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U.S. Department of Energy ORDER
Washington, D.C. DOE O 243.2
Approved: 2-2-06
Review: 2-2-08
Expires: 2-2-10
SUBJECT: VITAL RECORDS
1. OBJECTIVE. The objective of this Order is to establish the policies,
responsibilities, and requirements for a Vital Records
Program that includes—
a. Legal and financial rights records (formerly known as rights
and interests records) and
b. Emergency operating records needed to ensure the
continuity of operation and performance of essential
functions during an emergency or disaster and resumption of
normal business operations thereafter.
2. CANCELLATION. None.
3. APPLICABILITY.
a. DOE Elements. Except for the exclusion in paragraph 3c,
this Order applies to all DOE elements, including the
Energy Information Administration (EIA), and National
Nuclear Security Administration (NNSA) (see Attachment 1).
The NNSA Administrator will assure that NNSA employees
and contractors comply with their respective
responsibilities under this Order.
b. DOE Contractors. Except for the exclusion in paragraph 3c,
the Contractor Requirements Document (CRD), Attachment 2,
sets forth requirements of this Order that apply to DOE
contractors whose contracts include the CRD. This CRD
must be included in contracts that require or involve
responsibility for work or operations at DOE sites or
facilities. The contractor is responsible for
compliance with the CRD to the extent set forth in its
contract and for flowing down the requirements to
subcontractors to the extent necessary to ensure the
contractors’ compliance with the requirements.
c. Exclusion. Owing to the dual-agency (DoD-Navy/DOE-NNSA)
nature of the Naval Nuclear Propulsion Program as
described in Executive Order 12344 (set forth in Public
Laws 98-525 and 106-65), the Deputy Administrator for Naval
Reactors will implement and oversee this Order as
appropriate for the Naval Nuclear Propulsion Program.
4. REQUIREMENTS.
a. Pursuant to 36CFR Part 1236, a vital records program is
required to identify and protect those records that specify
how DOE will operate in case of an emergency or disaster,
those records vital to the continued operations of the
DOE during and after an emergency or disaster and
those records needed to protect the legal and financial
rights of the Government and those affected by its actions.
b. Each DOE element must implement a vital records program
that includes—
(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 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.
(2) Procedures for accessing records required to support
critical activities the organization performs when operating
under abnormal business conditions and/or in a location
other than the normal place of business.
(3) Plans for establishing and maintaining a vital records
inventory that identifies—
(a) requirements for proper labeling and handling
of vital records,
(b) security precautions,
(c) frequency of updates,
(d) media, hardware, software, and supporting
service needs, and
(e) provisions for access from remote locations.
(4) An inventory system that identifies hard copy
and electronic records by—
(a) series or system title,
(b) description,
(c) type,
(d) name of office and individual responsible,
(e) physical location of records, and
(f) date of latest update.
(5) Provisions to ensure protection against and
assessment of records damage or loss.
(6) Provisions for the timely and efficient assessment of
records damage or loss and for recovering records
affected by an emergency or disaster.
(7) Provisions for storing and maintaining records
must include the following.
(a) Duplicate copies of the vital records and
associated inventory must be maintained
at separate locations to ensure immediate
access in any situation.
(b) Records must be maintained in a medium that is
most viable for readability under post-attack
conditions, including the appropriate hardware
and software necessary to access the records.
(c) Electronic records must be evaluated and
stored as necessary regarding—
1 volume,
2 frequency of updates,
3 electricity, computers, and software support services
available to support records access and use, and
4 accessibility from remote locations via
virtual private networks or compact disks.
(d) Storage/backup protection methods must be
selected based on—
1 evaluation of the effectiveness
of the protection,
2 cost,
3 degree of risk for potential loss,
4 physical susceptibility to destruction,
and
5 need for special environmental
conditions for transport, storage,
and update.
(e) Ability to retrieve records quickly during an
emergency or disaster.
(8) It is imperative that vital records be reappraised
continually and reviewed at least annually to ensure
that changing conditions are addressed and that
records are up-to-date and immediately accessible.
(9) 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 and employee contact
lists and vital records inventories, which must be maintained
at multiple off-site locations to facilitate their use.
(10) Procedures for ensuring that contracting officers
transmit requirements of this directive to contractors
to ensure that information management policies, manuals,
and mission-specific information requirements are clear
under the terms of their contracts or in the mission-specific
scope of work provided within the budgeting process.
(See reference 9h)
5. STORAGE CONSIDERATIONS.
a. Location. Locations where vital records will be stored,
such as alternate emergency operations centers (EOCs),
command centers, and relocation sites must provide
adequate protection and accessibility and meet the
improved risk level fire protection required by DOE
O 420.1B, Facility Safety, dated 12-22-05. Before classified
documents can be stored at these locations, approval
must be granted in accordance with DOE O 470.4,
Safeguards and Security Program, dated 8-26-.
b. Manner of Storage. Records will be stored to ensure
ease of access, retrieval, and control. Storage systems
will allow for timely access. Classified and unclassified
records must be handled in accordance with
DOE O 471.1A, Identification and Protection of Unclassified
Controlled Nuclear Information, dated 6-30-00, and
DOE O 471.3, Identifying and Protecting Official Use Only
Information, dated 4-9-03.
6. DISPOSITION OF RECORDS. Original vital records must be
maintained for the period of time specified in the DOE
records disposition schedules. Duplicate copies of vital records
stored in the separate location should be deleted when obsolete
or superseded and replaced with the updated revision.
7. RESPONSIBILITIES.
a. Director, Office of Emergency Operations (NNSA).
(1) Administers the emergency operating records portion
of the DOE Vital Records Program.
(2) Develops policies, procedures, and operating
guidelines for emergency operating records.
(3) Acts as liaison for the security aspects of
Headquarters emergency operating records and
storage sites.
(4) Ensures that Headquarters mechanisms are in
place to provide access to emergency operating
records during emergencies.
b. The Departmental Records Officer, Office of the Chief
Information Officer.
(1) Develops vital records policies for rights and
interests records.
(2) Develops and distributes guidance related to
identification, maintenance, and protection of
rights and interests records.
(3) Maintains liaison with the National Archives and Records
Administration (NARA) and other Federal agencies on
matters affecting vital records.
c. Heads of Departmental Headquarters and Field Elements (as
appropriate).
(1) Designate Emergency Management Program
Administrators in accordance with DOE O 151.1C,
Comprehensive Emergency Management System,
Chapter XI, Paragraph 1, to implement the emergency
operating records portion of the vital records
programs in accordance with the requirements of this
Order for purposes of record availability.
(2) Designate Program Records Officials, Records Liaison
Officers and Records Management Field Officers,
in accordance with DOE O 243.1, to implement the
rights and interest records portion of the vital records
program in accordance with the requirements of this
Order for purposes of record availability.
(3) Ensure that their staffs are aware of and execute
appropriate measures to identify and protect vital
records.
(4) Designate responsible individuals for identifying the
contracts in which CRDs must be included and notifying
the contracting officers of affected contracts.
d. Emergency Management Program Administrators.
(1) Ensure that emergency operating records are compiled,
maintained, updated, and protected, and that they are
retrievable.
(2) Based upon disaster and attack-related emergencies
in which the organization may be involved—
(a) ensure that all alternate emergency operating
centers, alternate command centers, and
relocation sites are identified and
(b) work with their organizations’ program records
officials to ensure that—
1 emergency operating records are identified
in accordance with established policies
and procedures and that other
information needs are addressed;
2 emergency operating records are
collected, marked and numbered for control,
forwarded to designated off-site storage
locations, and updated as needed (updates
shall be performed no less than annually);
3 mechanisms are in place to provide
records access and ease of retrieval during
emergencies (through the Emergency
ManagementProgram); and
4 records storage facilities meet regulatory
requirements.
(3) Provide training to program personnel regarding the
purpose and operations of the emergency operating
records protection portion of the Vital Records Program.
(4) Develop and maintain training records that can be made
available for inspection.
e. Program Records Officers (PROs).
(1) Ensure that rights and interests records are compiled,
maintained, updated, and protected and that they
are retrievable for authorized review. Examples of rights
and interests records include—
(a) payroll, finance, and budget;
(b) personnel leave, health, and insurance;
(c) military service, social security, and retirement;
(d) contracts and agreements;
(e) grants and leases;
(f) entitlements;
(g) obligations the loss of which would impose legal or
financial risk; and
(h) documentation for electronic systems that
manage personnel and financial information.
(2) Maintain inventories of their organizations’ vital records.
(3) Ensure that program personnel are trained in and
knowledgeable of the purpose and operations rights
and interests portion of the Vital Records Program for
purposes of this Order.
(4) Develop and maintain training records that can be made
available for inspection.
(5) Include vital records identification and management in
records program assessments.
(6) Coordinate vital records storage issues with the
Office of Emergency Operations.
f. Contracting Officer.
(1) Based on notification from the procurement request
originator, applies applicable provisions of this
directive to affected contracts.
(2) Once notified by the designated organization official,
incorporate the CRD into affected contracts.
(3) For awards other than management and
operating contracts, incorporates or references explicit
language requests for proposals or through negotiation
in an existing award.
(4) Transmits planning requirements to contractors
to ensure appropriate information management policies,
manuals, and mission-specific information requirements
are clear under the terms of their contracts or in the
mission-specific scope of work provided within the
budgeting process.
8. DEFINITIONS. Other definitions used throughout this Order
can be found in Title 36, Code of Federal Regulations
(CFR) Part 1236, Management of Vital Records.
a. Vital records are those emergency operating records
and legal and financial rights records required during
and after an emergency or as part of the recovery
from a disaster.
b. Emergency operating records are that type of
vital records essential to the continued functioning or
reconstitution of an organization during and after an
emergency. Included are emergency plans and directives,
orders of succession, delegations of authority, staffing
assignments, selected program records needed to
continue the most critical agency operations, as
well as related policy or procedural records that
assist agency staff in conducting operations under
emergency conditions and for resuming normal
operations after an emergency.
c. Legal and financial rights records are that type
of vital records essential to protect legal and
financial rights of the Government and individuals
directly affected by its activities (also known as
rights and interests records). Examples include
accounts receivable records, social security records,
payroll records, retirement records, and insurance
records.
9. REFERENCES.
a. Public Law (P.L.) 106-65, National Nuclear Security
Administration Act of 1999, as amended, which establishes
NNSA asa separately organized agency within DOE
(www.nnsa.doe.gov/).
b. P.L. 104-201, Section 3174, National Defense Authorization
Act for FY 1997, which requires findings before imposing any DOE
Orders at a defense nuclear facility (see paragraph 10).
c. 36 CFR 1236, Management of Vital Records, which prescribes
policies and procedures for establishing a program for the
identification and protection of vital records needed for
continuity of Agency operations before, during, and after
emergencies and needed to protect the legal and financial
rights of the Government and persons affected by
Government activities (www.gpoaccess.gov/index/html).
d. E.O. 12656, Assignment of Emergency Preparedness
Responsibilities, November 1988, which defines particular
functions DOE must perform under a national security
emergency (online at www.archives.gov/federal-register/
codification/executive-order/12656.html).
e. E.O. 12344, (Statutorily prescribed by 50 U.S.C. 2511),
Naval Nuclear Propulsion Program, which defines
organizationalresponsibilities for the Naval Nuclear
Propulsion Program (onlineat http://www.archives.gov/
federal-register/codification/executive-order/12344.html).
f. Federal Preparedness Circular 65, Federal Executive Branch
Continuity of Operations (COOP), dated 6-15-04.
g. NARA, Vital Records and Records Disaster Mitigation
and Recovery: An Instructional Guide, which addresses
guidance to Agencies on establishing and managing vital
records programs with emphasis on contingency planning
and risk assessment, 1999 (http://www.archives.gov/
records-mgmt/vital-records/appendix-e.html).
h. DOE, Office of the Chief Information Officer pamphlet,
Identify and Protect Your Vital Records, March 2004
(http://cio.doe.gov/RBManagement/Records/poliguid.html).
i. DOE O 151.1C, Comprehensive Emergency Management System,
dated 11-2-05 (Directives are online at www.directives.doe.gov).
j. DOE N 150.1, Continuity of Operations, dated 1-14-05.
k. DOE G 151.1, Emergency Management Guide, dated 8-21-97.
l. DOE O 243.1, Records Management Program, dated 2-3-06.
m. DOE O 420.1B, Facility Safety, dated 12-22-05.
n. DOE O 470.4, Safeguards and Security Program, dated 8-26-05.
o. DOE O 471.1A, Identification and Protection of Unclassified
Controlled Nuclear Information, dated 6-30-00.
p. DOE O 471.3, Identifying and Protecting Official Use Only
Information, dated 4-9-03.
10. NECESSITY FINDING STATEMENT. In compliance with statutory
requirements of P.L. 104-201, the National Defense
Authorization Act for Fiscal Year 1997, Sec. 3174, DOE hereby finds
that the subject Order is necessary for the fulfillment of current legal
requirements and conduct of critical administrative functions.
11. CONTACT. Questions concerning this Order should be addressed to the
Departmental Records Officer, Office of the Chief
Information Officer or the Director of Emergency Operations
(NNSA).
BY ORDER OF THE SECRETARY OF ENERGY:
CLAY SELL
Deputy Secretary
ATTACHMENT 2. DOE ELEMENTS TO WHICH DOE O 243.2 IS APPLICABLE
Office of the Secretary
Departmental Representative to the Defense Nuclear Facilities
Safety Board
Energy Information Administration
National Nuclear Security Administration
Office of the Chief Financial Officer
Office of the Chief Information Officer
Office of Civilian Radioactive Waste Management
Office of Congressional and Intergovernmental Affairs
Office of Counterintelligence
Office of Economic Impact and Diversity
Office of Electricity Delivery and Energy Reliability
Office of Energy Efficiency and Renewable Energy
Office of Environment, Safety and Health
Office of Environmental Management
Office of Fossil Energy
Office of General Counsel
Office of Hearings and Appeals
Office of Human Capital Management
Office of Independent Oversight and Performance Assurance
Office of the Inspector General
Office of Intelligence
Office of Legacy Management
Office of Management
Office of Nuclear Energy, Science and Technology
Office of Policy and International Affairs
Office of Public Affairs
Office of Science
Office of Security and Safety Performance Assurance
Secretary of Energy Advisory Board
Bonneville Power Administration
Southeastern Power Administration
Southwestern Power Administration
Western Area Power Administration
ATTACHMENT 2. CONTRACTOR REQUIREMENTS DOCUMENT
DOE O 243.2, VITAL RECORDS
Regardless of the performer of the work, the contractor is
responsible for complying with the requirements of this
Contractor Requirements Document (CRD) and flowing down the
requirements of this CRD to subcontractors at any tier to the
extent necessary to ensure the contractor’s compliance with the
requirements.
This CRD establishes the requirements for the creation and
handling of Department of Energy (DOE) information, identified as
vital records.
As directed by the contracting officer, the contractor must meet
the following requirements.
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”).
b. Contractor vital records are selected based on emergency
missions, functions, and plans of operation.
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.
(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.
(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.
(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.
(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.
(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.
(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.
(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 also
must include a resource list oflocal 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.
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.
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.
4. RESPONSIBILITIES.
a. Contractor Emergency Management Program Administrators.
(1) Ensure that emergency operating records are compiled,
maintained, updated, and protected, and that they are
retrievable.
(2) Based upon disaster and attack-related emergencies
in which the organization may be involved—
(a) ensure that all alternate emergency operating centers,
alternate command centers, and relocation sites are
identified and
(b) work with their organizations’ records
management program staff to ensure that—
1 emergency operating records are
identified in accordance with established
policies and procedures and that other
information needs are addressed;
2 emergency operating records are
collected, marked and numbered for
control, forwarded to designated off-site
storage locations, and updated as needed
(updates shall be performed no less
than annually);
3 mechanisms are in place to provide records
access and ease of retrieval during
emergencies (through the Emergency
Management Program); and
4 records storage facilities meet regulatory
requirements.
(3) Provide training to program personnel regarding the
purpose and operations of the emergency operating
records protection portion of the Vital Records Program.
(4) Develop and maintain training records that can be made
available for inspection.
b. Contractor Records Officers and Staff.
(1) Ensure that rights and interests records are compiled,
maintained, updated, and protected and that they are
retrievable for authorized review. Examples of rights and
interests records include—
(a) payroll, finance, and budget;
(b) personnel leave, health, and insurance;
(c) military service, social security, and retirement;
(d) contracts and agreements;
(e) grants and leases;
(f) entitlements;
(g) obligations the loss of which would impose legal or
financial risk; and
(h) documentation for electronic systems that manage
personnel and financial information.
(2) Maintain inventories of their organizations’ vital records.
(3) Ensure that program personnel are trained in and
nowledgeable of the purpose and operations for the rights and
nterests portion of the Vital Records Program for purposes of
his Order.
(4) Develop and maintain training records that can be made
vailable for inspection.
(5) Include vital records identification and management in
ecords program assessments.
(6) Coordinate vital records storage issues with the Office of
Emergency Operations.
5. REFERENCES.
a. Public Law (P.L.) 106-65, National Nuclear Security
Administration Act of 1999, as amended, which establishes NNSA as
a separately organized agency within DOE (www.nnsa.doe.gov/).
b. P.L. 104-201, Section 3174, National Defense Authorization
Act for FY 1997, which requires findings before imposing any DOE
Orders at a defense nuclear facility (see paragraph 10).
c. 36 CFR 1236, Management of Vital Records, which prescribes
policies and procedures for establishing a program for the
identification and protection of vital records needed for
continuity of Agency operations before, during, and after
emergencies and needed to protect the legal and financial rights
of the Government and persons affected by Government activities
(www.gpoaccess.gov/index.html).
d. E.O. 12656, Assignment of Emergency Preparedness
Responsibilities, November 1988, which defines particular
functions DOE must perform under a national security emergency
(online at www.archives.gov/federal-register/codification/
executive-order/12656.html).
e. E.O. 12344, (Statutorily prescribed by 50 U.S.C. 2511),
Naval Nuclear Propulsion Program, which defines organizational
responsibilities for the Naval Nuclear Propulsion Program (online
at www.archives.gov/federal-register/codification/
executive-order/12344.html).
f. Federal Preparedness Circular 65, Federal Executive Branch
Continuity of Operations (COOP), dated 6-15-04.
g. NARA, Vital Records and Records Disaster Mitigation and
Recovery: An Instructional Guide, which addresses guidance to
Agencies on establishing and managing vital records programs with
emphasis on contingency planning and risk assessment, 1999
(www.archives.gov/records-mgmt/vital-records/appendix-e.html).
h. DOE, Office of the Chief Information Officer pamphlet,
Identify and Protect Your Vital Records, March 2004
(http://cio.doe.gov/RBManagement/Records/poliguid.html).
i. DOE O 151.1C, Comprehensive Emergency Management System,
dated 11-2-05 (Directives are online at www.directives.doe.gov).
j. DOE N 150.1, Continuity of Operations, dated 1-14-05.
k. DOE G 151.1, Emergency Management Guide, dated 8-21-97.
l. DOE O 243.1, Records Management Program, dated 2-3-06.
m. DOE O 420.1B, Facility Safety, dated 12-22-05.
n. DOE O 470.4, Safeguards and Security Program, dated 8-26-05.
o. DOE O 471.1A, Identification and Protection of Unclassified
Controlled Nuclear Information, dated 6-30-00.
p. DOE O 471.3, Identifying and Protecting Official Use Only
formation, dated 4-9-03.
6. DEFINITIONS. Other definitions used throughout
this Order can be found in 36 CFR 1236, Management
of Vital Records.
a. Vital records are those emergency operating records
and legal and financial rights records required during
and after an emergency or as part of the recovery from
a disaster.
b. Emergency operating records are that type of
vital records essential to the continued
functioning or reconstitution of an organization
during and after an emergency. Included are
emergency plans and directives, orders of
succession, delegations of authority, staffing
assignments, selected program records needed to
continue the most critical agency operations, as
well as related policy or procedural records that
assist agency staff in conducting operations under
emergency conditions and for resuming normal
operations after an emergency.
c. Legal and financial rights records are that type
of vital records essential to protect legal and
financial rights of the Government and individuals
directly affected by its activities (also known as
rights and interests records). Examples include
accounts receivable records, social security records,
payroll records, retirement records, and insurance
records.