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ARIZONA STATE LIBRARY, ARCHIVES AND PUBLIC RECORDS A DIVISION OF THE ARIZONA SECRETARY OF STATE

Joan Clark, State Librarian & Director ARCHIVES AND RECORDS MANAGEMENT

Establishing an Essential Records List

Criteria and Reporting Essential Records to the Arizona State Library, Archives and Public Records

October, 2013

RECORDS MANAGEMENT CENTER 1919 West Jefferson Street  Phoenix, Arizona 85009  Home Page: http://www.azlibrary.gov/records Phone: (602) 926-3815  FAX: (602) 256-2838  E-Mail: [email protected] An Equal Opportunity Employer Establishing an Essential Records List

ESTABLISHING AN ESSENTIAL RECORDS LIST

What are Essential Records?  Respond to a disaster affecting records Essential records, sometimes called vital  Minimize disruption of operations after records, are those records necessary for the an emergency continuity and/or resumption of operations of an  Rapidly restore government services organization during and following a disaster.  Reduce the economic impact of a Business continuity, disaster preparedness, and disaster Continuity of Operations Plans (COOP) depend on identifying essential functions and records in When disasters occur, government agencies do order to restore the key functions of these not have the luxury of closing their doors and organizations. shutting down. In many cases, the agency is the first responder to the disaster. Emergency Essential records are any records, regardless of responders need some types of essential records format or archival value, that are necessary for to respond to the situation and to continue the daily functions of government during and operations. The loss of essential records would after an emergency. They are those records you jeopardize the agency’s operations and ability to will need restored within 72 hours or less if you provide immediate assistance to the individuals have a disaster. These records are also directly affected by its activities. necessary to protect the rights of individuals and the interests of government agencies. If a disaster occurs, the loss of essential records could: Some records are generally accepted as essential records, and will be designated as such on future  Result in the disruption of essential retention schedules. Although records may be public services designated on a general retention schedule as  Incur unplanned expenses of financial essential, this does not mean it applies to all settlements or loss of revenue state agencies or local government agencies.  Increase the agency’s risk to litigation Essential records are specific to each agency, as  Reduce productivity due to gaps in the business of each agency determines what is information essential to its particular operation. Types of Disasters Why is it Important? Disasters come in all forms, shapes and sizes, Identifying your agency’s essential records is and can range from the extreme example of the simply good business practice. While there are September 11th, 2001 tragedy, to smaller local up-front costs involved with identifying and disasters such as a burst water pipe over a file protecting essential records, the costs are far less room. There are two basic types of disasters - than those incurred recovering damaged records natural and man-made. after a disaster. Natural disasters may include flood, fire, wind, Identifying essential records and their locations and earthquakes, while man-made events may allows you to: include sabotage, terrorism, arson, mechanical

2 | P a g e Establishing an Essential Records List failure, and nuclear events. Small disasters are b) Records containing information more likely to strike than major ones—a water necessary to protect the rights and pipe break is more common than a city-wide interests of persons or to establish and flood. affirm the powers and duties of governments in the resumption of Electronic records pose special problems since operations after a disaster both hardware and software protection, as well as systems documentation, need to be The State Library will maintain all essential considered when evaluating essential records. records listings for state and local agencies Damage to electronic records can include power submitted pursuant to ARS §41-151.14.A.5, and failure, equipment failure, software problems, protect the listings from disclosure. If a state or virus infections, and human error. local agency is involved with a disaster, the Records Officer may request a copy of the Responsibilities of the state or local agency listing. The State Library also offers training on disaster preparedness, and will consult with It is the responsibility of the head of each state agencies on their essential records listings and and local agency to establish and maintain an programs. active, continuing program for the economical and efficient management of the records of the Identifying Essential Records agency. As part of that responsibility, the head of each state and local agency must submit lists Identifying essential records may seem like a of all essential records in the custody of the daunting task, but in actuality only a small agency to the State Library every five years portion of the records at an agency are usually (ARS §41-151.14 a.5). essential. The criteria listed below should be used as a guide to help identify your essential Although ARS §41-15.15 a.5 requires the state records. or local agency to submit a list of essential records every five years, it is recommended that When analyzing record series to designate the list be reviewed at least annually for any essential records it is important to look at each changes that may have occurred. Essential state of the record’s life cycle. For instance, an Records Lists should be updated whenever accounts receivable record may be essential records are added or deleted from retention until payment is received, or a contract may schedules, moved from the physical location, or contain essential information until the the designation changes termination of the contract, after which it is no longer essential. Role of the State Library A common misconception is that essential The State Library is tasked by statute (ARS §41- records are archival or have long term 151.12.A.4) to establish criteria for designating retentions, but this is not always the case. essential records within the following Essential records are not necessarily permanent categories: records, nor are archival records necessarily essential. Some essential records are a) Records containing information permanent, and may include minutes of necessary to the operations of governing boards, policies and procedures. government in the emergency created by a disaster

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The Records Officer or staff member tasked functions of the agency; records that are with the essential record review should work necessary to the operation of that with the personnel most knowledgeable with the agency’s program; funds owed to or records in each section of the agency. from a government agency or program. 3) Records that protect the health, safety, The first step is to do an on-site survey of property, and rights of residents. records. The survey should include exactly 4) Records that would require massive which record series are in what physical resources to reconstruct. This would locations, which servers they reside on, and include records that are unique or which staff members oversee them. All records, irreplaceable. regardless of physical format or media, should 5) Records that document the history of be evaluated for essential records status. communities or families.

The second step in identifying an agency’s The following is a sample list of records which essential records is to review all applicable may be essential to an agency or program: general and custom retention schedules that exist. Each record series listed on custom  Disaster recovery plans retention schedules should be located, as well as  Minutes of official boards, commissions, all applicable general retention schedule series. municipal councils, boards of supervisors Knowledge of the record series location will aid  Property ownership records in the retrieval of the records when disaster  Accounts payable receivable records occurs. If you find that records on your custom  Licensing records schedules cannot be located, or if there are  Municipal incorporation or charter records found on neither the custom nor general documents schedules, contact the Records Management  Policies, directives, and orders Center.  Unique computer programs After the on-site survey and retention schedule  Employee lists or rosters review has occurred, a decision must be made  Payroll records following the criteria below to determine the  Employee benefit records including survivor agency’s essential records. All records, benefits regardless of format, and including those not  Annual financial reports and general ledger found on current schedules, need to be summaries reviewed in this process.  As-built drawings, plans and specifications for government owned infrastructure Criteria for Identifying Essential Records  Active contracts, compacts and agreements and Prioritizing Recovery  Product warranties, maintenance agreements, and insurance policies There are five criteria, or categories, that essential records fall into: When designating essential records using the categories listed above, you should also delegate 1) Records necessary for emergency the priority for recovery. Below is a listing response. provided by the Intergovernmental Preparedness 2) Records necessary to resume or continue for Essential Records (IPER), which lists the operations. This could include evidence criteria from the five categories used to identify of existence; powers, duties and essential records, and shows the priority time

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PRIORITY ESSENTIAL RECORDS ARE EXAMPLES INCLUDE: FOR RECORDS THAT: ACCESS Priority 1: Are necessary for emergency  Copy of emergency and/or First 1-12 response Continuity of Operations hours (COOP) Plan  Disaster recovery plan  Infrastructure and Utility plans  Maps and building plans  Emergency contact information Are necessary to resume or  Employee lists or rosters continue operations  Delegations of authority  Contracts and leases  Payroll  Prison, jail and parole records  Insurance records  Accounts payable and receivable records Priority 2: Protect the health, safety, property,  Deeds, mortgages, land First 12-72 and rights of residents records hours  Birth and marriage records  Medical records  Active court proceedings or police investigations  Education and military service records  Voting records  Professional licenses  Hazardous substance files Would require massive resources  Geographic information to reconstruct systems data  Tax records  Unique computer programs Priority 3: Document the history of  Historical documents After fist 72 communities or families  Photographs hours  Identity records  Property ownership records  Municipal incorporation/charter documents

I’VE IDENTIFIED MY ESSENTIAL RECORDS, NOW WHAT?

Completing the Essential Records Listing §41-15.15 a.5. It is recommended that the list be reviewed at least annually for any changes Once your essential records have been that may have occurred and a new listing identified, your agency needs to submit a listing submitted whenever there are updates. to the State Library every five years per ARS

The following information is required:  Media  Document Type  Public Body Title  Location  Submitter Name, Title, E-mail address,  Quantity and Phone #  Update Cycle  Record Series Title/Records Description  Salvage Instructions  Schedule # or Date  Backup Information  Item #

The following information is optional:

 Essential Designation  Priority Access (in hours)

Following are the directions to complete the 7. Location: For the record series listed, form: put the physical location of the records or the server (could include building, 1. In the top section enter the name of the floor, room, file cabinet number, drawer Public Body transferring the records and number, etc.) the body receiving the records, and 8. Quantity: List the quantity of the include any subdivision breakdown for records in the series listed. This could division, department or unit. include the number of boxes, book 2. Fill in the contact information of the shelves, file cabinet drawers, cubic feet, submitter including name, title, e-mail linear feet, megabytes, etc. address and phone number. 9. Update Cycle: Describe how often 3. Record Series Title/Records Description: records are updated at this location (i.e. List the Record Series titles using the weekly, quarterly, annually, etc.). exact record series name(s) found on the 10. Salvage Instructions: Briefly describe approved Retention Schedule being the necessity of salvaging this series (i.e. followed, the schedule number or date immediately, if necessary, etc.) approved, and the record series item #. 11. Backup Information: If there are If the records are unscheduled, write the copies of the record series listed and you terminology used in your office in the do not use a separate line to describe first column. them, note if the copies are on-site or 4. E.D. (Essential Designation). Enter the off-site, and the location of the records. corresponding number of the designation 12. Submitting form: Mail or e-mail this for the record series listed. The number form to the address below [on form]. will show the essential records criteria Fax copies will not be accepted. chosen to designate this series as essential: Establishing an Essential Records Program

Are necessary for It is not mandated that the head of each state and 1 emergency response. local agency set up an essential records Necessary to resume or program, but it is a natural progression after 2 continue operations. creating the essential records listing, and simply Protect the health, safety, good business practice. As stated previously, property and rights of the up-front costs involved with identifying and residents and the protecting essential records are far less than 3 government. those incurred recovering damaged records after Would require massive a disaster. 4 resources to reconstruct. Document the history of An essential records program is often part of a 5 communities or families. business continuity, disaster preparedness or COOP plan. Planning for disasters highlights 5. Media: Check the box designating the the services necessary to an agency after a format of the records in this series: disaster, including emergency treatment of paper, electronic, microfilm, other. people, repair and reconstruction of 6. Document type: Check the box infrastructure, replacement of necessary designating if the records are the original equipment and furnishings, and protection of documents or copies. public records. An active, essential records

9 | P a g e Establishing an Essential Records List program will help insure the records you need most will be there when you need them. If creating copies is part of your essential records program, it is important to disperse the For Executive branch state agencies, consult the records to other physical locations so they are Arizona Strategic Enterprise Technology not involved in the same potential disaster as the (ASET), as they are responsible for developing original records. Also, when disposing of a statewide disaster recovery plan for records according to the custom and general information technology (ARS §41-3504 A.1 retention schedules, remember to dispose of (c)). your copies at the same time.

When putting together an essential records Protecting Essential Records program, many issues must be considered. For instance, is the location of the records free from Although there is no perfect solution to water and sewage pipes? Is the temperature protecting essential records, “An ounce of consistent in your storage areas? Is access prevention is worth a pound of cure.” Protecting monitored by video cameras or is there a records from minor disasters is less costly and controlled key log? Are there multiple copies of easier to accomplish than protecting them from these records? If so, where are they and in what major disasters. Being pro-active on building format? Are the records truly unique and maintenance and not storing records in valuable only in their native format, and if so, basements, or under water or sewage pipes, should they be sent to an off-site location for helps mitigate the amount of minor disasters an secure protection? Should copies be made and agency might have to handle. It also limits the retained for on-site use? costs and recovery time if a disaster does occur. Here are some steps that should be included in Duplicating records and maintaining them in protecting essential records: separate locations or buildings should also be considered. When deciding to duplicate  Be pro-active on building maintenance records, format stability, duplication costs, and —fix leaks, roofs, and window seals physical storage location should be considered.  Don’t store records under water or Duplication methods depend on the native sewage pipes, in basements, or in storage format of the original records and may include sheds the following:  Store permanent records at least 3” off the ground according to state standards Paper Microfilm Electronic (http://www.azlibrary.gov/archives/docu Paper copies Diazo Mirrored off- ments/pdf/Standard%20for microfilm site storage %20Permanent%20Records_April copy %2023%202013_Signed.pdf) Microfilm Silver Computer  Duplicate records and store in off-site microfilm Output locations copy Microfilm Digital Digital images images

I’VE HAD A DISASTER, HELP!!

When a disaster does occur, your business Recovering from a Disaster continuity, disaster recovery or COOP plan goes into effect. If you have not created salvage Recovering from a disaster, large or small, can instructions already, you should coordinate with be a huge concern. Burned paper, microfilm, or first responders and upper management computer media may not be recoverable. regarding essential records priority recovery. Smoke or water damaged records on most media can be restored, but may require The Standards for Permanent Records set by the specialized methods and equipment. Bio- State Library, per ARS § 39.101, requires contamination from raw sewage or chemical agencies to recover and mitigate damage to the contamination can cause even greater problems. records as soon as possible: At any rate, recovery can be very expensive and the records may not be available for extended Standards for Permanent Records periods of time. 5.1 For all permanent records D. Disaster Recovery Commercial companies specializing in recovery All records formats are susceptible to processes are available, but they respond to degradation, corruption and destruction prior contracted clients first in the case of a during emergencies, disasters and wide-scale disaster. Contact commercial environmental changes. Steps must be taken companies before a disaster occurs to find out to ensure all essential and permanent records about their services and response times. Also, are protected during these events. check the State Procurement Office to see who 1. Disaster recovery and continuity of is listed on state contract for recovery services. operations plans must specifically include permanent and essential record For assistance prior to or following a records series in order to safeguard and disaster, contact Archives and Records preserve the record series. Management staff at 602-926-3720 or 2. Steps must be taken as soon as possible [email protected] to recover and mitigate damage to the records. .

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