243.2 Implementation

Maintain Vital Records Inventory

Ongoing

Appropriately Manage Records so they are accessible after an incident.

Ongoing

Assess as part of Records Management Assessments

Every three years (Next Nov 2013)

1.

REQUIREMENTS

a.

A DOE contractor must identify and preserve vital records in support of the Department’s emergency preparedness responsibilities (as outlined in Executive Order (E.O.) 12656, “Assignment of Emergency Preparedness Responsibilities”)

Policy requirement in RPM 1.17.D.6. The LBNL Emergency Services Manager has primary responsibility for coordinating the identification of organization-wide records deemed vital to either the management of an emergency, or the recovery.

Assessed as part of emergency exercises.  Assessed as part of BCP development.

b.

Contractor vital records are selected based on emergency missions, functions, and plans of operation.

Described in the MEPP.

c.

A contractor must implement vital records programs that include the following:

(1) Procedures for identifying, protecting, controlling access to, and ensuring availability of records and information systems that — (a) specify how the organization will operate in case of an emergency and how it will support civil defense associated with disasters and attacks; (b) are needed for the continued operations of the organization and mission delivery of the organization both during and after an emergency or disaster; and (c) are essential to the preservation of the legal rights and interests of the Government and its citizens.

The MEPP describes how these documents are identified, protected, and controlled for institution-wide documents.

Reviewed as part of BCP development efforts.

(2) Procedures for accessing records required to support critical activities the contractor performs when DOE operates under abnormal business conditions and/or at a location other than the normal place of business.

The BCP and IT DOC describe how to access records identified in the MEPP.

Tested as needed through normal IT test cycle.

(3) Vital records inventory plans that include — (a) requirements for proper labeling and handling; (b) security precautions; (c) frequency of updates; (d) media, hardware, software, and supporting service needs; and (e) provisions for access from remote locations.

See MEPP for summary.

Not applicable

(4) An inventory system that identifies hardcopy and electronic records by — (a) series or system title, (b) description, (c) type, (d) name of the responsible office and individual, (e) physical location of copies, and (f) date of latest revision.

Normal records management approaches apply.

Ongoing operations.

(5) Provisions for protecting against or assessing damage to or loss of records and recovering records affected by an emergency or disaster must include: (a) copies of the vital records and the inventory maintained at separate locations to ensure immediate access in any situation; (b) records maintained in media feasible for accessing and reviewing information during or immediately following and emergency; (c) evaluation of electronic records based on — 1) volume, 2) frequency of updates required, 3) availability of electricity, computers, software and support services needed to permit access, and 4) potential for accessing electronic records from remote locations via virtual private networks or compact disks.

Maintained and risk assessed as part of BCP/MEPP process.

Review of BCP/MEPP.

(6) A process for selecting storage/backup protection methods that must include: (a) evaluation of the effectiveness, (b) cost, (c) degree of risk or potential loss, (d) physical susceptibility to destruction, (e) need for special environmental conditions for transporting, storing, and updating records. (f) Ability to retrieve records quickly during an emergency or disaster.

The EOC selects storage and backup protections for institution-wide documents.

Review of BCP/MEPP.

(7) An ongoing appraisal of vital records and complete review at least annually to ensure that changing conditions are addressed and records are up-to-date and immediately accessible.

Emergency Services Program Staff reviews the MEPP annually.

(8) A plan must be developed and maintained to recover records that are damaged in an emergency or disaster, regardless of media. This plan must include the priorities for restoring or recovering multiple damaged systems and the options for recovery and replacement. This plan must also include a resource list of local disaster recovery firms that can assist in restoration, along with employee contact lists and vital records inventories, must be maintained at multiple off-site locations to facilitate their use.

2.

STORAGE CONSIDERATIONS.

a.

Location. A contractor must establish locations where vital records will be stored, such as alternate emergency operations centers (EOCs), command centers, and relocation sites that will provide adequate protection and accessibility and meet the improved fire protection risk level required by the CRD for DOE O 420.1B, Facility Safety, dated 12-22-05. Before classified documents can be stored at these locations, the contractor must obtain approval in accordance with the CRD for DOE O 470.4, Safeguards and Security Program, dated 8-26-05.

The MEPP describes where vital records are stored.

b.

Manner of Storage. Contractor records will be stored in a manner that ensures ease of access, retrieval, and control. Storage systems must allow for access per the prioritized schedule. Classified and unclassified records must be handled in accordance with the CRD for DOE O 471.1A, Identification and Protection of Unclassified Controlled Nuclear Information, dated 6-30-00, and the CRD for DOE O 471.3, Identifying and Protecting Official Use Only Information, dated 4-9-03.

NARA supports access to vital records per requirements.

3.

DISPOSITION OF RECORDS. Original vital records must be maintained for the period of time specified in the DOE records disposition schedules. The duplicate copy of vital records that is stored in the separate location should be deleted when obsolete or superseded and replaced with the updated revision.

This is part of normal ARO procedures.

Normal ongoing operations.