Attachment_37,_Processing_Miscellaneous_Records.pdf

Training Support Services

Attachment 37

Processing Miscellaneous Records

Center for Domestic Preparedness (CDP) Training and Education MANUAL 563-1-01 Electronic Archive System and Records

APPROVAL DATE: 11/4/2014

DEPARTMENT OF HOMELAND SECURITY

FEDERAL EMERGENCY MANAGEMENT AGENCY

CENTER FOR DOMESTIC PREPAREDNESS

TRAINING AND EDUCATION DIRECTORATE

Charles D. Medley Assistant Director, Training Delivery Training and Education Directorate

Date: November 10, 2014

Michael Aguilar Registrar Training and Education Directorate

Date: November 10, 2014

Foreword

This Manual provides policy direction for the administration, implementation, and oversight of the Center for Domestic Preparedness (CDP) Electronic Archive System (EAS) as well as the management of all student records. This manual is applicable to all CDP federal employees, and contractors who utilize the EAS for document storage.

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. Questions

CHAPTER 2: EAS Management

2-1. Access System Configuration Manager (SCM) software

2-2. EAS User ID’s and Permission Levels

2-3. Adding Indexes to the EAS

2-4. Archive Group and Group Permissions

2-5. EAS Maintenance

2-6. Records will be added to the EAS in the following order:

2-7. Document Matrix

CHAPTER 3: Management and Archiving of Records

3-1. Training Document Tagging Logs

3-2. Active/Inactive Student Records Maintenance

3-3. Training Record Sources

3-4. Training Document Archiving Availability

3-5. Archiving of Student and Class Records

3-6. Student Record Audit

3-7. Archiving in the Asset Management Indexes

3-8. Archiving in the Conferences Index

3-9. Archiving in the Contract Index

3-10. Archiving in the Contractor Medical CERP Index

3-11. Archiving in the Instructor Certification Index

3-12. Archiving in the Mobile Training Trip (MTT) Index

3-13. Archiving in the POI Index 3-14. Archiving in the Reports Index

3-15. Document Final Storage

CHAPTER 1: GENERAL INFORMATION

1-1. Purpose

The purpose of this manual is to establish the policies and processes for the Electronic Archive System (EAS) and all records contained within the EAS.

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 563-1-00 EAS Records Manual dated 11/22/2013

1-4. Authorities/References A. FEMA 181-1 FEMA Records Management Program Directive B. CDP 540-1-00 Quality Directive C. CDP 540-2-00 Quality Management System D. CDP 540-3-00 Quality Assurance/Quality Control Program E. CDP 542-1-00 Internal Control Program F. CDP 580-1-00 Records Management Directive G. CDP T&E Manual 016-1-01 Registration/Admissions Manual H. CDP T&E Manual 016-2-01 Training Support Manual I. CDP T&E Manual 016-3-01 Training Approval Manual J. CDP T&E Manual 181-1-01 Records Management Manual K. CDP T&E Manual 530-1-00 Data Flow & CTAS Requirements Manual L. CDP T&E Manual 563-1-00 Electronic Archive System Records M. CDP-T&E-Publication-004 EAS Master Document Matrix N. UNISearch InterActiveXL Training Manual O. UNISearch Content Management Software – System Configuration Manager

User Guide P. UNISearch Content Management Software – NetSearch Quick Start

1-5. Policy Training and Education (T&E) Directorate create, maintain, and preserve information as records that document the transactions of T&E business to provide evidence of organization, functions, policies, procedures, decisions, and activities. T&E 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 – CDP Curriculum Development and Evaluation Branch B. CERP – Civilian Employee Reliability Program C. Class – Iteration of approved course curricula D. Course – Official curricula type E. CTAS – CDP Training Administration System F. EAS – Electronic Archive System G. EAS Audits – A separate individual from the individual who archived the document reviews each document. Reviewer verifies a record is present for all requirements according to the EAS Document Matrix, the record is complete, and record pages are in proper order.

H. Index – Searchable listing of records and documents I. ISO – Information Systems Officer J. IT – CDP Information Technology Department K. LOA – Letter of Attendance L. QA – Quality Assurance M. POC – Point of Contact N. Program – A class or a group of classes identified by alphabetic characters

(e.g. Program A, B, C, BB, etc.)

O. SCM – System Configuration Manager P. Student registration status categories

1. Priority – Students placed in a class with no available seats or who have withdrawn their registration more than 30 days prior to a scheduled class.

a. Priority Rescheduled – Students who have been registered to a class from Priority status.

b. Priority Expired – Students whose registration packet has expired or who are determined by the Registrar’s office to no longer qualify.

2. Registered –Students approved to attend CDP training and assigned to a class. Students remain in this category from the date of approval until graduation.

3. Administrative Withdrawal – Students who have withdrawn their registration for training less than 30 days prior to a class.

a. Administrative Withdrawal Rescheduled – Students who have been registered to a class from Administrative Withdrawal status.

b. Administrative Withdrawal Expired – Students whose registration packet has expired or who are determined by the Registrar’s office to no longer qualify.

4. Certificate of Completion – These students have successfully completed all academic requirements. This category includes the CTAS statuses of Graduated and Graduated with COBRA.

5. LOA, Academic –Students who academically fail to complete a class. This category includes students who fail the post-test and/or the practical exercise(s). Upon successful completion of the post-test and/or practical exercise(s), these students will transition to the Certificate of Completion category.

6. LOA Administrative – These are students who arrive at the CDP and/or utilize travel funding, but did not complete a class for other than academic reasons. This includes students who do not complete a class for medical or personal reasons or due to a violation of CDP Policies.

7. LOA Ineligible – These students have successfully completed a class, but fail to meet a prerequisite or requirement. These students, categorized as trained, may transition to the Certificate of Completion category upon successful completion of all class prerequisite. CTAS designates this category as “inactive”.

Q. 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).

R. T&E – Training and Education 1-7. Responsibilities

A. Director of Business Operations is the CDP Records Manager and as such is responsible for overseeing all records management policies and procedures.

B. Director of Training and Education is responsible for determining policy regarding student eligibility for and completion of CDP courses.

C. Assistant Director, Curriculum Development and Evaluation is responsible for technical oversight of the CDP total curriculum development life cycle and maintains continuing overview of curriculum and evaluation programs.

D. Assistant Director, Training Delivery is responsible for all training delivered by the CDP, identifying training priorities, and training emphasis.

E. Chief, Training Support (Registrar) is responsible for all student admissions and support functions.

F. Chief, Training Management is responsible for the quality and execution of CDP training delivery.

G. 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, and policies.

1-8. Questions Address questions concerning this Manual to the Records Liaison Officer/Records Management Specialist.

CHAPTER 2: EAS Management 2-1. Access System Configuration Manager (SCM) software

A. SCM instructions are in the UNISearch Content Management Software System Configuration Manager User Guide.

B. Access the SCM program within the UNISearch Program group on the computer list of programs. The Training & Education Directorate Records Management Specialist, Training Support contractor Archive Team Lead, and Data Base Programmer assigned to EAS have this software loaded on their workstations.

2-2. EAS User ID’s and Permission Levels A. The Records Management Specialist approves requests for permission to access the EAS, determines the level of access granted, administers, and updates the permissions in the EAS. The Training Support contractor Archive Team Lead updates passwords in the system if the Records Management Specialist is unavailable.

B. To perform these functions, follow the instructions below:

1. Access the SCM, “Configure Groups” button, “Session” tab, to start assigning group permissions.

2. Click on the “”Add Group” button

3. Name the group; use a descriptive name of 15 characters or less.

4. Identify the group’s permissions (i.e. which indexes and/or documents).

5. Access the SCM “Configure Users” button, “Session” tab, to assign users to their group as described in the EAS Reference Manual.

6. Identify the users who fall within each group. Assign users to a group based on the user’s position. Current groups are listed below:

a. [NONE]

b. ARCHIVE

c. ASSET MGT

d. CLASS REC

e. CONTRACT

f. CURRICULUM

g. QA/QC SPRVSR

h. REPORTS

i. STSERV

j. TRAVEL

7. Provide each user a standardized user ID, a temporary password and advise the user that he or she must change the password on their first log in.

8. The Records Management Specialist updates or removes EAS accounts based on notification from the Information Systems Officer (ISO).

2-3. Adding Indexes to the EAS A. The Records Management Specialist adds indexes to the EAS, as needed, to accommodate different document groups. The Training Support contractor Archive Team Lead can add indexes to the EAS if the Records Management Specialist is unavailable.

B. The Records Management Specialist meets with the department POC to determine what information identifies the documents individually and the search criteria the department needs.

C. Add an Index to the EAS by following the instructions below:

1. Access the SCM “Configure System” button “Index” tab and click on the

“Create Index” button.

2. Name the Index; choose a descriptive abbreviation of seven (7) characters or less.

3. Add a description of the Index

4. Click the box for “Attach notes to records”

5. Click on the “Add” button

6. In the open window, type the name of the field, the type of field, the length of the field, click on the keyed box, and then click OK

7. Repeat steps e and f above for each field needed

D. The Training Support contractor adds approximately 20 records to the Index and notifies the Records Management Specialist when done. The Records Management Specialist contacts/meets with the appropriate department POC for review and approval of the Index and results.

E. The Records Management Specialist adds the Index and its document types or search criteria to the EAS Document Matrix Files Maintenance and Records Disposition listing.

F. The Training Support contractor adds the remainder of the documents to the Index as required. Specific instructions to accomplish this task are a part of the CDP EAS Instruction Manual.

G. Indexes added to the EAS, at the local level, must have documents added, using the UNISearch InterActiveXL software. For use of this software, refer to the UNISearch InterActiveXL Training Manual.

2-4. Archive Group and Group Permissions The EAS is based upon a platform of KOFAX software. The CDP IT Archive Group maintains specific permissions on the CDP intranet in order for the KOFAX software to operate properly. The Archive Group includes the Records Management Specialist, all Training Support contractor personnel assigned to archive duties, the Training Support contractor personnel assigned to Conference duties, and the Training Support contractor person assigned to Statistical duties. As personnel rotate in or out of these positions, the Training Support contractor Archive Team Lead or the Records Management Specialist notifies CDP IT department of any group personnel changes. The CDP IT department designates all Archive Group personnel as local administrators on the workstation they normally use in order for the InterActiveXL software to operate properly.

2-5. EAS Maintenance The Records Management Specialist coordinates and directs EAS computer software and hardware support, maintenance, site visits, etc.

2-6. Records will be added to the EAS in the following order:

A. Current Student and Class records B. Current Curriculum documents C. Current Asset Management documents D. All other current documents E. Historical documents F. Training Support contractor is responsible for adding all records listed in the

EAS Document Matrix 2-7. Document Matrix

The EAS Document Matrix is the definitive resource for determining which documents are required for what class or record type and the source of the document. The Records Management Specialist publishes this Matrix. It also details what “Doc Type” apply to each document within the EAS, as well as detailing historical changes in document location or “Doc Type”.

CHAPTER 3: Management and Archiving of Records 3-1. Training Document Tagging Logs

A. The Training Support contractor builds the Document Tagging Logs (Resident, Non Resident, Indirect, and Indirect Academy) to track student and class documents, to identify who archived the document, and to identify missing documents.

B. Document Tagging Logs Instruction

1. The Resident Training calendar is the official CDP Resident Training record and is the basis for building the Resident Document Tagging Log.

Upon release and publication of the calendar build the log and update weekly.

2. The Non-Resident Training Numbers spreadsheet is the official record of Non-Resident Training delivered by the CDP and is the basis for building the Non-Resident Document Tagging Log. Update this log weekly.

3. The Indirect Training and the Academy Indirect Training Numbers spreadsheets are the official records of Indirect Training delivered by the authorized indirect trainers of the CDP and are the basis for building the Indirect Document Tagging Log and the Indirect Academy Document Tagging Log. Update these logs weekly.

4. Initial the respective Document Tagging log in the proper document column, by class number, when archiving of each document is complete.

5. Complete the archiving and QA checks for all classes, audit all records to verify accuracy and document content by following the EAS Instruction Manual. Use the word “Missing” to annotate on the log any missing or incomplete record or document.

6. Upload to EAS a sheet for all missing documents stating that the document is missing for that class (e.g., John Doe is missing a requirements letter for class 12-01 ERHM). Notify the Records Management Specialist, via email, of all documents identified as missing.

7. When a log page is complete, reprint showing who archived each document and the class archiving completion date.

8. As each quarter's classes are completed, email the pertinent logs to the Records Management Specialist.

3-2. Active/Inactive Student Records Maintenance A. The CDP designates Resident student and class records as inactive after student departure from resident training.

B. The CDP designates Non-Resident Training, and Indirect Training student and class records as inactive upon completion of processing.

C. Once designated as Inactive, student and class records are ready for archiving in the EAS.

3-3. Training Record Sources Many different sources throughout the CDP provide Resident, Non-Resident, Indirect, and Other Training class and student records. For a listing by document, refer to the EAS Document Matrix. See the various offices and databases listed below:

A. SS – Student Services (Training Support contractor) B. IS – Instructor Scheduling (Training Delivery contractor) C. CI – COBRA Instructor Staff (Training Delivery contractor) D. COBRA – COBRA TF Operations Staff E. OHN – Occupational Health Nurse F. Medics – Medical Support Staff (Medical Support Services contractor) G. Blood Lab – Lab Technician Staff (Medical Support Services contractor) H. NRT – Non-Resident Training (Training Delivery contractor) I. QA TDC – Quality Assurance Office (Training Delivery contractor) J. CD&E Branch – Curriculum Development and Evaluation Branch K. SO – Safety Offices (Training Delivery contractor, Training Support contractor or CDP) L. FO – CDP Financial Office M. CTAS – CDP Training Administration System

3-4. Training Document Archiving Availability See below for receipt time lines, and special instructions for various documents:

A. At the end of each month, the Training Support contractor provides a list of Training Incident Reports received to the CDP Safety Officer for verification.

B. The Resident Training performance checklists and Evening Lecture Series critiques are available by the last workday of the week following the class.

C. Level 1 Assessment Reports are available after class completion.

D. Test reports are normally available one to two weeks after delivery to the appropriate CD&E Branch office. They are posted on the Curriculum Share Point site in the Testing tab.

E. Student travel information is available approximately six (6) weeks after class completion.

F. Resident training coordinators may forward directives to eliminate a student from future recruitment emails. If received this directive is inserted in front of the student application.

3-5. Archiving of Student and Class Records A. The Training Support contractor archives student and class records by

1. Verifying all required documents are included

2. Proceeding with document preparation and scanning of the records according to the EAS Instruction manual

3. Following the instructions outlined in paragraph “3-1 F” for any item or document identified as missing

4. Scanning the documents by class and filing temporarily in a well-organized, identifiable manner. As additional class-documents are received, processes and adds to the respective file.

5. Conducting a 100% audit of each class and student record before submitting completed records to the Records Management Specialist

NOTE: Archiving of resident and non-resident classes utilizes the “Attaching” method according to the EAS Instruction Manual. The ResRec Index contains individual student records and documents. The ClassRec Index contains class records and documents.

NOTE: Archiving of Indirect and Indirect Academy classes utilizes the batching method detailed in the EAS Instruction Manual in the ClassRec Index.

NOTE: Archiving of Partnership Training Classes and Other Groups utilizes the batching method detailed in the EAS Instruction Manual in the ClassRec Index.

3-6. Student Record Audit The Training Support contractor conducts a 100% audit of student records previously archived for FY 2010, and 2011 per the EAS Instruction Manual. The contractor notifies the Records Management Specialist when each section of each year is completed and provides results.

3-7. Archiving in the Asset Management Indexes A. The CDP Asset Management Department compiles applicable documents for the Asset Management Indexes and delivers them to the Training Support contractor.

B. Once the Training Support contractor completes archiving the documents, they are returned to the Asset Management Department

3-8. Archiving in the Conferences Index The Training Support contractor compiles, delivers, and scans the set of documents. The documents submitted depend on the requirements for that conference. See the documents required for this Index in the Document Matrix.

3-9. Archiving in the Contract Index A. The CDP Finance and Administration Office of the CDP Business Operations

Directorate compile the applicable documents and deliver them for scanning to the Training Support contractor.

B. Once the Training Support contractor completes archiving the documents, they are returned to the CDP Finance Office.

3-10. Archiving in the Contractor Medical CERP Index A. The records contained in this index apply to contractor employees who are no longer members of the COBRA TF CERP team.

B. The Occupational Health Nurse compiles applicable documents for this index and delivers them to the Training Support contractor for processing. The Training Support contractor scans the document pages in the same order they are delivered in.

C. Once the Training Support contractor completes archiving the documents, the Records Management Specialist verifies the records and prepares them for destruction.

3-11. Archiving in the Instructor Certification Index A. The Training Support contractor compiles the documents for Instructors whose certification data originated in the Indirect Department, or for trainers who are state approved to administer indirect training in their state. They also compile the documents for those Trainers who are Academy/Agency validated to teach the academy style indirect delivery of courses at their specific location.

NOTE: Trainers are in the EAS once for each Indirect Training class type they teach.

B. The fields available in this Index are “INSTRUCTOR NAME”, “TRAINING STATE”, “DATE CERTIFIED”, and “INSTRUCTOR TYPE”. See the “INSTRUCTOR TYPE” field selections listed in the Document Matrix located in the EAS Reference Manual.

C. Biographical information and releases, for indirect trainers, who are qualified to participate in the Indirect Authorized Trainer Program (IATP), are stored in the EAS.

D. The Training Support contractor completes the scanning of documents and files temporarily in a well-organized, identifiable manner. They process additional documents as received, and add them to the respective file.

3-12. Archiving in the Mobile Training Trip (MTT) Index This index is no longer used.

3-13. Archiving in the POI Index Upon implementation of a new version, the CD&E Branch updates the required documents. Training Support contractor downloads the applicable documents to the EAS from the CDP SharePoint site. See the documents and document types for this Index listed in the Document Matrix located in the EAS Reference Manual.

3-14. Archiving in the Reports Index The documents for this Index come from a variety of sources. The Training Support contractor completes the scanning of documents and files temporarily in a well-organized, identifiable manner. As the Training Support contractor receives additional documents, they process the documents, and add them to the respective file.

NOTE: Archiving of records for indexes other than ResRec or ClassRec utilize the InterActiveXL software, according to the EAS Instruction Manual and the UNISearch InterActiveXL Training Manual

3-15. Document Final Storage When documents are ready for final storage they will be prepared and deposited within the CDP Records Vault according to CDP T&E Records Management Manual Chapter 4 Records Vault Deposit and Removal Procedures.