Page345

Vital Records

Vital records should be stored offsite, at a location and in a format that will allow access during a disaster. It is best practice to have both electronic and hardcopy versions of all vital records.

Vital records include contact information for all critical staff. Additional vital records include licensing information, support contracts, service level agreements, reciprocal agreements, and telecom circuit IDs.

Executive Succession Planning

Organizations must ensure that there is always an executive available to make decisions during a disaster. Executive Succession Planning determines an organization’s line of succession. Executives may become unavailable due to a variety of reasons, ranging from injury and loss of life, to strikes, travel restrictions, and medical quarantines.

A common Executive Succession Planning mistake is allowing entire executive teams to be offsite at distant meetings. Should a transportation interruption (such as the interruption of airline flights that occurred in the United States in the days following 9/11/2001) occur while the executive team is offsite, the company’s home office could be left without any decision-making capability. One of the simplest executive powers is the ability to endorse checks and procure money.

Learn by Example

United States Government Executive Succession Planning

The United States government’s presidential line of succession is a result of executive succession planning at a nationwide level: “Whenever the office of President of the United States becomes vacant due to ‘removal … death or resignation’ of the chief executive, the Constitution provides that ‘the Vice President shall become President.’ When the office of Vice President becomes vacant for any reason, the President nominates a successor, who must be confirmed by a majority vote of both houses of Congress. If both of these offices are vacant simultaneously, then, under the Succession Act of 1947, the Speaker of the House of Representatives becomes President, after resigning from the House and as Speaker. If the speakership is also vacant, then the President Pro Tempore of the Senate becomes President, after resigning from the Senate and as President Pro Tempore. If both of these offices are vacant, or if the incumbents fail to qualify for any reason, then cabinet officers are eligible to succeed, in the order established by law (3 U.S.C. §19, see Table 3). In every case, a potential successor must be duly sworn in his or her previous office, and must meet other constitutional requirements for the presidency, i.e., be at least 35 years of age” [19].

The United States line of succession includes, in order, Vice President, Speaker of the House, President Pro Tempore of the Senate, Secretary of State, Secretary of the Treasury, Secretary of Defense, Attorney General, Secretary of the Interior, Secretary of Agriculture, Secretary of Commerce, Secretary of Labor, Secretary of Health and Human Services, Secretary of Housing and Urban Development, Secretary of Transportation, Secretary of Energy, Secretary of Education, Secretary of Veterans Affairs, and Secretary of Homeland Security.

The United States government understands the criticality of ensuring that an executive remains in power in the event of disaster no matter how disruptive the disaster may be. Most organizations will have a shorter line of succession, but should always consider the worst-case scenario during Executive Succession Planning.

Plan Approval

Now that the initial BCP/DRP plan has been completed, senior management approval is the required next step. It is ultimately senior management’s responsibility to protect an organization’s critical assets and personnel. Due to its complexity, the BCP/DRP plan will represent the collective work of many individuals and many lines of business. Senior management must understand that they are responsible for the plan, fully understand the plan, take ownership of it, and ensure its success.