1. This course, Essential Records Seminar, is part of
The IPER Project
This course, Essential Records Seminar, is part of
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2. Recent Maryland Natural Disasters
Hurricanes
Floods
Snow
Tornadoes
Power Outages related to these conditions

3. 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
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4. 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
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5. 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.
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6. 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.
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7. 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
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8. Know Your Agency’s Essential Functions
Identification of essential records starts with understanding essential functions.
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9. Know Your Agency’s Records
Importance of a good records management program
Records inventories
Records retention schedules
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10. 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
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11. 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.
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12. 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.
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13. 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
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14. 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
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15. Risk Assessment—Identify Risks (cont’d.)
Risks related to emergencies
Natural emergencies
Technological emergencies
Civil emergencies
Tornado approaching La Plata, MD
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16. Risk Assessment—Identify Risks (cont’d.)
Scope of an emergency
Onsite
Immediate vicinity
Community- or region-wide
Cologne Archives, March 2009
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17. 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
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18. 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!
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19. Step 2: Evaluate Your Findings
RISK ANALYSIS
Step 2: Evaluate Your Findings
Determine your threshold for action
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20. 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
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21. Identify and Evaluate Risks
Activity
Identify and Evaluate Risks
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22. Strategies for Handling Risk
Avoidance
Acceptance
Mitigation
Photo courtesy of Tina Seetoo, Georgia Archives
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23. Preparedness and Mitigation Measures
Dispersal
On-site protection
Evacuation
Tape backup
Data replication
Mirroring
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24. 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
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25. 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.
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26. 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
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27. 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
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28. 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.
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29. 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
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30. Materials for the Activity
Handout 4.3—Table 1: DPR’s Priorities and Timeframes for Accessibility
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31. 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
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32. 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.
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33. Essential Records Template
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34. 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
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