Attachment_35,_Record_Management_Requirements.pdf

Training Support Services

Attachment 35

Training & Education Record Management Requirements

CDP T&E MANUAL 181-1-01

Training and Education Records Management Program Manual

APPROVAL DATE: 09/05/2014

DEPARTMENT OF HOMELAND SECURITY

FEDERAL EMERGENCY MANAGEMENT AGENCY

CENTER FOR DOMESTIC PREPAREDNESS

TRAINING AND EDUCATION DIRECTORATE

Denis Campeau Director Training and Education Directorate

Date: September 4, 2014

Foreword

This Manual provides policy direction for the administration, implementation, and oversight of the Center for Domestic Preparedness (CDP) Training and Education Directorate Records Management and Document Control programs.

Table of Contents

CHAPTER 1: GENERAL INFORMATION

1-1. Purpose

1-2. Applicability and Scope

1-3. Supersession

1-4. Authorities/References

1-5. Policy

1-6. Definitions

1-7. Responsibilities

1-8. Forms Prescribed

1-9. Questions

CHAPTER 2: RECORD MANAGEMENT REQUIREMENTS

2-1. T&E Directorate records described below are unscheduled

2-2. T&E Directorate Program Files

2-3. Training Delivery Documentation

2-4. Training Curriculum Files

2-5. Records and Program Records in E-mail or Electronic Form

CHAPTER 3: DOCUMENT CONTROL

3-1. Training and Education Directorate Submission Process

3-2. Training and Education Directorate Review/Approval

3-3. Finalizing Documents

3-4. Document Control Log

3-5. Annual Requirements

CHAPTER 4: Records Vault: Deposit and Removal Procedures

4-1. Prepare Paper Documents for Storage in CDP Records Vault

4-2. Deposit Documents in CDP Records Vault

4-3. Remove Documents from CDP Records Vault for Review

CHAPTER 5: FOIA Requests

5-1. FOIA Request Receipt

5-2. Logs

CHAPTER 1: GENERAL INFORMATION

1-1. Purpose

This manual establishes the policies and processes for the uniform development, organization, maintenance, and disposition of Training and Education Directorate records. Defining the sequence of activities required to develop, distribute, implement, revise, and control documentation in all areas related to the Training and Education Directorate except the Chemical, Ordnance, Biological, and Radiological Training Facility (COBRATF).

1-2. Applicability and Scope

This manual applies to all CDP Training and Education (T&E) Directorate federal employees, contractors, and students.

1-3. Supersession

CDP T&E Manual 181-1-00 Training and Education Records Management Program Manual dated 11/22/2013

1-4. Authorities/References

A. 44 U.S.C 3101 and 3102

B. 36 CFR 1220 series

C. FEMA Manual 181-1-1 Records Management, Files Maintenance and Records Disposition

D. CDP 136-1-00 IT System & Information Integrity

E. CDP 140-2-00 IT Access Control

F. CDP 263-4-00 IT Email Directive

G. CDP 540-1-01 Quality Directive

H. CDP 540-2-00 Quality Management System

I. CDP 540-3-00 Quality Assurance-Quality Control Program

J. CDP 542-1-00 Internal Control Program

K. CDP 580-1-00 Records Management

L. CDP T&E Manual 016-1-01 Registration/Admissions Manual

M. CDP T&E Manual 016-2-01 Training Support Manual

N. CDP T&E Manual 016-3-01 Training Approval Manual

O. CDP T&E Manual 530-1-00 Data Flow and CTAS Requirements

P. CDP T&E Manual 563-1-00 Electronic Archive System Records

Q. CDP-T&E-Publication-004 EAS Master Document Matrix

R. Official CDP Course Information List

S. CDP Document Guidelines and Procedures

1-5. Policy

The Training and Education (T&E) Directorate will create, maintain, and preserve information as records that document the transaction of T&E business to provide evidence of organization, functions, policies, procedures, decisions, and activities. T&E will manage records effectively and efficiently in any media used for creation or storage in accordance with approved records schedules.

1-6. Definitions

A. CD&E Branch – Curriculum Development and Evaluation Branch

B. CDP ─ Center for Domestic Preparedness

C. Class – Iteration of approved course curricula

D. Course – Official curricula type

E. CTAS – Center for Domestic Preparedness Training Administration System

F. EAS – Electronic Archive System, a digital, central, Record Keeping System

G. FOIA – Freedom of Information Act

H. FTP – Facilitator Training Program ─ Program by which the CDP validates trainers to deliver specific CDP courses in a mentored or academy model

I. Indirect Authorized Trainer – Graduate of a CDP TtT course(s) authorized by the SAA to deliver indirect training within the respective state(s).

J. Metadata – Data describing stored data: data describing the structure, data elements, interrelationships, and other characteristics of electronic records.

K. NTED – National Training and Education Division

L. POI – Plan of Instruction

M. Program Records – Agency unique mission-related activities

N. Records – All documentary materials, regardless of physical form, that are made or received by the CDP T&E Directorate as evidence of the organization, functions, policies, decisions, procedures, operations, programs, or other activities of the Directorate.

O. T&E – Training and Education

P. Training Delivery Types

1. Direct Training – Training delivered by CDP instructors and/or for which CDP manages the course delivery.

a. Resident Training – Training that occurs on the CDP campus for approved CDP courses.

b. Non-Resident Training – Training that occurs off the CDP campus for approved CDP courses.

1) Mentored Training – Training conducted by host agencies and trainers, with CDP on-location oversight, after meeting all trainer validation and mentoring requirements.

2) Academy Training – Training conducted at a CDP approved host academy or agency site delivered by host trainers with on-location CDP oversight.

2. Indirect Training – Approved CDP training delivered at an off-campus location (host) by an Indirect Authorized Trainer or validated host agency trainers.

a. Standard Indirect Training – Training conducted by an Indirect Authorized Trainer at a site or location exclusively within the designated State(s).

b. Academy Training – Training conducted at a CDP approved host academy or agency site delivered by host trainers who have completed the CDP trainer validation process.

3. Online Training or Distance Learning – Training delivered via a technological medium.

4. Partnership Training – CDP sponsored, supported, or hosted training of other than approved CDP courses.

5. Other – Other training activities not otherwise identified as CDP or partnership training (e.g. focus groups and role player volunteers).

1-7. Responsibilities

A. The Director of Training and Education is responsible for determining policy in regards to student eligibility for and completion of CDP courses and providing oversight for all documents associated with the Training and Education Directorate to be maintained and managed per the CDP Files Maintenance and Disposition Plan and the CDP-T&E-Publication-004 EAS Document Matrix.

B. The Assistant Director, Curriculum Development and Evaluation is responsible for technical oversight of the CDP total curriculum development life cycle, maintains continuing overview of curriculum and evaluation programs, and providing oversight for all documents associated with the CD&E Branch to be maintained and managed per the CDP Files Maintenance and Disposition Plan and the CDP-T&E-Publication-004 EAS Document Matrix.

C. The Assistant Director, Training Delivery is responsible for all training delivered by the CDP, identifying training priorities, training emphasis, and providing oversight for all documents associated with the Training Branch to be maintained and managed per the CDP Files Maintenance and Disposition Plan and the CDP-T&E-Publication-004 EAS Document Matrix.

D. The Chief of Training Support (Registrar) is responsible for all student admissions, support functions, and provides oversight for all documents associated with Training Support to be maintained and managed per the CDP Files Maintenance and Disposition Plan and the CDP-T&E-Publication-004 EAS Document Matrix.

E. The Chief of Training Management is responsible for the quality and execution of CDP training delivery, and provides oversight for all documents associated with Training Management to be maintained and managed per the CDP Files Maintenance and Disposition Plan and the CDP-T&E-Publication- 004 EAS Document Matrix.

F. The Records Liaison Officer/Records Management Specialist serves as the primary records management point of contact. The Records Liaison Officer is responsible for all records and data created. This responsibility includes maintenance, and disposal in accordance with records management laws, regulations, policies, this manual, the CDP Files Maintenance and Disposition Plan, and the CDP-T&E-Publication-004 EAS Document Matrix.

1-8. Forms Prescribed

A. CDP-RM-0003 Record Archival Form

B. CDP-RM-0005 Controlled Document Initiation and Review

1-9. Questions

Address questions concerning the policies and processes detailed to the Records Liaison Officer / Records Management Specialist.

CHAPTER 2: RECORD MANAGEMENT REQUIREMENTS

2-1. T&E Directorate records described below are unscheduled.

Retain these records until National Archives Records Administration (NARA) approves the CDP submitted SF 115 Request for Records Disposition Authority.

2-2. T&E Directorate Program Files

A. Maintain required records needed to administer CDP T&E programs within the office area in which the records are developed.

B. Retain statistical reports of students or numbers trained, by reporting period or fiscal year, in the Report Index of the EAS.

C. Retain Data Call Reports requested by agencies or higher headquarters produced from CTAS in the Report index of the EAS.

2-3. Training Delivery Documentation

Maintain record documentation for all training deliveries conducted by the CDP as listed below, in the EAS as prescribed by CDP-T&E-Publication-004 EAS Document Matrix.

A. Direct Deliveries

1. Resident Training

a. Retain the Training Calendar by fiscal year specifying all on-campus deliveries and cancellations with corresponding coordination documents in the Report index of the EAS.

b. Retain statistical tracking logs maintained by the Training Support contractor in the Report Index of the EAS.

c. Retain documents listed on the CDP-T&E-Publication-004 EAS Document Matrix specifically associated with Resident Training Deliveries.

2. Non-Resident Training

a. Retain requests for and approval/disapproval of training deliveries with corresponding coordination documents, in the Report index of the

EAS.

b. Retain class numbering and statistical tracking logs maintained by the Training Support contractor in the Report index of the EAS.

c. Retain documents listed on the CDP-T&E-Publication-004 EAS Document Matrix specifically associated with Non-Resident Training Deliveries.

B. Indirect Deliveries

1. Retain requests for and approval/disapproval of Academy or Agencies as authorized training delivery locations along with all option selections in the Report index of the EAS.

2. Retain Training Support Package and corresponding coordination documents or requests from authorized trainers and Training Support Package request tracking logs in the Report index of the EAS.

3. Retain class numbering and statistical tracking logs maintained by the Training Support contractor in the Report index of the EAS.

4. Retain documents listed on the CDP-T&E-Publication-004 EAS Document Matrix specifically associated with Indirect Training.

C. Online Training is not available at this time.

D. Partnership Training

1. Retain EMI Course/Activity Schedule Addition/Modification Form along with corresponding coordination documents in the Report index of the

EAS.

2. Retain CDP-TE-0012 External Agency Training Request Form approved or disapproved along with corresponding coordination documents in the Report index of the EAS.

3. Retain class numbering and statistical tracking logs maintained by the Training Support contractor in the Report index of the EAS.

4. Retain documents listed on CDP-T&E-Publication-004 EAS Document Matrix specifically associated with "Partnership Training".

E. Other Training

1. Retain approved or disapproved requests along with corresponding coordination documents in the Report index of the EAS.

2. Retain requests for and approved or disapproved Special Training Courses, CDP non-traditional training deliveries, with CDP oversight whether on or off-campus along with corresponding coordination documents in the Report index of the EAS.

3. Retain class numbering and statistical tracking logs maintained by the Training Support contractor in the Report index of the EAS.

4. Retain documents listed on CDP-T&E-Publication-004 EAS Document Matrix for the ClassRec Index specifically associated with "Other Training".

2-4. Training Curriculum Files

A. Retain record copies of training materials for each CDP course once released for implementation. These materials include but are not limited to, Plan of Instruction (POI), Instructor guide, Participant Manual, Level 1 End of Course Evaluations, Level 2 Instruments and instructions and classroom handouts in the POI index of the EAS as listed on CDP-T&E-Publication-004 EAS Document Matrix. Training Support contractor adds to EAS once released for implementation.

B. Retain accreditation files in the CD&E Branch, arrange alphabetically by accreditation and course type.

C. Retain documents accumulated in planning, developing, and carrying out projects designed to evaluate ongoing training activities or to develop new training programs, courses, activities, and techniques arranged alphabetically in the CD&E Branch.

D. Retain documents accumulated in performing NTED Third Party evaluations of Curriculum received from other agencies in the CD&E Branch.

2-5. Records and Program Records in E-mail or Electronic Form

Retain records in e-mail and electronic form as listed above with all metadata pertinent to the record as prescribed by the Chief Information Officer, Assistant Director of Infrastructure of the CDP.

CHAPTER 3: DOCUMENT CONTROL

3-1. Training and Education Directorate Submission Process

A. T&E personnel submit a request for revision of a current or creation of a new document to the Records Management Specialist on CDP-RM-005 Controlled Document Initiation and Review.

B. In the case of a revision, the Records Management Specialist will issue an electronic copy of the document with a protected header stating the document is in draft form.

C. The Records Management Specialist will determine whether to issue a revised document or an addendum in the form of an interim change when an existing document changes, after the third change, a revision is required.

D. The requestor will incorporate all current interim changes, as well as the current version of a document, when submitting a request for a revision.

E. The requestor will submit a final draft for revision or creation of a new document to the Records Management Specialist in electronic form. In the case of a revision, highlight changes made to the document.

F. All Manuals and SOPs follow the format designated by FEMA Document Control.

3-2. Training and Education Directorate Review/Approval

A. When the requestor is not the process owner, the Records Management Specialist submits the action to the process owner for review prior to the formal review process.

B. The Records Management Specialist ensures that the appropriate personnel perform an adequate review and records approval/disapproval on the Controlled Document Initiation and Review Form.

C. The Records Management Specialist evaluates comments made during the review process.

1. The Records Management Specialist incorporates comments that do not alter the context of the document with no further review (i.e. spelling, sentence structure, format, etc.).

2. Reviewer coordinates with the process owner for consideration when comments made alter the context of the document.

3. The process owner clearly indicates which comments or recommendations the Records Management Specialist incorporates, or not, into the new revision.

4. The Records Management Specialist maintains a record of changes, as applied, including the rationale for the change.

D. Approval/Disapproval of Documents

1. The Records Management Specialist records approval of documents on the Controlled Document Initiation and Review Form, which serves as the record of review, and approval.

2. The Assistant Director, Training Delivery approves and signs all training delivery, support, and non-COBRATF medical services controlled documents.

3. The Assistant Director, CD&E Branch approves and signs all curriculum, evaluations, and standards controlled documents.

4. The Director, Training and Education approves all T&E controlled documents prior to publication and signs all T&E Management controlled documents.

5. If disapproved, Records Management Specialist notifies requestor of disapproval and files all documentation relating to the request as historical data. The requestor must initiate a new request to pursue the revision further.

3-3. Finalizing Documents

A. The Records Management Specialist coordinates the proposed effective date of the new or revised document with the requestor to ensure ample time for training (if required).

B. The Records Management Specialist submits forms to the CDP Quality Assurance Office for review and issuance of a document number.

C. The Records Management Specialist submits Manuals and SOPs to the CDP Quality Assurance Office for reference.

D. The Records Management Specialist assigns a document number to all SOPs based upon established guidelines, tracking by branch, department, and section listing the numbers issued on the Document Control Log.

E. The Records Management Specialist assigns a document number to all Manuals based upon the Federal Enterprise Structure numbering requirements.

F. The Records Management Specialist publishes new or revised documents to the requestor and all affected parties within the T&E Directorate.

G. The document holder is responsible for posting new, revised, and interim change documents and destroying all obsolete documents within the section.

H. Personnel may request copies of obsolete documents or current revisions of documents from the Records Management Specialist who issues these documents for information purposes only and clearly identifies them as such.

3-4. Document Control Log

The Records Management Specialist maintains a master list of all documents within the T&E Directorate, including the latest revision number.

3-5. Annual Requirements

At a minimum, the individual process owners must perform a yearly review of all documents within the scope of this procedure.

A. The Records Management Specialist will provide a Controlled Document Initiation and Review Form for each document to be reviewed requiring annual review to each process owner no less than 60 days prior to the annual review due date.

B. Process owners will document action required and reason for action on the Controlled Document Initiation and Review Form.

C. In the event an action is required (i.e. revision) the revision must be submitted to the Records Management Specialist within 90 days of the annual review being completed.

D. If a document revision is delayed, superseded, or the document is obsolete submit a justification on the Controlled Document Initiation and Review Form to the Records Management Specialist within 90 days of the annual review.

CHAPTER 4: Records Vault: Deposit and Removal Procedures

4-1. Prepare Paper Documents for Storage in CDP Records Vault

A. Store paper documents in standard type storage boxes.

B. Annotate on the exterior of the box the records type (e.g. Student Records or Training Materials, etc.), the inclusive dates of the records, and the exact name of the records enclosed (e.g. “Indirect Training 12-0001 SAT8 ~ 12- 0150 SAT8” or “Resident Training Weeks 01 ~ 14” etc.).

4-2. Deposit Documents in CDP Records Vault

A. Once the boxes are ready for deposit, the records custodian completes a CDP-RM-0003 Record Archival Form.

B. The records custodian notifies the Records Management Specialist to gain access to the CDP vault.

C. The records custodian transports the documents to the CDP Vault. The Records Management Specialist signs for receipt of the documents and provides copies of the receipt to the releasing records custodian and the receiving records custodian.

4-3. Remove Documents from CDP Records Vault for Review

A. The reviewer locates the original CDP-RM-0003 Record Archival Form used to deposit the document into the vault.

B. The reviewer makes a copy of the original CDP-RM-0003 Record Archival Form and completes the Record Removal portion of the form.

C. The reviewer notifies the Records Management Specialist to gain access to the CDP vault.

D. Once review of the document is complete, the reviewer notifies the Records Management Specialist. The Records Management Specialist completes the Record Return portion of the CDP-RM-0003 Record Archival Form and receives records back to the vault. The Records Management Specialist provides copies of the CDP-RM-0003 Record Archival Form to the reviewer and the records custodian.

CHAPTER 5: FOIA Requests

5-1. FOIA Request Receipt

As the CDP Records Liaison Officer, the Records Management Specialist processes all FOIA requests from FEMA Headquarters FOIA Office.

5-2. Logs

A. Log in all requests tracking date and time received on the FOIA Request Log.

B. Gather the documents requested from the appropriate source.

C. Submit documents to the CDP Legal Office for review and suggested redactions, all requested redactions must cite the FOIA exemption that applies.

D. Follow instructions for submission of request on the FEMA FOIA Office Suspense Tracker.