software, and utility software.
All software and related documentation should have adequate off-premises storage.
Even when using a standard software package from one vendor, the software can vary
from one location to another. Differences may include parameter settings and
modifications, security profiles, reporting options, account information, or other options
chosen by the institution during or subsequent to system implementation. In a disaster
recovery situation, any or all of these issues will delay recovery. Therefore,
comprehensive backup of all critical software is essential. The operating system
software should be backed up with at least two copies of the current version. One copy
should be stored on premises for immediate availability in the event the original is
damaged; the other copy should be stored in a secure, off-premises location. We
recommend that duplicate copies are tested periodically and recreated whenever there
is a change to the operating system. Application software, which includes both source
(if the institution has it in its possession) and object versions of all application
programs, should be maintained in the same manner as the operating system software.
Backup copies of the programs should be updated as program changes are made.
Server and personal computer software required to restore operations at relocation
site:
Software
Application/use
Vital Records
Indicate automated reports and manual records which are essential to your company’s
operations.
Records
Automated/
manual
Source
Indicate any other essential information, from what sources this information is received
and when.
Records
Automated/
manual
Source
Indicate personal computer records, such as word processing, spreadsheet or database
records, which are essential to the processing of your operations.
Records
Application/use
Vital Records for Offsite Storage
Indicate personal computer records, such as word processing, spreadsheet or database
records, which are essential to the processing of your operations.
Automated records
Databases
Network documentation
Data
Manual records
Critical Resources to be Retrieved
Following the incident, if authorities and your facilities staff determine your primary or
secondary locations are safe to enter, you might be allowed into your building for a
short time. This could be for as little as 15 or 30 minutes. Use the template below to help
you create a list of critical items that need to be retrieved if you can re-enter your
building.
Items to be retrieved
Comments
Critical records
Other
Offsite Resource and Alternate Location Requirements
(Note to user: Each recovery team named in the BCP is required to complete this form for inclusion in
the BCP.)
Team:
Team leader:
This recovery work area is applicable for the following scenarios (please list scenarios, e.g.,
tornado, data center failure, flood):
1.
2.
3.
Recovery location:
Location phone number:
Recovery location address:
Website for map to location:
Location manager:
Location manager cell phone:
Hours of operation:
Resources present:
Approved overnight facility:
Comments/notes:
Voice and Data Communications Requirements
Use the template below to help you create a list of personal computers or servers that
are required for the recovery team and status of whether the PCs are networked or
stand-alone computers.
Computer
Networked/stand-alone
Software Needed for Workstations: The following software is required to restore
operations at a relocation site.
Software name, maker and version
Application/use
Data and systems which are backed up (including the frequency of backup and the
current location of backed up data):
System / data
Frequency of backup
Location of backup
Recovery team’s minimum telecommunications requirements:
Telecommunications Requirements
Normal
Minimum Requirement
Current number of telephones
Current number of cell phones
Current number of fax machines
List all websites that are critical to your operations:
Website
Need for use
FTP site
Need for use
Host site
Need for use
Office Requirements
This section will document the minimum office requirements required at the relocation
site in order to maintain critical operations. These requirements are divided into office
equipment and services. Office equipment includes that equipment, other than
computers and telephones, which are necessary to operate. Service requirements
include external mail, courier and document reproduction services.
Use the template below to help you create a list of minimum basic office equipment
needed at the relocation site, and how soon after the disaster it would be needed.
Equipment description
Quantity required
When needed
Difficult-to-replace Assets
Use the template below to help you create a list of equipment that would be difficult to
replace on short notice if your office was inaccessible.
What vendors would be required to obtain needed equipment?
Vendor
Equipment required
Customer
#
Vendor telephone number
Offsite stored materials
Consider creating a "recovery box" that is stored in an offsite location. The recovery box
would contain specific items that the recovery team would need if your primary
location is not accessible. Examples include:
 Copies of forms your business unit would need right away
 Copies of procedure manuals
 Essential materials recovery team would need right away
The box and an inventory listing of its contents are both critical records and should be
documented as such.
Recovery boxes
Team:
Storage location:
Contact name:
Box identification:
Contents
Comments
Notes:
 "Storage location" refers to the name of the offsite storage facility.
 "Contact name" refers to the person who coordinates retrieval of recovery boxes.
 "Box identification" refers to the appearance of the box, the identifying code on
the outside of the box, etc.
 Contents/comments identify the items stored in the box and special concerns,
such as update/maintenance or shelf life.