Vital Records and Records Disaster Mitigation and Recovery: An Instructional Guide
Appendix C. Sample Vital Records Directives
1999 Web Edition
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NARA does not mandate that
format, organization, or
design of agency issuances
that implement the vital
records and records disaster
mitigation and recovery programs.
The following vital records
directives from two Federal
agencies are provided as
examples of agency internal
issuances. Other agencies
will decide how and where
to incorporate the requirements
specified in NARA regulations
into their operations, and
how to authorize and document
these programs.
Nuclear
Regulatory Commission,
Vital Records Directive
Minerals
Management Service, Vital
Records Directive
Nuclear Regulatory Commission Vital Records Directive
Volume
3, Part 2 - Records Management
NRC Records Management
Program
Handbook 3.53; Part V
Part V
Procedures for Managing
Vital Records
Introduction (A)
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This part provides instructions
for NRC staff in the selection,
preparing, and inventory
of vital records and the
transmission, maintenance,
and disposition of these
records at NRC relocation
sites as part of the NRC
Vital Records Program.
- The military
effort (i)
- The mobilization and
protection of material
and personnel resources,
services, and systems
(ii)
- The maintenance of
public health, safety,
and order (iii)
- The conduct of essential
civil defense activities
(iv)
- Oversight surveillance
of the operations of
licensed nuclear reactors
and fuel cycle facilities
to ensure minimum hazard
to health and safety
consistent with national
security needs (i)
- Assessment of damage
to nuclear facilities
(ii)
- Assessment of threats
to special nuclear materials,
high-level radioactive
wastes, and nuclear facilities
(iii)
- Assessment of requirements
for recapture of special
nuclear material (iv)
- Assessment of safety
criteria for licensed
nuclear facilities (and
special nuclear material)
relevant to the national
emergency (v)
- Liaison with -- (vi)
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- The office designed
by the President to
receive reports on
the NRC emergency preparedness
functions, for advice
on the content of public
instructions and information,
and for recommendations
concerning NRC's role
in achieving national
objectives (a)
- Other Federal agencies with related functions (b)
- State agencies concerning emergency conditions and required actions related to licensed facilities and materials (c)
Records essential to NRC's continued operations during a national emergency comprise "NRC vital records." These records are categorized as either emergency operating records or rights and interests records.
Emergency Operating Records (1)
Records that are vital
to the essential activities
of the NRC for the duration
of an emergency if the
country is attached comprise
"emergency operating records."
NRC's essential activities
during national emergencies
are defined in Management
Directive (MD) 6.2, "Continuity
of Government Programs."
Included are records needed
for -- (a)
Records in the category
consist of those operating
records needed to perform
or administer the following
essential NRC functions:
(c)
Rights and Interests Records (2)
Records that are required for the preservation of the legal rights and interests of individual citizens and of the Federal Government comprise "rights and interests records." These records require protection but need not be maintained at or in the vicinity of a relocation site, nor kept in paper form, because their need would not be immediate. Copies of rights and interests records are safeguarded in the NRC Archival Facility (AF) or the Washington National Records Center. Examples of these records are records containing proof of ownership, financial interest (payroll, leave, social security, retirement, insurance), legal proceedings decisions, contractual obligations, and similar records. These records could contain sensitive or classified information.
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The objectives of the NRC
Vital Records Programs are
--
- To ensure that emergency
operating records vital
to the continuity of
essential NRC activities
during a national emergency
will be available at
NRC relocation sites
in the event that those
sites are activated during
a national emergency.
(1)
- To safeguard rights
and interest records
essential to the preservation
of the legal rights and
interests of individual
citizens and the Federal
government. (2)
- To ensure that vital
records are evaluated
on the basis of their
essentiality in carrying
out emergency operations
or in protection the
rights and interests
of citizens and the Government
and not on their value
as permanent records.
The records must be adequate
for use by individuals
other than those who
would generally use them.
(3)
- To employ control techniques
to ensure that needed
records are available
at NRC relocation sites.
(4)
- To ensure that records
will be easily retrievable
and maintained in usable
condition. (5)
- To ensure that the
necessary finding aids
are available at the
sites. (6)
- To ensure that a current inventory of records located at the sites is readily accessible. (7)
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The NRC Records Officer
is responsible for staff
leadership, coordination,
and audit of the NRC Vital
Records Program, as well
as the periodic evaluation
of files maintenance and
disposition activities
at emergency relocation
sites. The NRC Records
Officer makes quarterly
site visits to evaluate
the records stored at the
NRC headquarters' relocation
site. (1)
The NRC Records Officer collects and maintains a select master set of Federal and NRC directives, handbooks, forms, and other issuances, both administrative and technical. (2)
Each major NRC program office is responsible for the implementation and operation of the vital program within its area of responsibility.(3)
Records Liaison Officers (RLOs) are responsible for ensuring that copies of all records selected for retention at the relocation sites are collected and submitted on schedule to the NRC Records Officer for transfer to the appropriate relocation site. (4)
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Vital Records Plan (1)
- The emergency operating
records that the office
or region needs at NRC
relocation sites in order
to perform their assigned
responsibilities during
a national emergency.
The office or region
must identify the specific
relocation site where
the emergency operating
records will be needed.
(i)
- The rights and interest
records that the office
or region believes should
be safeguarded at the
NRC AF. (ii)
Each office and region
shall propose a "Vital
Records Plan," NRC
form 340 (Exhibit 24),
that will identify -- (a)
Annual Vital Records Plan Update (2)
IRM will request annual updated plans from each office and region to ensure that the records currently maintained for the vital records program are still adequate and needed in view of new or revised NRC program requirements. Revised plans will be processed and distributed in accordance with the instructions specified in Section (E)(1) above.
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Records Preparation
(1)
To the extent possible, vital records selected for retention at relocation sites or the AF should be generated routinely as prepared or used to accomplish daily activities to preclude the need to make copies later. Directions for copying automated data processing (ADP) records needed for the vital records program should be included in the ADP program instructions.
Transmission of Vital Records to the NRC Records Officer (2)
All vital records items listed on the approved vital records plans will be sent to the NRC Records Officer according to the NRC Form 340A. The RLO listed on the Form 340A is responsible for the timely transmittal of vital records to the NRC Records Officer.
Updating Emergency Operating Records at the NRC Relocation Sites (3)
IRM is responsible for ensuring that the emergency operating records listed on the approved plans are updated at the appropriate relocation sites. Emergency operation records will be updated quarterly unless indicated otherwise on the NRC Form 340A.
Updating Rights and Interest Records at the NRC Archival Facility (AF) (4)
IRM will update rights and interest records safeguarded at the AF as indicated on the NRC Form 340A.
Minerals Management Service Vital Records Directive
DEPARTMENT OF THE INTERIOR MINERALS MANAGEMENT SERVICE MANUAL
Administrative
Series
Part 384 Records Disposition
Chapter 1 Vital Records
384.1.6D
1. Purpose. The purpose of this chapter is to ensure the ready availability of vital records needed for the continued operation of essential functions within the Minerals Management Service (MMS) in the event of a national or regional emergency.
2. Authority.
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A. 36 CFR 1236.
B. Departmental Manual (380 DM 1 Records Management).
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A. Emergency Operating
Records are records
vital to the essential
functions of the Federal
Government for the duration
of an emergency and comprise
records necessary for the
mobilization and protection
of material and manpower
resources, services, and
systems; the maintenance
of public health, safety,
and order; and the conduct
of essential civil defense
activities. These records
are divided into two categories:
(1) Emergency operating
Group 1, those records
which define the basic
organization, its directives,
regulations, emergency
procedures (for example,
the Emergency Preparedness
Plan and ADP Continuity
of Operations Plans (COOP)),
etc.; and (2) Emergency
Operating - Group 2, those
records which show the
current status off-offshore
operations, such as production
statistics.
B. Rights and Interests Records are records that are essential for the preservation of legal rights and interests of individual citizens and the Federal Government. Examples of these records are personnel security files, Official Personnel Files, and valuable research records; in addition, for MMS, these records include leasing, royalty accounting, and other similar records.
5. Standards.
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A. Emergency Operating
- Group 1 records need
to be available in paper
copies during an emergency;
hence, they should be duplicated
and stored offsite. It
is desirable to have current
Emergency Operating - Group
2 records available during
an emergency; however,
because of volume, each
Regional Director must
determine to what extent
these records will be copied
and stored offsite;
B. Rights and interests records should be protected, but it is not mandatory for them to be available during an emergency. There are no copying requirements for these records.
C. When using magnetic or other machine-readable media, a copy of the software or other information required to use the records should be accorded the same category as the records themselves.
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A. All Associate/Assistant
Directors, the Chiefs
of the Offices of Congressional
and Legislative Affairs and
Minerals Management Information,
the Service Equal opportunity
Manager, the Regional Directors,
the Program Director for
Strategic and International
Minerals, and the Administrative
Service Center Managers are
responsible for identifying,
safeguarding, maintaining,
and updating vital records
within their areas of responsibility
and for appointing Records
officers and File Custodians.
(See MMSM 380.1.) Regional
Directors are further responsible
for determining, because
of potential volumes, to
what degree their Region's
Emergency operating - Group
2 records will be duplicated
and stored elsewhere.
B. The Assistant Director for Administration has overall administrative responsibility for the management of a Vital Records Program. The Assistant Director for Administration will appoint a Records Manager to carry out this responsibility.
C. The Records Manager
will:
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(1) Provide assistance
in obtaining space and
security provisions for
safeguarding vital records.
(2) Assist in the transfer of rights and interests records to a Federal Records Center (FRC) or other suitable location.
(3) Develop and publish guidelines necessary for protection and maintenance of vital records, along with a list of MMS records series which cover vital records. (See Appendix 1.)
(4) Provide for the
safeguarding of proprietary
information in cooperation
with the MMS Security
Officer. (See paragraph
E.)
E. The MMS Security Officer is responsible for the safeguarding of proprietary information in cooperation with the Records Manager.
F. Emergency Preparedness Officer is responsible for the safeguarding of emergency operating records.
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A. Inventory records
and identify those vital
to the emergency operating
and rights and interests
categories and determine
those records which would
be needed to support a function
under emergency conditions.
These records may cover the
organization, assignment
of specific duties and responsibilities,
delegation of authority,
succession to command, and
related emergency readiness
matters.
B. Review vital records for adequacy and completeness.
C. Duplicate vital records (see paragraphs 5A and B) for storage, with sets maintained offsite (which may be at a separate location but within the MMS). When the duplicate is magnetic or other machine-readable media, a copy of the software program or other information required to use the records should be stored with them.
D. Store vital
records for safeguarding
as follows:
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(1) Storage within the
MMS is considered the
most economical and feasible
method for protecting vital
records.
(2) Offsite storage is permissible. Consideration must be given to the availability of special equipment, transportation, security, and feasibility of updating and maintaining the records.
(3) Storage at Federal Records Centers. The atmospheric conditions at the depositories are ideal for proper storage of photographic files, magnetic tapes, and paper records.
Bibliographic note: Web version based on Vital Records and Records Disaster Mitigation and Recovery, National Archives and Records Administration Instructional Guide Series, College Park, MD (1996), 90 pp.
Note: Web version may vary from the printed version.