This course, Essential Records Seminar, is part of The IPER Project This course, Essential Records Seminar, is part of Slide 1-1 1

Recent Maryland Natural Disasters Hurricanes Floods Snow Tornadoes Power Outages related to these conditions

Training focuses on three functional areas: Target audience: Any government employee involved in creating, maintaining, and protecting records, or in preparing for emergencies Training focuses on three functional areas: Emergency management Records management Information technology Slide 1-3 3

Course Objectives By the end of this portion of the course, you will be able to: Identify the records that you need to designate as essential records Identify and evaluate risks to the essential records of an agency Identify and evaluate preparedness and mitigation strategies to protect and ensure continued access to essential records in case of natural emergencies or human-caused threats such as arson, vandalism, computer hacking, or terrorism Complete the Essential Records Template for incorporation into COOP Plans Slide 1-4 4

What Are Essential Records? Records are considered essential when they: Are necessary for emergency response Are necessary to resume or continue operations Protect the health, safety, property, and rights of residents Would require massive resources to reconstruct Document the history of communities and families Essential records require special protection strategies to ensure they are protected and accessible. Essential records can be found in any format and in any medium. Slide 1-5 5

Differentiate Essential Records from Other Records Only a small percentage of records are essential, typically less than five percent. Its critical value during and/or after an emergency makes a record essential. As disruption time increases, more records become essential. Slide 1-6 6

Which of Your Agency’s Records Are Essential? Essential records differ by agency. Each agency must determine which of its records is or are essential. What you need to know to identify essential records: Your agency’s essential functions Your agency’s records The stakeholders Relevant statutes, regulations, and standards Slide 1-7 7

Know Your Agency’s Essential Functions Identification of essential records starts with understanding essential functions. Slide 1-8

Know Your Agency’s Records Importance of a good records management program Records inventories Records retention schedules Slide 1-9

Know the Stakeholders Who depends on you? Who do you depend on? Individuals Other agencies Outside organizations Who provides mission-critical support? Information technology Human resources Legal and accounting Emergency management, COOP Slide 1-10

Interview Stakeholders Interview key stakeholders and staff to get information about essential functions. Ask specific and pointed questions: Yes: “What if you didn’t have access to that series of records for 24 hours?” No: “How long could you operate without that series of records?” You may also want to use a questionnaire to gather information. Slide 1-11 11 11

Know Relevant Statutes, Regulations, and Standards Statutes and ordinances that apply to your state and locality. Regulations issued by state and local governments. Standards from federal agencies and national organizations. Guidance from state and federal agencies, professional and industry associations. Slide 1-12

Determine Essential Functions and Identify Essential Records Activity Determine Essential Functions and Identify Essential Records Handout 1.7—Table 2: My Agency’s Essential Functions and Essential Records Slide 1-13 13

Risk Management Key Terms Hazard Risk Risk management Risk assessment Risk analysis Flood in Oneonta, NY Photo courtesy of Mario R. Arevalo, Oneonta (NY) City Assessor Slide 2-14 14

Risk Assessment—Identify Risks (cont’d.) Risks related to emergencies Natural emergencies Technological emergencies Civil emergencies Tornado approaching La Plata, MD Slide 2-15 15

Risk Assessment—Identify Risks (cont’d.) Scope of an emergency Onsite Immediate vicinity Community- or region-wide Cologne Archives, March 2009 Slide 2-16 16

Risk Assessment Techniques Site survey can help you find: Existing risks to records Security and controls already in place Vulnerable areas Expert interviews can help you find: Physical location of the essential records Timing, planning for off-hours disasters Brainstorming will assist in assessing risks Slide 2-17 17

Step 1: Establish a Rating System RISK ANALYSIS Step 1: Establish a Rating System Rating system should contain two ratings: Probability rating Impact rating A sinkhole swallowing your building is not likely to happen – but the impact would be HUGE! Slide 2-18 18

Step 2: Evaluate Your Findings RISK ANALYSIS Step 2: Evaluate Your Findings Determine your threshold for action Slide 2-19 19

Document the Risks Document the results of your risk assessment, risk analysis, and prioritizing. Prepare a strategy to communicate your findings to your agency so it can address the risks as: Part of the COOP planning Part of the essential records program planning Part of emergency planning Part of records management and information technology planning Slide 2-20 20

Identify and Evaluate Risks Activity Identify and Evaluate Risks Slide 2-21 21

Strategies for Handling Risk Avoidance Acceptance Mitigation Photo courtesy of Tina Seetoo, Georgia Archives Slide 3-22 22

Preparedness and Mitigation Measures Dispersal On-site protection Evacuation Tape backup Data replication Mirroring Slide 3-23 23

Materials for the Activity Handout 3.2—Table 2: My Agency’s Protection Strategies and Measures Handout 2.3—Table 3: My Agency’s Risk Matrix Slide 3-24 24

Make Essential Records Available Agencies must be prepared to access their essential records. Retrieval procedures should require only routine effort. All equipment needed to read essential records must be available. Slide 4-25 25

Priority Levels and Timeframes for Accessing Essential Records Priority 1—First 12 hours Needed immediately, to respond to the incident Priority 2—First 12–72 hours Needed to manage the incident and resume operations Priority 3—After first 72 hours Needed to continue essential functions and for long-term recovery Slide 4-26 26

Access Records in Storage Priority 1 Store in close proximity and have 24‑hour availability Priorities 2 and 3 Store in facilities farther away, with less need for quick access Photo courtesy of NARA Slide 4-27 27

Cycling Cycling entails periodically replacing or updating obsolete copies of essential records with current copies. Cycling may be done: Daily Weekly Quarterly Annually Develop a duplication schedule. Slide 4-28 28

Develop Procedures to Ensure Access to Essential Records To ensure access, agencies should develop and document: Policies Delegations of authority Responsibilities of agency officials Procedures governing the essential records program Slide 4-29 29

Materials for the Activity Handout 4.3—Table 1: DPR’s Priorities and Timeframes for Accessibility Slide 4-30 30

IPER supports a fundamental component of Continuity of Operations (COOP): Ensuring that state and local governments can access and use records needed to restore essential services Photo courtesy of NARA Slide 1-31 31

The COOP Process Too often, the COOP process neglects the identification and protection of essential records. Records custodians must be prepared to protect their essential records so that, in the event of an emergency, their offices can recover quickly and return to service for the residents of their state or locality. Slide 1-32 32

Essential Records Template Slide 4-33 33

Don’t Forget Your Stakeholders Your network of stakeholders is invaluable for integrating your essential records emergency planning with your agency’s current COOP Plan COOP Manager Emergency Managers Agency head IT director Legal and accounting staff Records management personnel Custodians of archival records Agencies or outside organizations Slide 4-34 34