1. Essential Records 1

2. What are Essential Records?
Defined by Arizona State Statute § (4)
(a) Records containing information necessary to the operations of government in the emergency created by a disaster.
(b) Records containing information necessary to protect the rights and interests of persons or to establish and affirm the powers and duties of governments in the resumption of operations after a disaster.
May also be referred to as Vital Records

3. What Are Essential Records? (contd.)
5 core types of essential records:
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 can be found in any format and in any medium.

4. 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.

5. Which of Your City/Town’s Records Are Essential?
Essential records differ by department.
Each department must determine which of its records is or are essential.
What you need to know to identify essential records:
Your department’s essential functions
The stakeholders
Your department’s records
Relevant statutes, regulations, and standards

6. Know Your City/Town’s Essential Functions
Identification of essential records starts with understanding essential functions.

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

8. Know Your City/Town’s Records
Importance of a good records management program
Records inventories
Records retention schedules

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

10. Determine Essential Functions
During an emergency, essential functions:
Provide vital services
Exercise civil authority
Maintain the safety and well-being of the general population
Sustain the jurisdiction’s industrial economic base
Essential functions must continue under all circumstances. 10

11. Steps to Determine Essential Functions
Step 1: Identify and Analyze Your Department’s Business Functions
Review the city/town and departmental statements, internal directives, laws, and/or regulations that may pertain to your department’s mission.
Check with IT and Emergency Management
Answer the following:
What business functions are performed by your department?
What are the statutory or legal requirements?
What are the program responsibilities?
What functions not normally performed by your department might be required in an emergency?
What are the requirements in your COOP Plan, if any?

12. Steps to Determine Essential Functions (cont’d.)
Step 2: Determine the Essential Business Functions
Is there anything that your department does that is critical?
Which of these critical functions are performed only by your own department?
Is there an alternative method of carrying out those functions during the emergency and recovery periods?
After eliminating the business functions for which there are alternative methods of support, what functions are left?
These are your essential business functions.

13. Steps to Determine Essential Functions (cont’d.)
Step 3: Determine the Essential Records That Support Those Functions
Do you consider any of these records to be invaluable?
Are there records that you create or maintain that the public would need in an emergency?
How soon would you need access to duplicates of these records?
Think about what records your department creates or maintains that may be essential to other agencies or emergency services.
Check the records that support essential functions against the five core types of essential records.

14. 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. 14

15. Protect Essential Records

16. Risk Assessment — Types of Risks
Risks from loss of agency memory
Can be physical loss or intellectual loss
Risks related to emergencies
Natural emergencies
Technological emergencies
Civil emergencies
Risks related to records management
Legal
Security
Business
Accountability
Technology
Long-term preservation of records

17. Risk Assessment — Scope of Emergency
Onsite
Immediate vicinity
Community- or region-wide
Photo courtesy of NARA

18. Factors to Consider When Assessing Risk
Existing risks to records
Physical location of the essential records
Security and controls already in place
Vulnerable areas
Timing

19. Risk Analysis — Method to Evaluate Risks
Establish a rating system:
Probability rating
Impact rating
Rate your risks.
Evaluate your findings.

20. Step 1: Establish a Rating System
Probability Rating
Scale
Criterion
High
The event is expected to occur.
Medium
Similar events have occurred in the past.
Low
The event has little chance of occurring.
Impact Rating
Scale
Criterion
High
Catastrophic impact; devastating loss.
Medium
Serious/critical impact; significant loss.
Low
Minor/marginal impact; some loss.

21. Step 1: Establish a Rating System (cont’d.)
Compile ratings to create your rating system
Risk Analysis Rating System
High
Catastrophic impact; devastating loss
The event has little chance of occurring.
Similar events have occurred in the past.
The event is expected to occur.
Medium
Serious/critical impact; significant loss
Low
Minor/marginal impact; some loss
Impact of Risk
Probability of Risk

22. Step 2: Rate Your Risks
Rate each risk identified in your risk analysis.
Example: Essential records in 2nd-floor procurement office—identified risks:
Debris blocking access to cabinets
Debris and water from storm
Mold and mildew
Temperature and humidity—unstable environment
Loss of data
Fire damage
Inability to access data
Inability to communicate

23. Step 2: Rate Your Risks (cont’d.)
Identified Risk
Probability
Impact
1. Debris blocking access to cabinets
High
2. Debris and water from storm
3. Mold and mildew
Medium
4. Temperature and humidity—unstable environment
5. Loss of data
6. Fire damage
Low
7. Inability to access data
8. Inability to communicate

24. Step 3: Evaluate Your Findings
Determine your threshold for action
Risk Analysis Rating System
High
Catastrophic impact; devastating loss
The event has little chance of occurring.
Similar events have occurred in the past.
The event is expected to occur.
Medium
Serious/critical impact; significant loss
Low
Minor/marginal impact; some loss
= Action
= No action
Impact of Risk
Probability of Risk

25. Managing the Risk: Prioritizing Actions
To prioritize your actions, rank the risks that require action.
When prioritizing, consider:
Cost to reconstruct the data
Cost of defending against legal actions associated with loss

26. Document the Risks
Document the results of your risk assessment, risk analysis, and prioritizing.
Prepare a strategy to communicate your findings to your City/Town leaders so they 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

27. Strategies for Handling Risk
Acceptance
Mitigation
Consider the different formats available and the cost associated with each
Photo courtesy of Tina Seetoo, Georgia Archives

28. Duplication of the Original Records
Duplication formats:
Microform
Digital formats
Backup tapes
Paper

29. Storage of Essential Records
On-site storage options:
Vaults
Secure central file rooms
Fire-resistant containers
Off-site storage options:
Another office
Agreement with another city/town
Commercial storage facility
“Hot” and “cold” sites
Photo courtesy of NARA

30. Make Essential Records Available
Cities/Towns 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.

31. Access Essential Records31 31

32. Priority Levels and Timeframes for Accessing Essential Records
Priority 1—First 12 hours
Needed immediately, to respond to the incident
Necessary to resume or continue operations
Priority 2—First 12–72 hours
Needed to manage the incident and resume operations
Protects the health, safety, property, and rights of residents
Priority 3—After first 72 hours
Needed to continue essential functions and for long-term recovery
Requires massive resources to reconstruct
Documents the history of communities and families

33. Access Priorities Table
Level
Definition
Access
Examples
Timeframe for Access
Priority 1
Records essential for response and emergency operations and therefore needed immediately
Physical protective storage is close to disaster response site for immediate access. Electronic replication methods are available for immediate access to information.
Emergency action plan
Business continuity plan
Vital records manual
Current facility drawings
Personnel security clearance files
Within the first 0–12 hours
*Store in close proximity
Priority 2
Records essential for quick resumption and continuation of business following an emergency
Physical protective storage is close to disaster recovery site for quick business resumption. Electronic methods are quickly accessible, and backups can be quickly restored.
Current client files
In-progress Accounts Payable and Accounts Receivable
Research documentation
Current contracts and agreements
Within the first 12–72 hours
Priority 3
Records needed to continue essential functions if normal agency information were unavailable for a prolonged period
Physical protective storage is accessible and outside of the disaster area.
Accounts Payable and Accounts Receivable files
Existing contracts and agreements
Unaudited financial records
After the first 72 hours
This chart is based in part on ARMA International, ANSI-ARMA Vital Records: Identifying, Managing, and Recovering Business-Critical Records

34. “Grab and Go” Kits
Certain City/Town officials will be on call immediately following the emergency.
They should have “Grab and Go” kits that contain specific essential records.
Develop procedures to keep “Grab and Go” kits up-to-date
Use cycling to replace records that are changing to ensure you have current information

35. Develop Procedures to Ensure Access to Essential Records
To ensure access, City/Towns should develop and document:
Policies
Delegations of authority
Responsibilities of agency officials
Procedures governing the essential records program
Incorporate your essential records into your COOP plan

36. Don’t Forget Your Stakeholders
Your network of stakeholders is invaluable for integrating your essential records emergency planning with your 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

37. Records Emergency Planning and Response

38. Overview of Emergency Planning and the REAP38 38

39. Phases of Emergency Management

40. Federal Guidance on Emergency Preparedness and Response
National Response Framework (NRF)
National Incident Management System (NIMS)
Incident Command System (ICS)
Developing and Maintaining State, Territorial, Tribal, and Local Government Emergency Plans—Comprehensive Preparedness Guide 101 (CPG 101)
FEMA Continuity Guidance for Non-Federal Entities
Continuity Guidance Circular 1 (CGC1)
Continuity Assistance Tool (CAT)

41. Emergency Response—How it Works at the Local Level
Response always starts at the local level.
Each state government has its own emergency response plan.
Several levels of government may become involved.
NIMS ensures that all responders are operating and communicating under the same protocols for incident management.
ICS ensures a clear chain of command.
CGC1 and CAT ensure that operations will resume.

42. What is a Records Emergency Action Plan (REAP)?
A REAP is a written, approved, implemented, and periodically tested plan that includes the information and actions needed to respond to and recover from a records emergency.
All response and recovery players should participate in developing, approving, and testing the plan.
The REAP is part of a larger disaster plan.
It is not the disaster plan itself; it is only an element of the plan.
The portion of your disaster plan that includes records

43. Six Keys to Successful Response and Recovery
A detailed REAP
Committed management
Educated and trained staff
Timely initial response
Effective communication
Quick, informed decisions 43

44. Preparing a Records Emergency Action Plan44 44

45. Identify the Disaster Plans and People Relevant to Your City/Town
Identify the disaster plans in place so your REAP can:
Tie into those plans most effectively
Address any records-specific shortcomings they may have
Identify and meet your emergency planning personnel to inform them about your REAP planning project.

46. Forming an Action Team Identify the members: Assign responsibility.
Select staff who are flexible and capable of performing well under pressure.
Select employees at all levels.
Select employees who represent all functions.
Assign responsibility.
Select team leadership.

47. Components of the REAP Introduction Financial or Funding Information
Policy Statement
Responsibilities and Authorities
Communication Plan
Emergency Contact Directory
Locations of Essential Records
Records Salvage Priorities
Supplies
Financial or Funding Information
Vendors and Suppliers
Contractor Statement of Work
Facility Information
Staging Space
Preparedness, Response, and Recovery Procedures
Training, Testing, and Updating
Appendixes

48. Introduction
States the purpose of the REAP and the entire preparedness program
Includes information about:
The scope of the plan (what functional units it covers)
How to use the document
The date of creation or revision
How to revise the document

49. Policy Statement A clear, dated policy statement or directive
From the most senior officer in the agency
Approves the plan and identifies it as an official agency policy

50. Responsibilities and Authorities
Delegation of authority and chain of command
Roles and responsibilities for various activities
REAP Teams
Records Response and Recovery Manager
Other assignments

51. Communication Plan
Identify multiple communication strategies to be used during an emergency.
List the modes of communication to be used during an emergency.
Include Phone Tree and emergency contact directory.

52. Emergency Contact Directory
Include:
Agency staff
Emergency responders
Facility contractors
Key parent agency staff, other administrative contacts
Insurance providers
Salvage and restoration vendors and contractors
Other contacts

53. Locations of Essential Records
Include the essential records inventory.
Necessary information:
Title
Location
Retention period
Container ID
Format and media
Volume
Location of master copy (if one exists)

54. Records Salvage Priorities
Prioritize records for recovery in an emergency.
Determine which records will require attention first, and which ones can wait.
Essential records and permanent records have priority.
Temporary records should be prioritized based on their retention period.
Organized in three parts:
First Priority
Second Priority
Third Priority
Photo courtesy of NARA

55. Supplies List supplies you may need in the event of an emergency.
Supplies needed to prevent further damage to records
Supplies needed to aid in packing out records for further recovery
Include where to purchase the supplies.
Document the location(s) of the supplies.
List contractors for food, water, and personal care supplies.

56. Financial or Funding Information
How to obtain funds that may be required
Tracking system for expenses
Establish special codes for labor, equipment, and supplies.

57. FEMA/Win Henderson—New Orleans—2005
Vendors and Suppliers
List vendors and suppliers of records emergency services and supplies.
Consider developing standing contracts.
FEMA/Win Henderson—New Orleans—2005

58. Statement of Work, Contract, and Memorandum of Understanding
A generic draft Statement of Work (SOW), ready to use
Obtained from your Procurement Office
Signed contracts or Memorandums of Understanding (MOU)

59. Facility Information Provide all relevant facility information:
Evacuation plans
Location of, operating instructions for, and/or shutoffs for electrical systems, water sources, HVAC systems, etc.
Locations of keys, hazardous materials, etc.

60. Staging Space
Identify and make arrangements for use of building space.
Keep contact information up-to-date.
Outline:
The procedures you will use to transfer or obtain office equipment and supplies
The services you will need (electricity, water, communications, computers, etc.)

61. Preparedness, Response, and Recovery Procedures
This is the largest and most detailed section of your REAP.
Detail the procedures covering each phase of the emergency:
Preparedness
Response
Recovery
Indicate when an emergency status is upgraded from one phase to the next.

62. Assessment Team Roles and Responsibilities
Assessment Team consists of the people knowledgeable about the facility, the emergency response, and the records involved.
When establishing the Assessment Team:
Detail specific responsibilities.
Outline clear lines of authority.
Remember that one person may play more than one role. 62

63. Response Team Roles and Responsibilities
Response Team members may be responsible for:
Separating records
Moving records
Packing records
Drying material
Maintaining tracking logs
Maintaining documentation of records
Labeling records
Labeling or relabeling boxes

64. Training, Testing, and Updating
Document the goals and objectives.
Document specific training programs for responders and specialized teams.
Testing
Document the testing goals and objectives.
Document the schedule and plan for conducting testing activities.
Updating
Document any changes made to the REAP.
Indicate who will be responsible for distributing updated versions.

65. Appendixes
Information which is needed for the effective execution of the REAP, but which should be kept separate from the main narrative of the Plan

66. “dPlan”
Pocket Response Plan (PreP)
Heritage Preservation’s Field Guide and Wheel

67. Distribute the REAP
After management approval, the REAP is ready for distribution.
Each team member should receive all or part of the REAP.
Protect confidential information.

68. Promote the REAP
All employees need to know their roles in implementation in the event of an emergency.
Possible promotion methods:
Agency newsletter
Intranet
Periodic s
Staff meetings
Training

69. Train REAP Team Members and All Personnel
REAP Teams need training specific to their roles.
Some functions may require special training.
Train team alternates.
All agency personnel must have an orientation to the REAP.

70. Test and Validate the REAP
A REAP is not effective unless it is tested and validated.
The object is to validate and improve the REAP.
Testing should occur at least annually.
Methods include:
Drill
Tabletop activity
Functional activity
Full-scale activity
Include all REAP Team members.

71. Review and Update the REAP
Regularly review and update information contained in the REAP to ensure that it is accurate and current.
Establish a schedule.
Regularly check and update all dynamic data, especially in appendixes.
Distribute updates immediately.

72. Resources for Help
IPER Resource Center: center/iper
Federal agencies and programs
State agencies and programs
Non-governmental agencies
Regional conservation centers
Commercial vendors
Response and recovery procedures for each region, state, or locale