How to Identify Essential Records

After this last year, it has become clearer that our working environments and conditions can change quickly and being prepared for those redirections is vital for a smooth transition. Since we cannot predict the future, a good disaster plan is key, but how do you start?

It is important that agencies are prepared to continue their basic operations serving their communities quickly and efficiently during adverse conditions. In cases of emergency, it is best to already have a plan to not only protect essential records, but also to access them.

When trying to identify your agency’s essential records, it is important to keep in mind that there are only a small percentage (less than 5%) of records that are deemed essential, and it depends on the records held by each agency. It is important to be able to distinguish these records of critical value that will be needed to execute emergency plans or records that are needed to prevent a loss of life, property, or money. There are five types of essential records and they are determined by what records your agency needs to continue functioning under various adverse conditions.

Records are essential if they:

Are necessary to emergency response
Are necessary to resume and continue operations
Protect the health, safety, property, and rights of residents
Would require massive resources to recreate
Document the history of communities and families

Some potential essential records can be accounts receivable, grants, permits, payroll records, etc. Within these essential records there are two types- dynamic and static. Dynamic records can change periodically (ex: contact information), so they will require updates. Static records do not typically change and therefore do not require updates. Keeping those dynamic records accurate are an important step in preparedness for your essential records.

As mentioned above, there is not a universal set of essential records, so each agency must determine what records are essential. There are four suggested steps that you can use to help identify your agency’s essential records.

Research relevant statues, regulations, and standards that directs the actions of your agency. You can find this information from professional associations, federacy agencies, or national organizations.

Recognize your agency’s essential functions. It is imperative that the mission and business functions of your agency are clear. This knowledge will help with the next step of highlighting the essential functions that are critical to maintaining the business operations and then acknowledging which records are necessary to support those critical and essential functions.

Identify your agency’s records. This can be done through record inventories or referring to your approved retention schedule. If you have questions about the retention schedules, please contact a Records Management Analyst.

Identify the stakeholders. Whether internal or external, it is a good idea to talk to or interview those that rely on your records to perform their duties and obligations.

This may feel like a large undertaking but being prepared for these incidents will help prevent your agency from being responsible for lost or damaged records. These liabilities can include vulnerability to litigation, exposure to the unplanned expenses of financial settlements or loss of revenue, disruption of efficiency due to gaps in information, breaks in the continuity of operations, and a loss of public confidence. Below is a chart that can be used as an example to help get any agency started with identifying their essential records.

There is an Essential Records and Disaster Preparedness workshop available later this month and more will be offered throughout the year. If you have any questions, please reach out to your Records Management Analyst.