Records Management Branch

"Essential Records are IT systems, applications, infrastructure, electronic and hardcopy documents, references, and records needed to support the continued performance of essential functions" (FEMA, 2017). They are those records that guide response activities and essential business functions within 72 hours or less in the aftermath of an emergency.  The correct identification and access to these records facilitate a prompt and effective response that can REDUCE THE SCOPE of an emergency (Arizona Continuity of Operations Program, 2018).

Category I - Essential Records are those necessary for the continuity and/or resumption of operations of an agency within the first 12 to 24 hours during and following an emergency. 

Category II- Essential Records needed in the first 72 hours represent a small percentage of your overall records holdings.  These records contain information necessary to recreate an organization's legal and financial status and to preserve the rights and obligations of stakeholders" (ARMA, 2003). These are records that must be a priority to protect during an emergency or disaster and POSSIBLY a priority to relocate or salvage if they are at risk if an emergency or disaster persist longer than 72 hours.

Category III - Records are those that are most valuable to an agency or organization.  These records should have safeguards in place to provide protection in the case of a disaster. They will be a priority to protect or relocate in the case of an event placing them at risk. These records do not need to be reflected on the essential records listing but should be protected and preserved in the case of an emergency event (Office of the Chief Records Officer, 2018).

References

Arizona Continuity of Operations Program  (2018). Arizona Department of Emergency and Military Affairs. https://dema.az.gov/sites/default/files/publications/EM-PLN_2018_COOP_Prog_Doc_FINAL_Jan4.pdf

ARMA. (2003, May). ANSI/ARMA 5-2003 - Vital Records Programs: Identifying, Managing, and Recovering Business-Critical Records. Webstore.ansi.org; ARMA. https://webstore.ansi.org/standards/arma/ansiarma2003

Federal Emergency Management Agency. (2017). Federal Continuity Directive 1 [Review of Federal   

Continuity Directive 1].  https://www.fema.gov/sites/default/files/2020-   07/January2017FCD1.pdf

Office of the Chief Records Officer. (2018, August 29). Essential Records Guide. National Archives and Records Administration. https://www.archives.gov/records-mgmt/essential-records/essential-records-guide

Identify Essential Records in your agency – Simple Business Impact Analysis (BIA)

Essential records are specific to each agency, as the business of each agency determines what is essential to its unique operation. Identifying your agency’s essential records is good business practice. While there is an up-front time investment involved with identifying and safeguarding essential records, the process can provide a useful platform to envision scenarios and situations that may place records in jeopardy due to a variety of hazards – natural and manmade.

Identifying essential records and their locations allows you to:

• Respond to an emergency or disaster affecting records

• Minimize disruption of operations after an emergency

• Rapidly restore government services

• Reduce the economic impact of a disaster

The lack of access to certain records such as the disaster response plan, emergency contact lists, and delegations of authority can delay response and communication efforts.

The identification of Category I and Category II Essential Records can involve an Essential Function Identification Tool and a Process Analysis Tool.  The exercise will guide staff in to identify essential functions they deliver to their constituents, what records support these functions, and what dependencies the records carry (vendors, technology, back up protocols, key personnel, communication protocols). Staff should envision the maximum amount of time that a critical business function can be impaired without causing financial, reputational, or legal impact.

Note: Exercise caution is designating records as essential when creating the Essential Records Inventory. Maintaining essential records required agency commitment of staff time and effort. Include only those records series or electronic information systems (or portions of them) most critical to emergency operations or the preservation of legal or financial rights. In most agencies only a relatively small number of record series will be essential records:( Office of the Chief Records Officer, 2018). 

References

Arizona Continuity of Operations Program - Essential Function Identification Tool. (2018). Arizona Department of Emergency and Military Affairs. https://dema.az.gov/sites/default/files/publications/EM-PLN_2018_COOP_Prog_Doc_FINAL_Jan4.pdf

Arizona Continuity of Operations Program - Process Analysis Tool. (2018). Arizona Department of Emergency and Military Affairs. https://dema.az.gov/sites/default/files/publications/EM-PLN_2018_COOP_Prog_Doc_FINAL_Jan4.pdf

ARMA. (2003, May). ANSI/ARMA 5-2003 - Vital Records Programs: Identifying, Managing, and Recovering Business-Critical Records. Webstore.ansi.org; ARMA. https://webstore.ansi.org/standards/arma/ansiarma2003

Office of the Chief Records Officer. (2018, August 29). Essential Records Guide. National Archives. https://www.archives.gov/records-mgmt/essential-records/essential-records-guide

Instructions 

1. Enter  the name of the Public Body, and include any subdivision breakdown for division, department or unit.
2. Fill in the contact information of your Records Officer including name, title, e-mail address and phone number.
3. Record Series Title/Records Description:  List the Record Series titles using the exact record series name(s) found on the approved Retention Schedule being followed, the schedule number, and the record series item #.  If the records are unscheduled, please contact LAPR.
4. E.D. (Essential Designation).  Enter the corresponding number of the designation for the record series listed.  The number will show the essential records criteria chosen to designate this series as essential.
   1. 1 | Are necessary for emergency response.
   2. 2| Necessary to resume or continue operations.
   3. 3| Protect the health, safety, property and rights of residents and the government.
5.  Priority Access in hours:
   1. Emergency Response 1-12 hrs
   2. Resume or Continue Operations  12-72 hrs
   3. Recovery: After 72hrs 
6. Media:  Check the box designating the format of the records in this series: paper, electronic, microfilm, other.
7. Document type:  Check the box designating if the records are the original documents or copies.
8. Location:  For the record series listed list the physical or virtual location (could include building, floor, room, file cabinet number, drawer number, server, or datacenter, etc.)
9. Quantity:  List the quantity of the records in the series listed.  This could include the number of boxes, bookshelves, file cabinet drawers, cubic feet, linear feet, bytes, etc.
10. Update Cycle:  Describe how often records are updated at this location (i.e. daily, weekly, quarterly, annually, etc.).
11. Salvage Instructions:  Briefly describe the necessity of salvaging this series (i.e. immediately, if necessary, etc.)
12. Backup Information:  If there are copies of the record series listed and you do not use a separate line to describe them, note if the copies are on-site or off-site, and the location of the records.

Submitting form:  Email this form to records@azsos.libanswers.com