Essential Records
Essential records account for a very small percentage (about 5% on average government wide) of an agency’s records, however, they play a vitally important role.
According to the Council of State Archivists (CoSA), essential records are “Records needed for the Continuity of Operations (CoOP) of a government agency during and following an emergency.” It is important to note that the content of a record is what makes the record essential, not the format. For more information on essential records and essential records identification, please see our blog post, What is an Essential Record.
If you have further questions on disaster preparation or in the event that your records do get impacted by a disaster event, please contact Kayla Leonard, Essential Records Analyst, via email (kayla.leonard@dncr.nc.gov) or phone, 252-639-3543, immediately.
Essential Record Categories
Essential records typically fall into one of the five categories listed below. Usually those records in Categories 1 & 2 are those that will be needed immediately after the disaster and as disruption time increases, your agency will need more records from categories 3-5. Note that some record series may fall into more than one category.
Records necessary for emergency response. Examples of records that might fall into this category:
- Emergency Plans and/or Continuity of Operations Plan
- Emergency Contact Information
- Maps and Building Plans
- Infrastructure and Utility Plans
Records necessary to resume or continue operations. Examples of records that might fall into this category:
- Delegations of Authority
- Contracts and Leases
- Payroll
- Prison, Jail, and Parole Records
- Insurance Records
Records that protect the health, safety, property, and rights of residents. Examples of records that might fall into this category:
- Deeds, Mortgage, and Land Records
- Birth and Marriage Records
- Medical Records
- Active Court Proceedings
- Education and Military Service Records
- Voting Records
- Professional Licenses
Records that would require massive resources to reconstruct. Examples of records that might fall into this category:
- Geographic Information Systems Data
- Tax Records
Records that document communities and families. Examples of records that might fall into this category:
- Historical Documents
- Photographs
- Identity Records
Risk Rating System
Identify, analyze, and document the risks for essential records from your agency.
| Scale | Low Probability | Medium Probability | High Probability |
|---|---|---|---|
| Low Impact | Minor/marginal impact; some loss The event has little chance of occurring. | Minor/marginal impact; some loss Similar events have occurred in the past. | Minor/marginal impact; some loss The event is expected to occur. |
| Medium Impact | Serious/critical impact; significant loss The event has little chance of occurring. | Serious/critical impact; significant loss Similar events have occurred in the past. | Serious/critical impact; significant loss The event is expected to occur. |
| High Impact | Catastrophic impact; devastating loss The event has little chance of occurring. | Catastrophic impact; devastating loss Similar events have occurred in the past. | Catastrophic impact; devastating loss The event is expected to occur. |