ML20008D467
| ML20008D467 | |
| Person / Time | |
|---|---|
| Site: | Seabrook  |
| Issue date: | 05/23/1989 |
| From: | Adler V Federal Emergency Management Agency |
| To: | |
| References | |
| CON-#190-9972 OL-I-MAG-099, NUDOCS 9003020307 | |
| Download: ML20008D467 (91) | |
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so- n y a v-x-US!$fd'" 3/n/W May 21, 1989 UNITED MTES OF AMERIt90 JM 18 P5 :07 NOCIEAR RB301A70RY 03MISSICH A7mIC SAFETY AND LICENSINiB -k f;h[h H4Nc4 Before the Administrative Judges:
Ivan W. Smith, Chairman Richard A. Cole Kenneth W. MoOollern '
)
In the Matter of ) Docket Nos. 50-443-OIr1
) 50-444-OIe1 Public Service Company Of ) (Offsite Emergency New Hangshire, et al. ) Planning Issues)
)
(Seabrook Station, Units 1 and 2) )
)
l DECIARATION OF VERNON E. ADIIR l
I, Vernon E. Adler, Actirg Chief, Frvmu Developnant Branch, l
Nhnological Hazards Division, Office of Natural arxl Technological l Hazards, Federal Emergency Management Agency (FDR), declare uider penalty of perjury, that the following is true to the best of my knowledge.
l In 1985, a pen:hase order was 4==M to Theodo),e Barry and Associates j (TBA) for the purpose of accanplishing the following tasks:
Task 1 Review literature ard conduct interviews for the purpose
(- of analyzing and critiquing the REP exercise prma and
)
l procedures.
Task 2 Identify and describe problem areas associated with the REP exerciso process and procedures and provide recu.aixiations to correct the identified problem areas.
9003020307 090523 PDR 0 ADOCK 05000443 pga ,
A-Task 3- Prwide draft guidance materials to integrate reocannendations (Task 2) with existing REP exercise
& and p - - h ns. i Con.epciders, between TIR and FDR, confirming the scope of work, is attached to this affidavit as Attachment A.
As called for in Task 1, the contractor conducted analyses of FDR REP exercise activities and made visits to three of the FDR Regions for the purpose of aaaaamirq consistency and uniformity of the entire REP exercise g uess. Contractor I;- --+-dations, specified in Task 2, are found in their August 1985 report. However, draft guidance materials for document control were not prwided urder Task 3. TBA did deliver
.c to FDR a proposed Exercise Frupcuu Manual, a dm= ant of more than 300 pages, and the entire treatment of document control consists of the t
following:
"DOCDDir CONIROL AND REIRIEVAL
('IO BE DEVIIOPED BY FDR)"
'Ihis portion of TBA's proposed Exercise Program Manual is attached to '
this Declaration as Attachment B.
'Ihe prcject officer for the TBA purchase order, William F. McNutt, reviewed in its entirety the TBA report forwarded to him by William J.
Stokes in the letter of August 30, 1985. All of the r*>-ardations were carefully evaluated in the context of REP program priorities. The 1
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evaluation cnT:luded that the TBA re-ndations were a reiteration of l
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- ,.x issues already under review by FDR and a reinforcement of planned
- program 1,wes at efforts, m ese efforts included a trainixg program for exercise evaluators; revised modules for exercise evaluations (which later resulted in the Exercise Evaluation Methodology (EEM));
Guidance Metrorandum (m) EX-3, Managirq pre-exercise activities and P
post-ext.rcise meetirgs; W IN he ingestion pathway; E MS {
Maiiml Services; ard W AN Alert and Notification System.
i ne hw=nt control system a--g-m-Aation was not considered to require as imediate attention as the guidance materials cited above.
FD%'s Records Cbntrol Echedule, which was approved in final form on September 19,1988 (Attachment C hereto), addresses this subject at !
pages 36 and 37. In addition, it is FDR's position that Guidance Memorandum 16, issued in 1980, provided sufficient guidance on the documents which should be retained for REP Pr@tah purposes. Ec final e>,ercise ruport which is submitted by FDR to the NRC has been and continues to be viewed as the document of record for REP exercise j activities.
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VERNON E. ADLER Acting 011ef Fr%smn Develegnent Branch Washington, D.C.
May 21, 1989 I
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./ Theodae Barry& Associates
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June 3, 1985 '
Mr. Bill McNutt Project Officer '
Federal Emergency Management Agency 500 C Street S.W.
Washington. 0.C. 20472
Dear Mr. McNutt:
Enclosed please find the work plan for the " Assistance in Improving the '
RFP Exercise Process." The letter of clarification from Bob Wilkerson
-indicated that the-intent of the revision was for more accurate focus on ..
the work.and products required. Accordingly, I have endorsed the work plan under the assumption that all earlier decisions of project scor,e and responsibilities remain in tact, e.g. FEMA will identify and schedule discussions with appropriate personnel. .If my assumption is in error, please advise.
I look forward to working with you on this very important project.
Sincer ly, .
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i- Douglas A. Bennett '
'Vice President ,,
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Washington, D.C. 20472 N W 2 4 19 5 Mr. Douglas Bennett ~
Theodore Barry & . Associates sA e C b017 1
Dear Mr. Bennett:
In a meeting here on May' 23, 1985, the descriptibn of activities and work plan for the critique of the radiological emergency preparedness (REP) exercise process and procedures was revised. Members of my staff collaborated with Bill Stokes of your firm to develop a work plan that :
more accurately focuses on the work and products required. ,
Enclosed is the " Assistance in Improving the REP Exercise Process" work -
plan for your review and signature. Please return the signed work plan to me at your earliest convenience. Additionally, for future reference and contact, the Project Officer will be Bill McNutt of my staff. He can be reached on 202-646-2857.
We are looking forward to your assistance in this project.
Enclosure -
Sincerely,-
t Pikerson "
Chief l Technological Hazards Division e
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l l.
y MM 2 31985 ASSISTANCE IN IMPROVING THE l REP EXERCISE PROCESS ;
1 J
DESCRIPTION OF ACTIVITIES l l
TB8A will perfonn wort focused on REP exercise activities with respect to the preparation for, conduct and evaluation of these activities. This work i will entail providing FEMA with a critique of the REP exercise process and l procedures with recommendations for their improvement. This work will include the following tasks: l l
Task 1: Review literature and conduct interviews as described I for the purpose of analyzing and critiquing the REP exercise process and procedures.
- Task 2: Identify and describe problem areas associated with the ,
REP exercise process and procedures and provide recommendations I to correct the identified problem areas. i Task 3: Provide draft guidance materials to integrate recommenda-tions (Task 2) with existing REP exercise process and procedures.
FEMA will identify and provide documents to TB&A for performing these tasks.
Additionally, FEMA will identify appropriate personnel from specified agen-cies and organizationr. TB&A will conduct these discussions.
TB&A will provide summary reports at the completion of Tasks 1 and 2. Upon acceptance of summary reports for Tasks 1 and 2, TB&A will develop draft guidance materials and submit these to FEMA for review and comment. The
' subject areas to be covered as agreed upon-between FEMA and TB&A. The format of these guidance materials will be in accordanc.e with that prescribed by '
FEMA.
SCHEDULE The project schedule of activities is included by Task in the attached Work Plan.'
ESTIMATED' RESOURCES -
FEMA will provide TB&A a copy of the Federal procedure / guidance document which identifies the format and content of FEMA guid-dance materials.
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FEMA will provide the following types of documents:
- Headquarters guidance for the conduct and evaluation of exercises Guidance materials and REP documents Representative sampling of Exercise Reports
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- Regional Operations documents
- Representative sampling of Exercise Objectives statements
- Representative sampling of Exercise Scenarios
- TB&A wi'll conduct discussions with the following organization representatives:
- RAC Chaimen--Three Regions
- eel. -
- NRC
- FEMA
- FEMA Regional Offices (3 designated regions)
- Intervenors--one group (UCS)
State and Local Officials--one state / county per region Compatible word processing support will be supplied by TB&A.
DESCRIPTION OF DELIVERABLES AND OTHER REQUIREMENTS TB&A will provide two summary reports following document reviews and personnel discussions on progran problen areas and recommendations.
TB&A will provide draft guidance materials integrating their recommendations for revising the REP exercise process and procedures with existing exercise policy and procedures. These guidance materials will comply with femat and content instructions provided by FEMA.
Attend FEMA Workshop on Exercise Evaluation at NETC scheduled for July 22,1985.
Project Officer N W
TB&A e
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Mk f T ASSISTANCE IN IMPROVING THE REP EXERCISE PROCESS '
(WORK PLAN) l TASKS AND RELATED SUSPENSE ESTIMATED RESOURCE DESCRIPTION OF FEMA APPROVAL OF WORK PLAN ACTIVITIES REQUIREMENTS WORK PRODUCTS WORK Pg000 CTS Develop detailed work 5/17/85 2 man-days Detailed work plan plan and submit to FEMA. Activity Approval Task 1: Review litera- 7/19/85 11 - 13 man-days Interview list -
ture and conduct Activity Approval person, organiza-i nterv i ews. tion and date of interview Task 2: Provide summary 8/2/85 2 man-days Written summary - Activity Approval report highlighting report problem areas and recam-menda tions.
Task 3: . Provide draft 8/30/85 3 man-days Written draft Activity Approval guidance materials. guidance materials-Max. - 3 GMs Attend meetings as 7/22/85 1 man-day Meetings Activity Ap'roval requested. p l .
Review work products Review-9/13/85 2 man-days Draft guidance
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I with FEMA and prepare Activity Approval materials final submissions to Final submis-FEtiA. sions-9/30/85 l
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-J REQUEST FOR RECORDS DISPOSITION AUTHORITY ,c, no.
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- oaNaRAL sgnVicas ADMINetTRATION v7_ g3_ gg_7 D* T E " ' ' ' ' * *
- NATIONAL ARCHIVES AND RECORDS SERVICE. WASHINGTON, DC 20408 4-17-96
- 3. P aou (Asener er ~ --:nes .
NOTIFICATION To AGENCY-Federal Emersency Manassount Agency
,, ,,,,,,,,,, ,, ,, in, o,,,,,,,n, ,, 44 u.s. c. 3x >
- 2. MNOR 5V500V4540N the Cis00 eel roQuest, inclu3 sng amen 0ments. il 400ros earcept for items that fnef De marked "d#800$at10M t
- 3. M*CR 5VSO4yaliON ecoroved'* Or "with0rown" in colume 10 18 60 reco are proposed for disotel. tne si9neture of the Archsvit not required.
- 4. NAME OF PER50N WITH Wr,Gid TO CONFER
- 5. TELEPMONE EXT. DATE ARCMtvt3T OF THE UNITED 5 TATE Alfred E. Warren 646-2641 & N*J
- 6. GER T4F4 GATE QF AGEP.GY REPRE5ENTATI V E I hereby certify that I am authorized to act for this agency in matters pertaining to the disposal of the agency's recort that the records proposed for disposal in this Request of 158 page(s) are not now needed for tne business of tr agency or will not be needed af ter the retention periods specified; and that written concurrence from the Gener Accounting Office, if required under the provisions of Title 8 of the GAO Manual for Guidance of Federal Agencies, attached.
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A. GAO concurrence: attached; or is unnecessary.
S.DATE G. 54GNATVRE OF AGENCY RN555NTATivE D. T6TLE 1/31/86 E
Alfred E. Warren h/
/ 8. oEscRIPTioN oF ITEM Records Officer
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'TN suPERSEoED TaKEN NO. tmai.eu aan..,aeena meses Jos
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.D~ ig 1'he Federal Emergency Management Agency (FEMA) was established, ., g
- o ffective April 1,1979, in order to unify key Federsi g g ,..
mergency management and assistance functions. It consolidated g e eergency preparedness, mitigation, and respoike activities of r / 2
!ive agencies and added other emergency funct' ions. They 4 1 y
.nclude the disaster ' relief, civil defense, . flood insurance, c ivilian fire protection and control, and. Federal tsobilization E W T
( programs. Statutory functions were either transferred to the 3
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2 Director, FEMA, by the Reorganisation Plan No. 3 of 1978 'or delegated by Executive Order 12148 effective July 15, 1979. c &@-
l'EMA is headed by a Director and hcs headquarters staff in ,3 ,D Ueshington, DC and 10 regional office locations in the 10 5 ederal Regional Centers, y
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' l'EMA requests records disposition authority for the attached g Comprehensive Records' Disposition Schedulas for all of its records both textual and machine readable.
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$s 1'his schedule supersedes all previously approved FEMA
\ disposition schedules. 5
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Prescrteous IMr CSA PPMR (41 CFR) 101 11.4 l'
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g Federal Emergency Management Agency. I Records-Control Schedule (N1-311-86-1)
Table of Contents Unit Page;;
- 1. - Staff' Offices A. Office of Program Analysis and Evaluation................ 1-l B. Office of External Affairs, Congressional and C.
International Affairs-Division......................
Office of External Affairs, Public and 2
Intergovernmental Affairs Division................. 4 D. Offico of Regional Operations.............................6H E. Office of the Comptroller, Management Analysis '
F. D1 vision............................................ 7
Office of the General Counse1........................... 10 G. Office of Administrative Support, Records and Information Systems Mana Files....................gement Division, Central
..................... 14-J H. Office of Security...................................... ....... 15.a J. . Office of the Chief of Staff............................ 18 K.
1
(- L. Administrative Records Common to Most FEMA Offices...... 19 Deviations from the General Records Schedules........... 25
- 2. Federal Insurance Administration A. Federal Insurance Programs.............................. 26 1
- 3. Training and Fire Programs Directorate A. National Emergency Training Center...................... 33
- 4. State and Local Programs and Support Directorate A. Office of Natural and Technological Hazards..........
B. 36 C.
Office of Civil Defense....................................
Office of Disaster Assistance Programs.................. 39 48 L 5. National Preparedness Directorate A. FEMA Advi s o ry B o a rd . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 6 B. Office of Mobilization Preparedness, Mobilization j L Resources Division................................. 58 i l C. Office of Mobilization Preparedness, National Defense Stockpile Division................................. 63- .
D. Office of Operations, Planning Division................. 67
!. E. Office of Operations, Readiness Division................ 69 l
F. Office of Operations, Federal Agency Support and s'<-
G.
Coordination D1 vision..........'...................
Office of Information Resources Management..............
71 75
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- 1. Staff Offices A. Office of Program Analysis and Evaluation.
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- 1. Evaluation Background Files.
Correspondence, working papers, and reference files pertaining to the evaluation of FEMA staff position papers preparatory to submission of final product. Record copy of final product office.
is maintained by the originating program Disposition: Destroy when final product is approved.
- 2. Public Information Materials Review (PIMR) Board Files.,
Correspondence, memoranda, reports, and analyses pertaining to the distribution of FEMA publications to the public.
Disposition: Cut off at end of calendar year.
years after cutoff. Destroy 5
- 3. Internal Controls system Files.
Correspondence, memoranda, reports, analyses, and submissions to OMB in support of OMB Circular A-123 and other regulations to curb fraud,-waste, and abuse.
Disposition: Cut off at end of calendar year. Destroy 5 years'after cutoff or after. program office or agency inspector general completes review, whichever is sooner.
- 4. Performance of Commercial Activities Files.
Documentation created in the analysis and evaluation of commercial activities. Included are cost studies, preformance work statements, and related records as required by OMB Circular A-76.
Disposition: Cut off at end of fiscal year.
5 years after cutoff. Retire to FRC Destroy 10 years after cutoff.
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- 1. Staff Offices B. Office of External Affairs, Congressional and International Affairs Division l 1. Conaressional Correspondence Files.
Correspondence with members of Congress, chairpersons of congressional committees, and members of their, staffs '
relating to agency activities and programs.
Disposition: Transfer to FEMA records holding area every 5 years. Destroy when 10 years old.
- 2. Senate and House Member Profile Files.
Files containing biographical information on members of'the U.S. Congress.
Disposition: Destroy when no longer needed.
3.- Legislative Files.
Copies of proposed House and Senate bills relating to FEMA operations and related correspondence.
Disposition: Destroy when legislation is passed or when no longer needed.
- 4. . State and Local Government Files.
Routine correspondence with governors, mayors, and other state and local officials as well as private citizens relating to FEMA programs.
Disposition: Destroy when no longer needed.
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! 5. Country Files.
> Documents accumulated in providing assistance and advice to foreign governments on matters perte ing to FEMA programs.
Included are documents relating to fu,*1gn requests for technical assistance, loans of equipmen(. and coordination of programs for foreign visitors.
Disposition: Cut off at end of calendar year. Retire to FRC 5 years after cutoff. Destroy 10 years after cutoff.
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) 6. United States-Canada Civil Emergency Planning' Committee l Files.
Documents created in planning and making arrangements for cooperative and material. assistance between the United States and Canada during civil defense' emergencies.
Included are minutes, agendas, and reports of the U.S.- ,
e Canada Advisory Committee. (NN-171-167, item 4f) Volume:
10 cubic feet: annual rate of accumulation: 2 cubic feet.
Arranged alphabetically by subject.
Disposition: PERMANENT. Cut off at and of calendar year.
Transfer directly years after cutoff.
to National Archives in 5-year blocks 20-
- 7. United States-Mexico Agreement Files.
Documents accumulated,in planning and making arrangements for cooperative and mutual assistance between the United States and Mexico relating to common border regions.
Volume: 6 cubic feet; annual rate of accumulation: 1 cubic foot.
Arranged alphabetically by subject.,
Disposition: PERMANENT. Cut-off at end of calendar year.,
Transfer directly to National Archives in 5-year blocks 20 years after cutoff.
L 8. AID Files.
Correspondence dealing specifically with the Agency for International Development.
, Disposition: Destroy when obsolete or no longer needed.
- 9. NATO Document Receipt Filec.
Classified document accountability receip'ts relating to the receipt and issuance of NATO-issued documents.
I Disposition: Destroy 10 years after documents shown on p
forms are downgraded,-transferred, or destroyed.
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- 1. Staff Offices C. Office of External Affairs, Public and Intergovernmental Affairs Division, Audiovisual Records 1
- 1. - Still Photographs.
- a. Official portrait photographs of FEMA officials at the -
associate director level and above. (GRS 21', item 5)
Volume: 5 cubic feet; annual rate of accumulation: .less
, than 1 cubic foot.
- Arranged alphabetically by.name, f<
Disposition: PERMANENT. Transfer captioned. photographic print and negative, indexed.by name and title of individaal '
and date of photograph,.directly to the National Archives one year after each presidential inauguration (January 20).
Transfer photograph, all additional information regarding the eg., the name of photographer or source and any copyright restrictions, with the records.
- b. Black and white and color photographs and slides of FEMA mission activities, including those documenting ,
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emergency activities as they relate to shelters, evacuations,-protection from the effects of radioactive !
fallout, emergency operating centers (EOCs), Federal Regional Centers, training, and nuclear tests, as well as publically. released photographs on specific selected atmospheric nuclear tests, i.e., Operations Doorstep, Ivy, and: Plum, with significant public affairs importance. (GRS 21, items 6 and 7) Volume: 8 cubic feet; annual rate of -
accumulation: less-than 1 cubic foot.
Arranged alphabetically by subject or emergency management function.
Disposition: PERMANENT. Cut 6ff every 5 years. Transfer captioned photograph or slide and negative, indexed by subject and date, directly to National Archives after cut off. Transfer all additional information regarding the photograph, eg., the name of photographer or source and t copyright restrictions, with the records.
- 2. Video Recordings.
n a. FEMA-sponsored or acquired video productions intended' for public distribution. These include public awareness safety information titles distributed via the National
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Audiovisual Center and the Army Training and Support Centers. (GRS 21, items 36-40, 42-45) Volume: 200 cubic feet; annual rate of accumulation: less t,han 1 cubic foot.
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5 Arranged chronologically.
o
-Disposition:. PERMANENT. Transfer' original or earliest generation and a dub, if one exists, directly to National' Archives in 5 year blocks when.5 years old.
b.
Original' video recordings of speeches, teleconferences, 'i conferences, and testimony ~of FEMA officials before ;
Congress and other deliberative bodies. (GRS 21,-item 41)
Volume: 50 cubic feet; annual rate of accumulation:
than 1 cubic foot. less.
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Arranged chronologically.
Disposition: PERMANENT. Transfer original-or earliest generation and a dub, if one exists, directly to National Archives in 5 year blocks when 5 years old.
- 3. Motion Pictures.
L FEMA-sponsored or acquired motion pictures intended for public distribution. ,
information titles distributed via the National Audiovisual-These inc .!'
Center and the' Army Training and Support. Centers. (GRS 21,
.(L item 20) volume: 50-cubic feet; annual rate of accumulation: less than 1 cubic foot.
Arranged' chronologically. l Disposition: PERMANENT. Transfer original preprint 1 (negative, master, and A&B rolls, and. soundtrack), and a projection blocks whenprint directly
- 5. years old. to National Archives in 5 year
- 4. Sound Recordings.
L l L Audiocassettes conferences, of FEMA broadcast activities including speeches, press spots, management feeds to broadcasters. and special emergency E
volume: (GRS 21, items 52-54) than 1 5 cubic feet; annual rate of accumulation:
cubic foot, less l
Arranged chronologically.
Disposition: PERMANENT. Transfer original or earliest generation and a dub, if one exists, directly to National Archives in 5 year blocks when 5 years old.
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- 1. Staff Offices Office of Regional Operations
- 1. Regional Review and Coordination Files.
Correspondence, reports, memoranda, and other records sent to FEMA regional offices for action, l
Disposition: Destroy when no longer needed.
- 2. Management Studies.
Correspondence, reports, analyses, and studies on the 10 ;
FEMA regional offices relating to parsonnel, organizatior.al !
structure, management, and delegations of authority. 1
, Disposition:
Destroy when superseded or obsolete.
1 k 3. Regional Annual Work Plan Files.
i Correspondence, reports, studies, analyses, and other records on the overall coordination of a FEMA-wide comprehensive work plan for delivery of program services-(' through regional offices.
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- a. Headquarters copies. l l
Disposition: Destroy when 5 years old,
- b. Regional office copies. I Disposition: Destroy when superseded or obsolete.
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^ 1. Staff Offices E. Office'of the Comptroller, Management Analysis Division This division conducts workforce management studies and develops, implements, and maintains various systems for monitoring the agency's FTE (full-time employee) staffyear
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e allocations and usage. The division also conducts !
organization management analyses. .
- 1. Organization Change Logs.
Logs listing detailed information regarding the status of organization change actions in the current fiscal year.
Disposition: Destroy when superseded or obsolete.
- 2. Organizational Change History.
Chronological summaries of. FEMA organizational changes from June 1981 to date. !
Disposition: Destroy when superseded or obsolete.
- 3. On-board Employee Count by Budget Activity and Program.
Summaries of on-board count of all FTES by program for the most recent 5-month period.
Disposition: Destroy when superseded or obsolete.
- 4. Program Strength Reports.
Detailed code.
on-board count of all'FTEs, sorted by program-Disposition: Destroy when superseded or obsolete.
- 5. Organizational Strength Reports.
Detailed code.
on-board count of all FTEs, sorted by organization Disposition: Destroy when superseded or obsolete.
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- 6. Reports on On-board Strength of Full-time Employees.
Summaries of on-board count of all FTEs by major
, organization. ,
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- a. End-of-year reports. -
1 Disposition: Destroy when superseded or obsolete.
- b. All other reports. ,
Disposition: Destroy at end of each month.
- 7. Duty Station Strength Reports. ;
i Summaries of on-board count of all-FTEs by duty station. '
Disposition: Destroy when superseded or obsolete. l
- 8. FEMA Organization Titles and Codes.
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Listing of authorized combinations of FEMA organization i titles, codes,-and fixed account numbers.
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Disposition: Destroy when superseded or obsolete.
- 9. Full-time Equivalent (FTE) Usage Summary Reports.
1 Summaried of FTE usage by major organization.
Disposition: Destroy when. superseded or obsolete.
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- 10. Full-time Equivalent Hours Reports.
Summaries of FTE hours by employee and organization.
I Disposition: Destroy when superseded or obsolete. I
- 11. FEMA Program Usage Reports.
Summaries of FTE hours by budget program.
Disposition: Destroy when superseded or obsolete.
- 12. Integrated Staffyear Information System (ISIS) Reporting
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System Reports. .
Summaries of agency FTE usage and projection by major
.' organization, budget activity, and program. There are nine different reports detailing various parameters.
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j Disposition: Destroy when superseded or obsolete.
13.- Average Grade Reports.
Listing of average grade and grade distr'ibution by major-FEMA unit.
Disposition: Destroy when superseded or obsolete.
- 14. FEMA Personnel Loss Reports.
Summaries.of agency personnel losses.
Disposition: Destroy when superseded or obsolete.
- 15. Impending Scheduled Loss Reports.
Lists of scheduled personnel losses.
Disposition: Destroy when superseded or obsolete.
- 16. Organization / staffing Profiles.
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Reports, with and without SSN, on FTE. data to lowest organizational level.
Disposition: Destroy when superseded or obsolete.
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. S 1. Staff Offices' F. Office of the General Counsel This schedule establishes disposition standards for records created by the Office of General-Counse1~(OGC) as well as-legal records kept in regional offices and those' created by- ;
FEMA's predecessor agencies. OGC provides advice, opinions, and services regarding the legal aspects of all _q programs, policies,'and activities of the agency. The HUD.
Board of Contract Appeals,Lunder an interagency agreement, issues final decisions for the director in all contract- #
disputes which are appealable to the Claims Court up_to 6 years after the date of issue. The board also issues decisions in other administrative appeals that become final 30 days after issuance.
- 1. Proposed and Final Rules and Notices. ,
l Material published in the Federal Register. Final rules l have the effect of law and are codified in the Code of Federal Regulations (CFR).
- a. Case history files.
Official record copies of case histories, including drafts showing; development of rule or notice,. clearance records, public comments, and signed documents. Case history files from11978 to present are maintained in headquarters OGC. ;
, Case history files prior to 1978 are maintained-in the originating program offices.
(1)- Public docket flies.
Public comments received on proposed rules, environmental and inflationary impact findings, and signed copies of the proposed and final rules in;the same form as sent to the-Federal Register for publication.
Disposition: Close file after the final rule becomes effecVive and place in inactive file. Retire to FRC 10 years after close of file. Destroy 20 years after close of file.
(2) Internal files.
Copies of proposed and final rules as sent through the internal clearance process, clearance records, internal FEMA comments on the proposed and final rules, and notes l[ from internal FEMA meetings held to discuss the proposed or
( final rules. -
Disposition: Close file after final rule.becomes effective and place in inactive file. Retire to FRC 10 years after close of file. Destroy 20 years after close of file.
m ,
1 11
)(
, \ (3)- General notice (docket) files.
Copies of general notices as sent through the clearance I process, clearance records, internal FEMA comments on.
general notices, and signed copies of general notices in ;
the"same form as sent to the Federal Register.for I publication, including notices of: delegation of authority.
Disposition: Close file after notice is published in ;
Federal Register and place in inactive file. Retire to FRC, 3 years after close of file. Destroy 10 years after close of file.
- b. Working papers and background material not incorporated in case history files described in item la above.
Disposition: Destroy 6 months after final regulation or-notice is published in Federal Register. '
- c. Extra copies of the clearance package for the Oegulation or notice which are distributed for concurrent clearances, including comments given to clearance point for preparationlof a consolidated response but not including those parts of the package and responses which become part
( of the case history file.
Disposition: Destroy when 3 years old or when needed for reference, whichever is sooner.
no longer '
- 2. Official Litigation Case Files.
Case files contain all documants and correspondence pertaining to litigation in which an agency official or employee is a party or a friend of the court, from filing of complaint until entry of final judgment. They are arranged by subject of litigation (e.g., tort claims, flood plane management, radiological preparedness, etc.)
Disposition: Close file 90 days after entry of final judgment. Retire to FRC 3 years after close of file.
Destroy 10 years after close of file. '
- 3. Administrative Appeals and Hearings Case Files.
Files on cases in which appeals are made and administrative hearings are held, including contract appeals and appeals.
from decisions in the areas of equal opportunity and those concerning the suspension or disqualification of
/ contractors and grantees.
(. .
Disposition: Close file 90 days after entry of final order or decision. Retire to FRC 3 years after close of file.
Destroy 10 years after close of file.
- 4.s 12 '
- 4. FEMA Legislative Files.
Files on proposed legislation developed by FEMA and related
'" correspondence and other documents, as well as-reports to-Congress and the Office of Management and Budget on legislative proposals affecting FEMA, background material, drafts, reviews, minutes of meetings, and position papers.
- a. Master files kept~by OGC, -
l Disposition:= Cut off-file at close of Congress in which. '
legislation is enacted or dropped. Retire to FRC at close
+ of second successive Congress. Destroy 10 years after cutoff,
Disposition: Cut off file at close of Congress'in which legislation is enacted or dropped. Destroy 10 years after cutoff.-
- 5. Legal Decision, Opinion, and Interpretation Files.
Documents relating to legal opinions, interpretations, rulings, and advice on FEMA programs and operations to FEMA officials, officials of other federal agencies and states, members of Congress, and general public.
l a.- Formal opinions of the general counsel. Volume: 1 cubic foot; annual rate of accumulation: less than l' cubic h foot.
1 Arranged chronologically.
Disposition: PERMANENT.- Cut off at end of calendar year in which opinion is issued. Retire to FRC 3 years after ,
cutoff. Transfer to National Archives in 5-year blocks 20 years'after cutoff.
- b. Background files relating to the development of legal
. opinions described in item 1F6a.
Disposition: Cut off at end of calendar year.
Retire to FRC 5 years after cutoff. Destroy 10 years after cutoff.
13 6.- ~ Legal Activity Report Files.
Weekly reports prepared by the general counsel on the activities of_.the office to keep superiors informed'of OGC activities. ,
Disposition: Destroy when 3 years old or when no longer needed for reference, whichever is later.
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l ml f d '
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l 14 p: 1. Staff Offices G. Office of Administrative Support, Records and Information Systems Management Division, Central Files
- 1. Official Correspondence Files.
All outgoing (yellow copy) correspondence prepared by the director, deputy director, executive administrator, and heads of all directorates and offices reporting to the director, with attachments. Volume: 50 cubic feet; annual rate of accumulation:- 22 cubic feet.
Arranged chronologically.
Disposition: PERMANENT. Cut off at end of fiscal year.
Retire to FRC 3 years after cutoff. Transfer to National Archives in 5-year blocks 20 years after cutoff.
W
\
_. m__._ _ _ - - - - - - - - - - - - - - - ' - - ' - - - - - - - - ' - - - ~ ~ ~ -
q 15
- 1. Staff offices H. Office of Security
- 1. Interagency Committee Background Files. '
Correspondence and other records relating to the reports of interagency committees, working groups, and task forces associated with the Office of Security. -
' Disposition: Destroy when no longer needed.
- 2. Str4ff Visit Files, i
-Documents gathered on scheduled or special visits (other than for inspections, surveys, or audits) to perform staff or technical supervision or to conduct studies. This item does not apply to visits made in connection with a specific process or case, which should be filed with documentation on the case or process. Included are' requests for permission to visit, reports of visits, recommendations, and other related documents.
f a. ' Files of office performing visit.
Disposition: Destroy 1 year after completion of next visit or on completion of related study, whichever is sooner.
- b. Files of office visited.
Disposit*1on: Destroy when 1 years old or on completion of next visit, whichever is sooner.
- 3. Reference Paper Files.
Documents used to facilitate, control, or supervise the performance of a specific function, process, or action--as ,
distinguished from those records necessary for documenting performance of a function, process, or action. Reference textual files consist of notes, drafts, feeder reports, newsclippings, working papers, and other materials gathered
for preparation of a communication, study, investigation, survey, inspection, or other action and documents received for general information purposes that call for no action and are not needed to document specific functions.
Disposition: Destroy 1 year after completion of action or when no longer needed for current operations, whichever is sooner. -
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( 4. Information Request Files.-
' ' Documents on action taken on requests from other agencies for information. Included are requests for information, replies to these requests, and related records.
3 Disposition: Destroy 1 year after completion of action or when no longer needed, whichever is sooner.
- 5. Technical Security Management Files.
Documents on technical security subjects such as long-range planning, programming, and budgeting of resources, development of policies and procedures, operational functions of the organization, and ADP, TEMPEST,.COMSEC, etc.
Disposition: Cut off at end of calendar year. Retire to FRC 3 years.after cutoff. Destroy 10 years after cutoff.
6.- Security Classification Files.
l
~
Documents relating to the security classification or grading system involving the classification or downgrading of documents. Included are correspondence or memoranda on downgrading and reports on security classification. y Disposition: Dentroy 10 years after final ~ declassification action.
l
- 7. Security Regrading Case Files.
Documents on the review of specific classified documents or equipment for the purpose of regrading documents or equipment. .
Disposition: Destroy when 15 years old.
- 8. Security Information Release Files.
Documento on the review of classified or potentially classified documents for the purpose of' disseminating information to sources outside FEMA. Included are reviews of manuscripts, photographs, lectures, radio spots, television scripts, and similar records.
Disposition: Destroy when 20 years old.
- 9. Security Information Exchange Files. .
Documents on the exchange of security classified
-e. I e >
17 4
>C. information with other agencies, private firms, and foreign govermments. Included are correspondence on the exchange of information,~ exchange agreements, and related documents.
Disposition: Destroy when 20 years old.,
- 10. Security Equipment Files.
Documents gathered for determining the uses and types of security equipment for protecting classified documents and materials.
Disposition: Destroy when. obsolete or superseded, a
- 11. Industrial Information Security Files.
Documents on the protecticn of classified information in the possession of industry. '
Disposition: Destroy when no longer needed.
- 12. Security Briefing and Debriefing Files.
Documents-on security briefings and debriefings of personnel with authorized access to classified material.
Disposition:-
of personnel.
Destroy 2 years after transfer or separation
- 13. Security Identification Accountability Files.
Registers and other documents used to keep an account of identification cards and badges for access to FEMA facilities.
Disposition: Destroy 3 years after last card or badge 1
number entered has boon accounted for.
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18
- 1. Staff Offices J. . Office of the Chief of staff
- 1. Paperwork Reduction Act (PL 96-511) Files. ,
Correspondence,_ memoranda,: reports, and related records pertaining to the activities of1the designated senior official relating to information resource management.
Disposition: Cut off at end of calendar year. Destroy years after cutoff. 3 t
e
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19 '
I f K.
- 1. Staff offices Administrative Records Common to Most FEMA Officee i
- 1. General Subject Correspondence Files.
Letters, memoranda, measages, studies, reports, forms, -
staff position papern, and other records' documenting and/or implementing plans, policies, procedures, accoteplishments, -
opinions, and decisions pertaining to FEMA program and staff activities.
- s. Program correspondence files maintained at the office I level and above.
These files document policy-making decisions or significant FEMA program management functions and are filed in large central collections in each office or directorate. Volume:
200 cubic feet; annual rate of accumulation: 50 cubic j feet.
Arranged chronologically.
Disposition: PERMANENT. Cut off at close of fiscal year.
Retire to FRC 2 years after cutoff. Transfer to National Archives in 5-year blocks 20 years after cutoff. '
- b. Program correspondence files maintained at the .
l headquarters division level or below and in regional offices.
I
- Disposition: Cut off at close of fiscal year.
Retire to l FRC 2 years after cutoff. Destroy 10 years after cutoff.
I
- c. Routine program correspondence files maintained at all organizational levels.
Files documenting program transactions of a routine or recurring nature, the record content of which is summarized in items 1Xia and b above.
l Disposition: Destroy when 2 years older.or snoner, if purpose has been served.
- 2. Reading or Chronological Files.
Files maintained in the offices of the director, deputy director, regional directors, associate directors, and -
administrators. Volume: 120 cubic feet; annual rate of accumulation: 10 cubic feet.
Arranged chronologically.
- Dispos 1 tion: PERMANENT. Cut off at end of fiscal year.
Retire to FRC 2 years after cutoff. Transfer to National
- - ~ , , , _ _ . - - . - . - - - - . - ., ,.e.- - - . - _ _ _ - _ . - - - _.-~ _ _ _ -___._._m____.4 _______m___ - _ - . -
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20 Archives in 5-year blocks 20 years after cutoff. Files not accepted by National Archives at time of transfer are disposable without further agency concurrence. )
l
- 3. Administrative Announcement Files. - I Material such as Info-Grams, Comptroller Grams, and similar {
announcements concerning routine or temporary administrative matters distributed for informational ;
purposes to employees, exclusive of announcements covering policies, authorizations, plans, or procedures. !
Disposition: Destroy when superseded, obsolete, or no longer needed for reference.
l
- 4. Weekly Activity Reports.
Narratives containing items of internal agency interest or activities submitted by staff to higher levels of '
management.
Disposition: Destroy when 1 year old.
- 5. Employee Travel Files.
Correspondence, requests, travel authorizations and orders, i
itineraries, and similar records pertaining to employee travel exclusive of records maintained by the comptroller.
Disposition: Destroy when'1 year old or when reimbursement i has been paid, whichever is sooner.
- 6. Master Publication Files.
Official file copy of each FEMA publication such as the Annual Report, telephone books, technical reports, booklets, pamphlets, public information leaflets, posters, monographs, or other issuances published by headquarters or regional offices, including publications prepared by contractors / grantees and handbooks, circulars, and guides 3
providing information for public distribution. The Printing and Publications Division will be responsible for maintaining and transferring to the National Archives the official file copy. Publications in this file will be distinctly marked " Record Set" and will not be charged out.
One copy of each publication will also be sent to the FEMA Library. (GRS 13, item la) Volume: 400 cubic feet;
( annual rate of accumulation: 20 cubic feet.
Arranged by FEMA catalog number.
Disposition: PERMANENT. Cut off when publication is s
- c. ,
O 21 !
superseded or cancelled, or 3 years after issuance, whichever is sooner. Transfer directly to National :
Archives in 5-year blocks 5 years after cutoff, f
- 7. Annual Report Input Files. ,
I Feeder reports generated by offices as input into the Annual Report.
Disposition: Destroy when 2 years old. !
?
- 8. Feeder or Preliminary Reports. '
Information other than activity or status reports, usually .
concerning a sir.gle function or subject, prepared !
periodically, occasionally, or on a one-time basis and .
directed to higher or equal levels of organizations for summarization or total inclusion in fin',1 reports.
- a. Weekly and monthly reports. #
Disposition: Destroy when 1 year old.
- b. Quarterly, semiannual, annual, occasional, and one-time
(' reports.
Disposition: Destroy when 3 years old.
i
- 9. Trip Reports.
Documents reflecting activities engaged in on official travel of employens for the purpose of orientation, '
rendering assistance, or conducting studies, exclusive of reports regarding management approkch.
Disposition: Destroy when 3 years old. '
4
- 10. Arrangement Files.
Records relating to meeting arrangements, invitations,
' accommodations, authority to attend, workpapers, acceptances,.and regrets.
Disposition: Destroy when 1 year old.
11, Delegations of Authority.
- a. Order of succession and functional or signing delegations. Volume: 4 cubic feet; annual rate of accumulation: less than 1 cubic foot.
i 22 !
Arranged chronologically.
Disposition: PERMANENT. Cut off when superseded or canceled. Retire to FRC 4 years after cutoff. Transfer to i
National Archives in 5-year blocks 20 years after cutoff. '
- b. Temporary delegations. 1 t
Designations for one to act for another on a temporary :
basis, such as during leave and illness. ,
Disposition: Destroy when 1 year old.
- 12. Project Files.
Records relating to approved projects or task forces having precedential significance such as those mandated by '
Congress on continuity of government and firefighter safety.
I
- a. Final project report. Volume: 2 cubic feet; annual i rate of accumulation: less than 1 cubic foot.
Arranged alphabetically by project name.
Disposition: PERMANENT. Cut off at and of project.
Retire to FRC 3 years after cutoff. Transfer to National Archives in 5-year blocks 20 yetes after cutoff.
- b. All other project records.
Dispositidn: Cut off at tend of project.
Destroy 5 years after cutoff.
- c. Files on proposed projects.
Disposition: Destroy when 5 years old, if no further action is taken. -
- d. Working papers and draft reports on projects.
Disposition: Destroy when 3 years old.
I
- 13. Directory Files Correspondence and other material on updating office telephone directories and other listings on agency organization and similar matters.
Disposition: Destroy when change has been made and verified.
4
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23 i
- 14. P,ublic Organization Files.
Documents relating to official participation by TEMA I employees in public cr private organizations or dealings with such groups.
Disposition: Destroy when 2 years old or when no longer needed, whichever is sooner. i
- 15. Reimbursable Agreement Contract Files.
All contractual and reimbursable agreements (under j Memoranda of Understanding (MOUs)) pertaining to work done i for FEMA by other federal agencies such as DOD and NSA.
Disposition: Destroy 6 years 3 months after final action ,
l or reimbursement.
- 16. Campaign Records.
Records relating to charitable, civic, and other campaigns, such as the Combined Federal Campaign, March of Dimes, etc.
Disposition: '
{ Destroy when 3 years old.
- 17. Federal Agency Emergency Plan Files.
t Documents created in coordinating the review of other federal agencies and their field establishments for conformance with national and regional emergency operating '
plans, guidance operations, and programs including relocation space requirements.
Disposition: Destroy when superseded, obsolete, or no longer needed.
s
- 18. FEMA Directives.
Record copy of each internal and external directive issued as instructions, manuals, Director's Policy Statements, guides, circulars, guidance memoranda (GM), or handbooks
' that establish policy, prescribe procedural guidance, delegate authority, or define missions. The directives are I
signed by the FEMA director or designed representative.
, a. Directives relating to agency policies and procedures.
l (GRS 16, item la) Volume: 50 cubic feet; annual rate of
( accumulation: 2 cubic feet. ,
L Arranged by directive number.
i Disposition: PERMANENT. Cut off when superseded or l
24 canceled. Retire to FRC 5 years after cutoff. Transfer to National Archives in 5-year blocks 20 years af ter cutoff.- '
- b. Background files related to the development of the :
directives described in item 1K19a. (GRS 16, item ib) {
Disposition: Cut off when directive is superseded or canceled. Destroy 5 years after cutoff.
l i
- c. Office reference copies. '
Disposition: Destroy when superseded or canceled.
- 19. Vital Records Files. '
FEMA Form 50-33, Inventory of Duplicate Emergency Files, relating to the identification and protection of records '
vital to the operation of the agency during emergencies or ,
which protect the rights or interests of individuals or the government. ,
Disposition: Destroy when 6 years old.
- . r s
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- 1. Staff offices L. Deviations from the General Records Schedules
- 1. General Records Schedule 1 - Civilian Personnel Records.
30a. Training Aids.
(1) Manuals, syllabuses, textbooks, and other fraining aids on management and* technical subjects developed by the agency or under contract for the agency, except those maintained by the National Emergency Training Center (see item 3A3 of this schedu.le).
Disposition: Destroy when superseded or ob'olete.
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._ _ _ . _ _ _ _ _ _ ._ _ . . _ _ ~ . _ _ _ ___ ___ __. _ . _ . - .
26
- 2. Federal Insurance Administration A. Federal Insurance Programs This schedule covers records created or accumulated by the Federal Insurance Administration (FIA) under the National Flood Insurance Program (Title XIII of the Housing and Urban Development Act of 1968, as amended), the Crime Insurance Program (Title VI of the Housing and Urban ,
i Development Act of 1970, as amended), and the Riot Reinsurance Program (Title XII of the National Housing Act of 1968, as amended).
Microfilm statement: This certifies that the records described in items 2Ala(1) of this schedule will be microfilmed 36 CFR 1230.
in accordance with the standards set forth in
- 1. Community Case Files.
Documentation supporting a community's application and
- participation in the Flood Insurance Program, including applications, community and state building codes, building '
code resolutions, community resolutions adopting FIA Appendixes A and B, community base maps, maps identifying
(- areas subject to flooding, copies of studies or reports prepared by a federal agency, summaries of a community's
' flood history, lists of incorporated communities, flood hazard maps, flood elevation determination maps, and correspondence between community.and FIA officials relating to compliance with requirements specified under the National Flood Insurance Act of 1968. (NC-207-75-6, item s
1) l a. Case files closed before 1979. '
(1) Silver master and one diazo copy of microfiche.
Volume: 30 cubic feet. "
Arranged alphabetically by state and thereunder alphabetically by name of community.
Disposition: PERMANENT.
verified, retire to FRC in 1990. Transfer to National After microfiche has been Archives in 2000.
(2) Textual reoords.
Disposition: Destroy after verification that microfiche is adequate substitute for original records.
(3) Reference copies of microfiche.
Disposition:
Retain one diazo copy in agency for ongoing '
_ _ - - _ . . _ . ~ _ - , , , __ - . _ . . _ -
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27 '
, litigation. Destroy after litigation is resolved. l
- b. Case files closed after 1978. l (1) Record copy of final report, and any subsequent revisions, on flood hazards maintained by headquarters.
Volume: 200 cubic feet: annual rate of accumulation: 10 cubic feet.
Arrang'ed alphabetically by name of state and thereunder alphabetically by name of community.
Disposition: PERMANENT. Retire to FRC when report is 3 years old. Transfer to National Archives in 5-year blocks ,
when report is 20 years old.
(2) All other case file records maintained by headquarters and regional offices. '
Maps, correspondence between FIA and state and local officials, checklists, reference copies of flood hazard reports and revisions, and reports and drafts on a '
community's request for FEMA-sponsored study on potential flood hazards.
Disposition: Destroy when no longer needed.
{
- 2. Apposis Files.
There are three types of appeals files maintained by FIA headquarters: appeals on proposed elevation determinations, from communities for which detailed engineering data have previcusly been made available, and from owners or lessees of property who believe their property has been inadvertently included in a special flood I
hazard area on the official FIA map. (NC-207-75-6, item 2)
- a. Appeals from proposed flood elevation determinations (44 CFR 65).
The Flood Elevation Determination Docket (FEDD) file contains information pertaining to appeals from proposed flood elevation determinations; The docket files contain information on 11 subjects specified in CFR 44 67.3. The subjects generally include appeal documents from private citizens and community officials, copies of all
[ correspondence from community officials, documentation of FEMA actions to determine flood elevation levels, and a copy of the fina1 determination with supporting data.
, Disposition: Cut off file after appealed map becomes effective. Retire to FEMA records holding area 2 years after cutoff. Destroy 20 years after cutoff.
- a. -. .- .- . - - .--.-- --____._ _______-_--_-)
28 '
- b. Appeals from communities for which engineering data have previously boon made available (44 CFR 65).
Data specified in 44 CFR 65.5, which include technical or ;
scientific information submitted by the community!s chief l' executive officer indicating that the base flood elevations (BFEs) do not accurately reflect accurate flood risks within the community. _
Disposition: Cut off file after appeal is resolved or after map revision becomes effective, whichever is later. -
Retire to FEMA records. holding area 2 years after cutoff.
Destroy 20 years after cutoff. .
- c. Appeals from owners or lessees of property who believe (
their property has been inadvertently included in a special flood area (44 CFR 70).
Data specified in 44 CFR 70.3, which include, as a minimum, a copy of the official record plat map, topographic maps, '
the location of property on the Flood Insurance Rate Map, and a certification by a registered engineer or land '
surveyor of both the structure type and the lowest floor elevation (_ including basement). '
( Disposition: Cut off file 2 years after appeal is resolved or after map revisions becomes effective, whichever is later. Retire to FEMA records holding area 2 years after cutoff. Destroy 20 years after cutoff.
- 3. Flood Hazard Maps. .
Preliminary flood maps covering a specific community, with flood-prone areas within a community depicted by shaded areas, which serve FEMA and the community for entrance into the emergency flood program. (NC-207-75-6, item 3)
. Disposition: Destroy 5 years af ter issuance of flood" elevation determination (or insurance rate) map.
- 4. Flood Elevation Determation, Maps.
( The size of a Flood Insurance Rate Map is 18x12 inches plus
)- A-E size. The maps are the final products of flood insurance studies conducted by FEMA.
Elevations of the .
land involved are shown and flood-prone areas within the community are shaded or in color. (NC-207-75-6, item 4)
Volume: 500 cubic feet; annual rate of accumulation: 10 cubic feet.
L- Disposition: PERMANENT. Cut off when superseded.
Transfer directly to National Archives 5 years after '
cutoff.
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29 I i
5.
~
Annual statements.
i Annual statement for each insurance company reinsured, i amendments thereto, and an equivalent of page 14 of such
(~ annual statement for each state in which reinsurance is provided such company. The statements and page 14s are >
l used to verify the eligibility of a company for reinsurance I
premium computation under standard riot reinsurance contracts as authorized by the Urban Property Protection ,
{ and Reinsurance Act of 1968. (NC-207-75-6, item 6)
Disposition:
Cut off after statement is issued or after
- the riot reinsurance contract premium based on page 14 .
figures is adjusted, whichever is sooner. Retire to FEMA .
records holding area 1 year after cutoff. Destroy 5 years l
after cutoff. t
- 6. State Pool Files.
i Reports from any state pool or other continuing i
organization, pool, or association of insurers as approved for the adjustment of the page 14 figures as submitted for reinsurance~ premium computation by reinsurance companies.
L (NC-207-75-6, item 7)
Disposition: Cut off after figures are adjusted. Retire to FEMA records holding area 3 years after cutoff. Destroy 6 years 3 months after cutoff.
- 7. Insurance Company Lists.
Lists of insurance companies by state, as certified by the state insurance commissioner, and submitted annually on date receipt of the riot reinsurance contracts, which are given to risk-bearing Property Insurance Pool participants in the state who are thereby eligible for federal - '
reinsurance in the state. (NC-207-75-6, item 8)
Disposition: Retire to FEMA records holding area when 5 years old. Destroy when 6 years 3 months old.
- 8. Standard Reinsurance Contracts.
Copies of standard reinsurance contract as executed annually with each reinsured company. Contract includes acceptance lutter by the company, copy of the executed '
( reinsurance contract, copy of invoice of advance premium L paid by company, figures submitted for adjustment of reinsurance premium after expiration of contract, computation sheet, copy of additional premium invoice or refund _ voucher, transmittal letters, and other !
l , < ~
b 30 ,
f correspondence concerning each contract.
item 1)
(NC-207-77-2, f; Disposition: Retire to FEMA records holding area when 2 !
years old. Destroy when 6 years 3 months olde l r
- 9. Riot Reinsurance Claim Files. ,
l Claim payments during a contract year are recomputed, after j the reinsurance premium adjustment is completed on-the i basis of the revised company retention. (NC-207-75-6, item -
- 10) '
Disposition: Cut off at end of fiscal year. Retire to '
FEMA records holding area 2 years'after cutoff. Destroy 6 years 3 months after cutoff.
i
- 10. Servicino Company Files.
Letters from insureds who-disagree with claim settlement * '
decisions, instructions to servicing companies concerning '
denials or payments of claims, and copies of documentation submitted when a claim is reported, as well as instructions
( to servicing companies concerning.the interpretation of the program's rules and regulations. (NC-207-75-6, item 13) t Disposition: Cut off at end of fiscal year. Retire to FEMA records holding area 5 years after cutoff. Destroy 6 4
. years 3 months after cutoff. .
- 11. State Files.
Correspondence from insurance commissioners, mayors, governors, and other state and local government officials regarding a state's need for ths Federal Crime Insurance Program. Volume: 9 cubic feet. Annuci rate of '-
accumulation: 3 inches. (NC-207-75-6, item 15)
Arranged alphabetically by state.
Disposition: PERMANENT. Cut off at and of calendar year. '
Transfer directly to National Archives in 5-year blocks 20 years after cutoff.
12.
Claim Files.
- a. Flood Insurance Program files.
All documents and photographs necessary to substantiate a claim for flood loss. These files also contain the reports of the adjusters and examiners as well as the adjuster's
- m. .- - _- . . - - 4-,_...- ~ , . , . --. ..- . - . , . - , , < , ---.4y -, -
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expense repcrts and records of all bills paid by the National Flood Insurance Administration (NFIA).
NFIA acted as a private industry partner with the Federal !
l Insurance Administration until 1978 in providing flood '
insurance related services. NFIA was subsequently replaced in 1978 by the National Flood Insurance Program, a privato contractor which now processes claim documents as described above. (NCl-207-79-4, item 16) j (1) Closed NFIA claim files, 1976-77.
(a) Textual records except those on claims pertaining to Louisiana. !
i Disposition: Destroy after verification that microfiche copies are adequate substitutes for original documents.
(b) Textual records on claims pertaining to Louisiana. 1 Disposition:
After verification that microfiche copies are adequate substitutes for original documents, destroy when no longer needed for legal purposes. ,
(c) Microfiche. .
Disposition:
Destroy film or salvage silver content after alerting administrator prior to action. '
(2) Closed NFIA claim files.
Files generated by the contractor to the National Flood !
Insurance Program and maintained in paper form.
Disposition: Cut off upon payment or denial of claim.
Destroy 6 years 3 months after cutoff.
- b. Crime Insurance Program files.
All documents and photographs necessary to substantiate a claim for losses due to burglary or robbery, reports of adjusters, and adjusters' bills paid by the program.
Dispcaition: Cut off upon close of case. Dastroy 6 years 3 months after cutoff.
- 13. Policy Files,
- a. Flood Insurance Program files. ;
(" All documents created on a flood insurance policy. The application describes the location of the' property, the building, the contents, and the amount of the premium.
Other documents include renewals, endorsements, s
}
.s.
32 f- .
cancellations, and correspondence. Policies generated under NFIA were maintained,by a number of servicing companies under varying file systems. Policy files generated under contract for the National Flood Insurance Program are maintained at one contractor's facility.
(1) National flood insurance servicing company files, 1975-77. _
Assorted filas generated by servicing companies to NFIA.
Disposition: Destroy files with pending litigation after review by go'neral counsel.
(2) National flood insurance files.
Files generated in processing flood insurance policies under the continuing National Flood Insurance Program.
Disposition:
Cut off 5 years after cutoff.
when file becomes inactive. Destroy
+
- b. Crime insurance program files.
All documents necessary for continuation of a crime insurance policy. Documents include renewal bills, C cancellations, and correspondence.
(1) Files on policies issued prior to June 1, 1978.
(a) Files on policies which are. currently subject to litigation or inspector general investigation.
Disposition: Destroy upon close of litigation or investigation.
(b) Files on a13 other policies issued prior to June 1, 1978.
Disposition: Destroy immediately.
(2) Files on policies issued on or after June 1, 1978.
Disposition: Destroy 5 years -af ter policy is issued.
k.
k-
~ ._ - . - . _ - - - - . - - - - - _ - _ _ _ _
33
- 3. Training and Fire Programs Directorate ;
i A. National Emergency Training Center '
The National Emergency Training Center (NETC) consists of the National Fire Academy (NFA) and the Emergency Management Institute (EMI), which provide advanced training ]
in fire protection and emergency management techniques for i state and local government firefighting and emergency management professionals. NETC conducts two to three-week courses both at its facility in Emmitsburg, Maryland, and I in the field through its adjunct faculty, which is-made up i usually of experts from outside the agency. I
- 1. Minutes of the NFA Board of Directors. I l
Minutes of quarterly meetings (GRS 16, item 12a(1]). l Volume: less than 1 cubic foot; annual rate of accumulation: 1-2 inches.
Arranged chronologically.
~
Disposition: PERMANENT. Cut off at end of calendar year.
f-%
Transfer directly to National Archives in 5-year blocks 20 years after cutoff. *
- 2. Program Subject Files.
All major documentation required to administer NETC programs on a daily basis, including correspondence, policy statements, management reports, and statements of objectives and accomplishments created by the NFA and EMI supervisors. (NCl-437-78-1, items 1, 4, and 47) Volume:
56 cubic feet; annual rate of accumulation: 6 cubic feet.
' Arranged alphabetically by subject. "
Disposition: PERMANENT.
Cut off at and of fiscal year.
Retire to FRC 5 years after cutoff. Transfer to National Archives in 5-year blocks 20 years after cutoff.
- 3. Training Files. '
Documents created in establishing, reviewing, approving, and revising courses of instruction and training packets (courses, workshops, and seminars). Included are courses of instruction on training programs, syllabuses, lesson
( plans, and documents pertaining to coordinating actions, approvals, revisions, and changes.
- a. Training texts and instructions.
. +
. j 34 i Record copy of each syllabus, course of instruction, and lesson plan. (NN-172-42, item TNG 1-1) Volume: 3 cubic
[ feet, annual rate of accumulation: 1 cubic foot. l Arranged alphabetically by name of course.
Disposition: PERMANENT. Cut off when superseded or obsolete. Retire to FRC 1 year after cutoff. Transfer to National Archives 20 years after cutoff.
- b. Drafts, notes, and other working papers.
Disposition: Destroy when superseded or obsolete.
- c. Programs of instruction.
Disposition: Destroy when superseded or obsolete.
- d. Course accreditation files.
[
Disposition: Destroy when superseded or obsolete. ,
i
- 4. State and Local Emergency Management Training Files. !
- a. Project files.
Documents accumulated in monitoring and assisting in the administration of Comprehensive Cooperative Agreement (CCA) projects conducted under contract with FEMA. Included are recommended approvals or. disapprovals and certifications, CCAs, authorizations to purchase equipment and similar '
requests, and lists of contract employees.
Disposition: Cut off on completion of contract.
Destroy 6 yeara 3 months after cutoff.
- b. Training conference files. -
Documents relating to conferences conducted by FEMA for state, county, and municipal officials, community leaders, and leaders of special organizations and associations. The conferences are designed to provide information and instructions that will enable 1;he participants to
) ~. contribute more effectively.to the emergency. management efforts of their communities. Included are requests for and notifications of conferences, approvals for special conferences, papers relating to conference arrangements, and conference reports. (NN-172-42, item TNG 3-2)
Disposition: Cut off at end of fiscal year. Destroy 6
( years after cutoff.
l
7 ,
e 35 ;
- 5. , Training Evaluation and Improvement Files.
Documents accumulated in planning, developing, and carrying out projects designed to evaluate ongoing training -
activities or to develop new training programs, activities, and techniques. .
Disposition: Destroy when superseded or obsolete.
- 6. Student Locator Cards. >
Registers, ledgers, or card files maintained for ready reference on school students.
pisposition: Destroy when no lonc3r needed.
A h
(: .
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36
- 4. State and Local Programs and Support Directorate A. Office of Natural and Technological Hazards This schedule covers records pertaining to natural and
. technological hazards not covered (with the exception of the Hurricane Awareness Program) under the Disaster Relief Act of 1974. The National Earthquake Hazards Reduction Program is authorized under Public Law 95-124. Other areas of concern include, but are not limited to, the Dam Safety Program (Executive Order 12148), the Radiological Emergency Preparedness Program.
Program, and the Hurricane Vulnerability
- 1. Radiological Emergency Preparedness (REP) Files.
- a. Policy files.
Documents generated on policies for developing, implementing, and evaluating federal, state, and local '
government REP programs. The policies are developed in the form of guidance memoranda (see item 1K6 of this schedule) and primarily address accidents at commercial nuclear power plants.
Disposition:
Destroy when policies reflected in GMs are no longer effective or when the contents of the GMs are subsumed in another GM.
- b. Docket files (headquarters).
Documents generated in carrying out FEMA's responsibilities for off-site nuclear power plant planning and preparedness under 44 CFR 350, including correspondence with governors and Nuclear Regulatory Commission (NRC) and other federal officials, certifications of findings, interim findings, status reports to NRC, and Exercise and Interim Reports on Off-site Radiological Emergency Response Plans and Preparedness. Volum.: 30 cubic feet; annual rate of accumulation: less than 1 cubic foot.
Arranged alphabetically by name of power plant.
Disposition: PERMANENT. Transfer directly to National Archives 20 years after termination of NRC license.
- c. Docket files (regional).
(, Documents generated at the regional level in carrying out b FEMA's responsibilities for off-site nuclear power plant planning and preparedness under 44 CFR 350. Records >
include plans and exercise reviews and evaluations, correspondence with FEMA headquarters, federal regional
. )
i 37
'( offices of other agencies such as the NRC, and state and local government plans. Volume: 50 cubic feet; annual 4
I rate of accumt.lation: less than 1 cubic foot.
Arranged alphabetically by name of power plant. ,
Disposition: PERMANENT. Transf'er directly to National Archives 20 years after termination of NRC license. ;
l
- 2. Integrated Emergency Management Information System-(IEMIS) J Files.
)
IEMIS is a comprehensive electronic database containing !
emergency planning, exercise, and response tracking data i for the resolution of deficiencies identified in emergency preparedness plans for the REP program. The database consists of 1:2,000,000 scale map of the United States upon which is entered information on roads, buildings, and other -
structures that influence the design of evacuation plans.
The database is used to experiment with various evacuation -
scenarios, the final plans for which are filed in the REP
- docket files. '
Disposition' Delete data when no longer needed.
- 3. Dam Safety Program Files _.
- a. Program development files.
Correspondence, reports, working files, studies, evacuation '
plans, and other staff-generated documents on the dam safety program.
Disposition: Destroy when no longer needed,
- b. Interagency Committee on Dam Safety (ICODS) files.
ICODS is an interagency committee consisting of representatives of the Departments of the Army and Energy, NRC, Tennessee Valley Authority, Mine Safety and Heath Administration, FEMA, and Army Corps of Engineers and chaired by the FEMA representative. -
(1) Verbatim transcripts an'd abstracts of special and quarterly meetings of ICODS and its subcommittees. (GRS 16, item 12b) Volume: less than 1 cubic foot; annual rate of accumulation: 1-2 inches.
Arranged chronologically.
Disposition: PERMANENT. Transfer directly to National Archives when 20 years old.
m c-38 (2) ICODS working papers.
Disposition: Destroy when no longer needed.
- 4. National Earthquake Hazards Reduction Program Files,
- a. Correspondence on vulnerabil'ity assessments, working files, drafts, standards, studies, work plans, and reports to Congress.
Disposition: Destroy when no longer needed.
- b. Verbatim transcripts and abstracts of quarterly meetings of the Interagency Coordination Committee of the National Earthquake Hazards Reduction Program and its subcommittees. '
This committee consists of representatives from the U.S.
Geological Survey, National Science Foundation, and National Bureau of Standards and is chaired by the FEMA representative. (GRS 16, item 12b) Volume: less than 1 cubic foot; annual rate of accumulation: 1-2 inches.
Arranged chronologically.
[ Disposition: PERMANENT. Transfer directly to National
( Archives when 20 years old.
- 5. Hurricane Vulnerability Program Fileh,
- a. Correspondence documenting program development, state projects, and evacuation plans.
Disposition: Destroy when no longer needed.
- b. Verbatim transcripts and abstracts of quarterly I
meetings of the Interagency Coordination Committee on
' Hurricanes.and its subcommittes. (GRS 16, item 12b) "
Volume: less than 1 cubic foot; annual rate of l accumulation: 1-2 inches.
Arranged chronologically.
Disposition: PERMANENT. Transfer directly to National Archives when 20 years old. '
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- 4. State and Local Programs and support Directorate B. Office of Civil Defense This schedule covers records relating to the development, i deployment, and administration of civil defense and other '
civil emergency programs.
- 1. Service Request Files. l 1
I Documents relating to state and local requests for '
communications services or their termination, including requests, recommendations, and approvals. (NN-172-42, item COM 2) .
Disposition: Destroy when no longer needed.
- 2. Civil Defense Systems Files. , 1 Documents relating to various systems used in support of '
civil defense. (NN-172-42, item COM 5)
Disposition: Destroy when superseded or obsolete.
- 3. National Shelter Survey Files.
Correspondence and microfiche, showing shelter space by building, for all facilities surveyed in states (including
- Phase I and II printouts). (NN-172-42, item SHL 3)
Disposition: Cut off when printout or microfilm is updated. Destroy when superseded or obsolete.
l 4. Regional Shelter Procramming Files.
j Documents accumulated by regional offices in planning, arranging, evaluating, and reporting on shelter programs in local planning areas. Files include schedules, regionwide progress and evaluation data, and shelter program summary reports. (NN-172-42, item SHC 4) .
Disposition: Cut off at end of calendar year.
Retire to FRC 3 years after cutoff. Destroy 6 years after cutoff.
5.- Community Shelter Plan (CSP) Files. '
- {. Documents relating to arrangements with and technical and financial assistance provided to state governments for establishing CSPs, including the identification, scheduling, and coordination of CSP projects for their
-4 40 political subdivisions. Files include outlines of briefings to state governors; papers concerning the hiring, duties, and training of state CSP officers (CSPOS); advice on funds available for CSP projects; and schedules, costs, statements, and U.S. Army Corps of Engineers reports.
~
- a. FEMA-OCE area contract plan files.
Documents accumulated by FEMA in negotiating with the U.S.
- Army Corps of Engineers for CSPs at the state and local levels, including the transfer of funds, allocation documents, reports, and related records. (NN-172-42, item SHL 5-1)
Disposition: Cut off on adoption of plan.
Retire years after cutoff. Destroy 8 years after cutoff.
to FRC 3
- b. FEMA-CSPOS contract files.
Documents relating to CSPOS contracts, including inspection and progress reports, copies of change orders, and related ;
records. (NN-172-42, item SHL 5-2)
Disposition: Cut off after final payment on contract.
Destroy 3 years after cutoff.
- 6. Public and Private Shelter Files.
- a. Group shelter files.
Documents created in promoting, sponsoring, supporting, and evaluating projects concerned with the design of shelters in schools, shopping centers, industrial enterprises, public buildings, and other structures for use by the general public (50 or more persons) in an emergency.
Documentw include communications with architectural firms, arsociations, and schools; requirement and design guidelines; design drawings and descriptive data; analyses; evaluations; and related records.
(1) Site surveys and studies, including feasibility studies, and plans and drawings, including sketches, architectural fact sheets, and layout drawings. (NN-172-42, items SHL 6-1-1 and 6-1-2)
Disposition: Cut off at end of calendar year in which documents prepared. Destroy 3 years after cutoff.
(2) Construction specifications. (NN-172-42, item SHL 6-1-3)
Disposition: Cut off at completion of contract.
years after cutoff. Destroy 6 1
l
o 41-l l ( b. Home shelter (private dwelling) files.
Documents created in developing protection criteria for shelters in private homes, including drawings, i
specifications, home protection surveys (MPS), and other i records on required protection for individual families in i their homes. (NN-172-42, item SHL 6-2)
Disposition: Cut off at completion of contract. Destroy 3 years after cutoff.
- 7. Shelter Supply Monitoring Files.
Documents created in monitoring and controlling the issuance, maintenance, transfer, shipment, and disposition of supplies and equipment furnished to state and local govermments for stocking licensed fallout shelters. Files include copies of requisitions; procurement documents; notifications of relocation of excess stocks; requests and approvals for replacement of lost, damaged, or stolen i
supplies and equipment; inspection reports; copies of shipping documents; supply action cancellation requests; ;
and communications with state and local government i officials about shelter supplies. (NN-172-42, item SHL 8)
Disposition: Cut off at and of fiscal year. Destroy 3 years after cutoff. '
- 8. Information Retrieval Files. '
Documents accumulated as a result of liaison and coordination with technical, scientific, industrial, and governmental groups to obtain information for use by other FEMA elements in developing new concepts and advanced thinking on civil defense technical subjects. Files include invitations to meetings, conference reports, a.nd presentations. (NN-172-42, item TES 1)
Disposition: Cut off at and of calendar year. Destroy.5 years after cutoff.
L
- 9. Institutional Studies Files..
i Documents relating to furnishing and obtaining advice and technical information in liaison with professional organizations, licensing and accrediting authorities, schools, colleges, departments of architecture and f engineering, committees, research and development sources,
.( and similar groups. Files include pamphlets, specifications, statistics, memoranda of understanding, and functional data. (NN-172-42, item TES 2) m;
. i I
42 Disposition: Destroy when superseded or obsolete, or 3 years after preparation, whichever is sooner.
- 10. Professional Development Technical Assistance (Shelter l Program) Files. .
Documents created in arranging for contract consultants to l advise and assist architects and engineers in designing or !
modifying buildings and structures to obtain or increase fallout protection at little or no additional cost. Files
- include state and local requests for such services, approvals, and notifications to consultants. (NN-172-42, ,
item TES 4)
- Disposition: Cut off at close of contract year. Destroy 3 years after cutoff. ,
i
- 11. Radioactive Materials Files.
Electronic database and hardcopy reports on all FEMA-owned radioactive materials and sources of ionizing materials held by the agency and on loan to other federal agencies and states. Database includes type of radioactive
( material, quantity, present location, authorized users, and location of ultimate disposal site of the materials.
Printouts of information are produced periodically.
- a. Electronic database.
Disposition: Erase data when no longer needed for '
administrative use or to meet legal requirements.
J
- b. Hardcopy reports.
Disposition:- Destroy when superseded or obsolete.
i j
l
- 12. Radiation Dose Records.
Folders maintained on all individuals who may be exposed to ionizing radiation within FEMA activities, including periodic reports evaluating degree of exposure. (NN-172- l 42, item RAD 4-1) j Disposition: Destroy when 75 years old.
(, 13. Planning Files.
Computerized list of emergency broadcast radio frequency allocations assigned by the Federal Communications
= .
i 43
.f A Commission (FCC) to state and local governments and emergency services (fire, police, ambulance) consisting of frequency, location, and type of service.
Disposition: Erase data when superseded or obsolete.
- 14. Emergency Broadcast System (EBS) Files. -
Documents relating to EBS plans and communications !
equipment standards and specifications prepared by state i and local industry advisory committees. These are forwarded through FEMA channels to the Federal ;
Communications Commission for review but maintained by FEMA. (NN-172-42, item COM 3) ,
C
- a. Approved EBS plans and specifications. Volume: 10 i cubic feet; annual rate of accumulation: less than 1 cubic ;
foot. '
l Arranged alphabetically by s' tate. .
Disposition: PERMANENT. Cut off when plan is superseded ,
or obsolete. Retire to FRC 1 year after cutoff. Transfer -
to National Archives in 5-year blocks 20 years cutoff. *
- b. Working papers created in developing EBS plans and specifications.
Disposition: Destroy when plan is approved. ,
- 15. Special EBS Study Files.
Documents relating to special studies conducted in l '
connection with difficult nonrecurring projects in order to !
provide solutions to missions aseigned. Included are worksheets, records of methodology, charts, maps, notes, memoranda, records of meetings, and official studies. (NN-172-42, item TES 3) i
- a. Final EBS studies. Volume: 1 cubic foot; annual' rate of accumulation: less than 1_ cubic foot.
Arranged alphabetically by state. -
Disposition: PERMANENT. Cut off at end of calendar year of issuance. Retire to FRC 3 years after cutoff. Transfer to National Archives in 5-year blocks 20 years after cutoff.
l 'k b. Working papers created in developing special EBS studies.
Disposition: Cut off when special study is issued. Retire
o
, 44
- \.
to FRC 3 years after cutoff. Destroy 10 years after !
cutoff.
]
- 16. Technical Shelter History Files.
Records detailing shelter development, maps, drawings, and l correspondence, primarily relating to construction of :
Federal Regional Centers (FRC), in microfiche format. l 3
- a. Silver master.
Disposition: Retire microfiche to FRC when 5 years old.
Destroy when 20 years old.
- b. Reference copies of microfiche. .
Disposition: Destroy when no longer needed.
- c. Textual records.
Disposition: Destroy when microfiche is verified. *
~
- 17. Population Protection Data Files. -
Engineering data gathered by FEMA regional staff, contractors, or state preparedness staff providing information pertaining to the suitability of a particular geographical area.
.Disposit_lon: Destroy when superseded or obsolete.
- 18. National Shelter and Crisis Relocation Planning Surveys. *
- a. Master files.
I s.
Advertising material and administrative documents (instructions, forms, etc.) pertaining to the conduct of a shelter survey.
Disposition: Destroy when superseded or obsolete.
- b. Survey files.
Engineering analyses and documents generated during the course of a shelter survey.
Disposition: Destroy when superseded or obsolete.
- c. Data Input File (FEMA Form 85-5).
Used to input the shelter survey data file and population
__________.__m*
a 45
( protection data file.
Disposition: Destroy 6 months after generation of new file. ,
19.
Comprehensive Cooperative Agreement (CCA) Files.
FEMA assistance to the states for emergency preparedness purposes is provided through CCAs. A CCA is a single application, reporting, and funding procedure whereby this agreement can include all assistance for a state program upon eligibility. FEMA-supported preparedness activities in the states are therefore funded and accounted for through the CCA. All CCAs are awarded and administered through FEMA regional offices.
- a. Master copies of CCAs. Volume: 3 cubic feet; annual rate of accumulation: less than 1 cubic foot.
Arranged alphabetically by state. .
Disposition: PERMANENT. Cut off when CCA is superseded.
Retire to FRC 3 years after cutoff. Transfer to National ;
Archives in 5-year blocks 20 years after cutoff.
- b. Correspondence and/or subject files including memoranda, studies, reports, and other records relating to the development and establishment of the program, its policies and basic procedures, and the management and evaluation of the CCA program records maintained in headquarters.
Disposition: Destroy when no longer needed.
- c. Financial records, supporting documents, statistical records, applications, general correspondence, and all other records pertinent to an assistance program, except ,
those covered by items d and a below.
Disposition: Destroy 6 years 3 months after date of finsi settlement or of submission of final ~ financial status report, whichever is applicab1_e.
- d. Records for nonexpendable property acquired with assistance funds.
Disposition: Destroy 6 years 3 months after final disposition of property or after audit finding has been resolved, whichever is later. .
4 k, e. Records relating to appeals, litigation, claims, or exceptions.
Disposition: Destroy when case is resolved.
i
46 -
- 20. State Assistance Program Files.
Applications, appraisals, statements of work, and other '
project-related documents to stimulate state flood plain ;
j management activities. -
Disposition: Cut off at end of calendar year. ~ Retire to L FRC 5 years after cutoff. Destroy 10 years after cutoff. [
- 21. Shelter Development Files.
Records containing information on:
i a. Fallout shelter analyses.
Certification sheets identifying background information for individuals who are certified in microfiche format.
Disposition: Destroy when superseded or obsolete.
l b. Shelter Surveys - Technician-(SSTs) files Certification sheets of college students who have passed
{ the Shelter Survey Technician Course. .
1 Disposition: Destroy when superseded or obsolete. ,
( 22. Individual Mobilization Augmentee Files.
Documents for directing a program of military personnel to i
' augment FEMA and state and local govermments in their emergency managment programs. Included are personnel lists, DOD directives, program guidance, training requirements, and statistical information. .
Disposition: Destroy 1 year after reservist leaves program.
- 23. Radiological Defense Files. ,_
Correspondence containing information on state and local government integration of radiological support plans and guidance concerning radiological defense instruments and equipment.
- a. Design and development plans. Volume: 30 cubic feet:
annual rate of accumulation: 10 cubic feet.
{,. .
Arranged alphabetically by state.
Disposition: PERMANENT. Cut off at end of calendar year.
(,7 8 - -
/ ,
ar.= .
47 i
Retire to FRC 3 years (2fter cutoff. Transfer to National Archives'in 5-year blocks 20 years after cutoff.
y
- b. . Correspondence, reports, and other records' pertaining :
to the routine control of program.
Disposition: Destroy when information is superseded.or obsolete,
- 24. Contributions Project Loan Program (CPLP) Files.
Documents created in the the acquisition, loan, and disposal of property to state and local governments-through the GSA excess and utilization program, PL 97-380.
I i
Disposition: Destroy 5 years after final report is '
completed.
t-
-25. Emergency Management Assistance (EMA) Program Files. ,
i Documents related to state eligibility and applic'ations for I
l funds: staffing patterns, annual submissions, statements of work, reporting documents on state and local I
expenditures, and fourth-quarter performance repor'ts.
Disposition: Cut off at end of fiscal year.- Retire to FRC 3 yaars after cutoff. Destroy 6 years after cutoff. -
- 26. State and Local Government Emergency Plan Files.
Documents created in coordinating the review of state and local government emergency operating plans including the plans themselves, t Disposition: Destroy when superseded or obsolete.
s.
m
(;
, . -~ . . . ~ - . . , . . . - . _ . . . . . . . . . - . ~ . ..
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48
([? 4. State and Local Programs and Support Directorate l C. Office o'f Disaster Assistance Programs
)
This schedule covers records pertaining to disaster !
assistance under provisions of the Disaster Relief Act of 1974, Public Law 93-288, and other related activities of this office. ~
- 1. Presidentially . Declared Major Disaster and Emergency Files.
- a. Headquarters disaster files.
l Presidential declarations, with supplements, .
'I designating major disasters ~and emergencies authorizing the expenditure of disaster relief funds,. FEMA / state-Agreements, citations for publications in the Federal !
Register, correspondence and memoranda, and termination ,
memoranda. (NOTE: Final update of FEMA disaster -
funding list is maintained by the comptroller.) (NCl--
207-76-7, item 3a) Volume: 20 cubic feet;. annual rate .
of accQmulation: 4 cubic feet.
~f Arranged chronologically by date of declaration and thereunder alphabetically by state.
Disposition: PERMANENT. Cut off when termination-memorandum is approved. Retire to FRC 1 year after -i cutoff. Transfer to' National Archives in.5-year blocks 20 years after cutoff.
- b. Regional disaster files.
' Copies of presidential declarations with supplements, FEMA / state Agreements, and related records. (NC1-207-76-7, item 3b) -
Disposition: . Destroy when termination memorandum is '
approved.
(j 2. Undeclared Natural Disastdr Case Files.
):
Requests for assistance,' turndown correspondence, and related records on natural disastars in which assistance was requested but a disaster was not declared under public law. (NC1-207-76-11, item 4)
- a. Headquarters files.
y Disposition: Cut off when request is turned down.
L Retire to FRC 2 years after cutoff. Destroy after 6 l
It
4 GA 49
~
' (z.. years after cutoff.
- b. Regional office files. '
Disposition: Cut off when request is turned down.
' Destroy 2 years after cutoff. @
- 3. Incident Case Files.
Case files on incidents in which no assistance was ,
requested and no declaration was made under PL 93-288, '
including correspondence, memoranda, and related records. (NCl-207-76-7, item 5)
Disposition: . Destroy 2 ' years after close of case.
- 4. Public Assistance Files.
- a. Project Application (PA) files (PL 93-288 and FEMA regulations and handbooks). (NCl-207-76-11, item 6)
(1) Headquarters files.
l' . Individual pas (original copy of PA form and applicant funding documents maintained by the. comptroller) identified by major disaster number and applicant identification number. Files include project applications, damage survey reports, funding documents, project t1me extensions, applicant appeals, eligibility determinations, documents on insurance requirments, floodplain management, hazard mitigation, and policies and procedures, and.related records.
Disposition:
Cut off when termination memorandum is approved. Retire to-FRC 1 year after cutoff. Destroy 6 years 3 months after cutoff.
(2) Regional office files.
Original Damage Survey Reports (DSR), mission assignments, and related records.
Disposition:
approved.
Cut off when termination memorandun is Retire to FRC 1 year after cutoff. Destroy 6 years 3 months after cutoff.
- b. Fire Suppression Assistance (FSA) files (PL 93-288,
/
Section 417; 44 CFR 205, Section G; and FEMA' Handbook DR&R-4).
Q. .
(1) Headquarters files.
0
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^
Individual FSAe, original copy of PA form, and funding ;
documents maintained by the comptroller including- '
continuing: FEMA-state fire suppression agreements, FEMA .
determinations authorizing or denying FSA assistance, ,
and general fire suppression assistance correspondence.
Disposition: _ Cut off when termination memorandum is approved. Retire to FRC 1 year after cutoff. Destroy 6 years 3 months after cutoff. 4 (2) Regional office files. '
Original copy of DSR with backup records.
Disposition: Cut off when termination memorandum is i
=
approved. Retire to FRC 1 year after cutoff. Destroy 6 years 3 months after cutoff.
- c. Community Disaster Loan (CDL)-files (PL 93-288, -I Section 414; 44 CFR 205, Subpart F; and FEMA Handbook DR&R-5). -
e o
Individual =CDLs (original copies of.CDL promissory nctes and funding documents maintained by the ,
"fi comptroller) identified by major disaster and applicant l'
( '
ID number. Files include approved community disaster loans,. denials of loan application requests, general community disaster-loan correspondence, and applications for loan cancellation.
L Disposition: Cut off when termination memorandum is approved. Retire to FRC 1 year.after cutoff._ Destroy 6 years 3 months after cutoff.
- d. Mitigation assistance files (PL 93-288,'Section- I 406).
Files include hazard mitigation procedures, Interagency l=
Hazard Mitigation Team reports, and related records.
l Disposition: Cut off whan termination memorandum is
(_ approved. -Retire to FRC 1 year after cutoff. Destroy l, 6 years 3 months after cutoff.
- 5. Regional Offico General Program Subject Files.
Files contain basic statutes, legislative proposals, m
' legal opinions, congressional statements, organizational charts, delegations of authority, policy f(_ - statements, operating procedures and instructions,
-( minutes of meetings, recommendations and decisions, reports, interagency agreements, memoranda of L understanding, and studies. (NC1-207-76-7, item 7b)
W,
.}
l 51 l l Disposition:
Review every_3 years. Destroy when l superseded or obsolete. i
- 6. Disaster Field Office (DFO) - Individual Assistance (IA) Program Files. I l
a.- General files.
Files maintained in_the IA program office cover overall administrative management, program, andlinformation i Munctions. These files include such items as mission 1 assignments and correspondence with state and local officials. IA programs include,,but are not limited to, the Disaster Unemployment Assistance Program, l Crisis Counseling Assistance and Training Program,a '
legal services-for low-income disaster-victime (through-t the Young Lawyers. Division of the American Bar Association), and flood plain management. l administration.- (NC1-207-79-5, items ib and Ic) 1
-Disposition: l Consolidate files at appropriate-regional office ,upon close of DFO. Retire to FRC 1 year after closeout. Destroy 3 years after closeout. ]
l_ '
- b. Insurance coordination files.
- h Correspondence with insurance carriers:who hold i L. policies on disaster victims' residences (e.g., claims,.
y proofs of loss, and. proofs of purchase).. !
Disposition: Consolidate. files at appropriate regional office upon termination of disaster contract (when all y u families-have been relocated to permanent ~ housing,-the '
L audit, if one is'made, has been. accepted by both FEMA l
E and theistate, and all monies due have been received). H t
Retire to FRC_1 year after termination.. Destroy.3 '
years after termination. -
l' l c. Duplication of benefits files.
Miscellaneous correspondence related to duplicate ll benefits. -
Disposition: Consolidate files at appropriate regional office upon closecut of DFO. Retire to FRC 1 year l
after closeout. Destroy 3 years after closeout.
- 7. Individual and Family Grant (IFG) Program Files.
FEMA-state agreements, state administrative plan, correspondence, extensions, advances, and other IFG program records.
52-
~
Disposition: Close out when disaster. contract is terminated.
Retire to FRC 1 year after closeout. '
Destroy 3 years after closeout. i
- 8. Temporary Housing Assistance Files, i a.- General files. -
Files maintained by the Temporary Housing Coordinator cover overall administrative management program and information functions. These files include such items as delegations of authority, mission assignments, and-official correspondence with state and. local government officials.
Disposition: Consolidate at appropriate regional office at the and of Phase II, when shelterees are moved-to permanent housing. Retire to FRC 1 year after files are consolidated. Destroy 3 years after files 'f are consolidated. ,
- b. Temporary Housing Assistance Program files.
l These files cover the entire process of applicant and
{
I occupant assistance as well as any additional Disaster Housing Office (DHO) mission assignment activity (e.g.,
o mobile home operations, supplemental assistance,-and l minimal repair assistance).
(1) Master occupant / applicant files. -
t y These files contain all original occupant-related documents (e.g., site requests, mobile home sales ,
documents, leases, and contacts)
Disposition: Consolidate at regional office'at end of i Phase II. Retire to FRC 1 year after files are ,.
consolidated. Destroy 6 years 3 months after files are l' consolidated.
(2) Working field applicant / occupant files.
These files contain copies of occupant-related
~
documents.
, Disposition: Review at end of Phase I operation (that L
is, when.all qualified occupants receive temporary housing) to ensure all occupant-related original ,
documents are in the master occupant / applicant files or f Mobile Home Storage Program files, as appropriate.
( Destroy upon termination of assistance to occupant.
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-l 1 (3) Working files ior Phase I' mobile home operations j or minimal repairs.
i These files contain. copies of occupant-related documents. ,
1 Disposition: Destroy upon termination of assistance to= .
occupant. l i
i (4) Control records and logs.
These documents relate to temporary housing assistance program files.
Disposition: Forward to appropriate regional office at and of Phase II. Retire to FRC 1 year after'end of Phase II. Destroy 6 years 3 months after end of Phase-II.
L L c. Contract files.
(1)' Mobile home contract files.
L o
These files contain copies-of contract modifications; o site requests, waivers,. work orders, and related
-- i records.
Disposition: Review at and of Phase I to ensure all occupant-related original documents:are in the Master File. Destroy 6 years 3 months after review.
(2) National-office standby contract files.
These-files contain copies of-work' orders, modifications, waivers, and related records.
Disposition: Roview at and of Phase I to ensure all occupant-related documents have been forwarded to ,
- headquarters for processing. Destroy 6 years 3 months after closeout of contract. ,
(3) Maintenance contract files.
' These files contain copies of contract mcdifications.
Disposition: Review at end'of. Phase II. Destroy 6 years 3 months later.
- d. Mobile Home Storage Program (Strategic Storage Center) files.
f g_ These files are found in Strategic Storage Centers and include correspondence and procedures related to mobile home and travel trailer units owned by FEMA.
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54' (1) Correspondence on mobile 1home-and travel _ trailer.
accountability and inventory,~ technical standards, management reviews, copies of contracts with research L and development organizations, and miscellaneous'
,, housekeeping documents.' .
L Disposition: Cut off at the end of the calendar year'.
_ Retire to inactive storage on site 1 year after cutoff.
' Destroy 3 years after cutoff.
D (2) Mobile home and travel trailer unit files. 3 Records relating to the purchase, disposition, contracting, maintenance, bills of lading, inspection '
reports, dispatch tickets, requests for shipments, '
waivers, and permits relating to mobile home and travel
-trailer units.
- Disposition: . Cut off when mobile home or travel unit v
- is sold or declared excess proper.ty. Destroy 6 years 3 months after cutoff. i
- 9. Cora Brown Trust Management Fund Files.
( These files are k'ept at the regional. office and consist of applicant requests, verifications, recommendations, and approvals / denials.
Disposition: Cut off when disaster contract is' '
terminated. Retire to FRC 1 year after cutoff.
Destroy 3 years after cutoff.
- 10. Headquarters Activity (Disaster Assistance Programs -
Individual Assistance [IA] Division) Files.
- a. IA program files. ,
All IA program files except those relating to temporary-housing and IFG programs. They include other programs such as Disaster Unemployment Assistance (DUA), Crisis
- Counseling and Training, Legal Services, Superfund, '
Flood Plain Management, Duplication of Benefits, and the Cora Brown Fund.
Disposition: Retire to inactive storage when 2 years n old. Destroy when 6 years 3 months old.
- b. Temporary housing files, k,- Copies of computer printouts, Scoreboards, federal coordinating officer's digests, correspondence, and related records. .
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1 . Disposition: Destroy when database elements have been-established and defined.
i
- c. . Mobile home and travel trailer program files.
l
" Copies of correspondence and procedures , e.g.,
acquisitions, technical standards, and guides; specimen. '
contracts and procurement. documents; data on mobile home programs at disaster sites; and working papers on
. manuals, instructions, and other issuances.
l Disposition: Cut off at end of calendar year. Destroy
- 6 years 3 months after cutoff. ,
- l. d. Files relating to permanent relocations under '
Superfund and purchases-of properties under Section 1362.
Headquarters files relatingsto individual property; m
owners, background data, addresses, value of-property, negotiation records, and related records.- Volume: 12 0
$ cubic feet; annual rate of accumulation: less than 1- >
4 cubic foot.
Arranged alphabetically by subject.
, ' Disposition: . PERMANENT. Cut off at conclusion of proj ect. Retire to FRC 3 years after cutoff.- Transfer to National Archives in 5-year blocks 20 years after cutoff.
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- 5. National Preparedness Directorate N A. FEMA Advisory Board
- 1. " Minutes of the FEMA Advisory Board. '
- a. Official minutes of the-board. l l
Ver'estim. transcripts and synopses off FEMA Advisory I Board meetings.. Volume: 3 cubic feet; annual rate of l accumulation: 2 inches. l Arranged chronologically. 4 i
Disposition: PERMANENT. Cut off at end of calendari year. Transfer directly to National Archives in 5-year blocks 20 years after cutoff.
- b. Minutes of FEMA Advisory' Board panels.
Verbatim' transcripts and synopses of meetings of FEMA Advisory Board panels (consisting of three to five members each) on continuity of government, consequences ;
o of terrorism, industrial preparedness, civil defense, and other emergency management, topics. Volume: 2 t
! inches; annual rate of: accumulation: less than 1 inch.
I L 1 Arranged ~ chronologically.
l' Disposition PERMANENT.- Cut off at end of calendar year. Transfer directly to National Archives in 5-year blocks 20 years after cutoff. i 1 2. Board Member Files,
- a. Photographs.-
Portrait photographs of FEMA Advisory Board members.
o (GRS 21, item 5) 1 .
Arranged alphabetically by name.
Disposition: PERMANENT. Transfer captioned photographic print and negative, indexed by name and title of individual and date of photograph, directly to the-National Archives 1 year after each presidential inauguration (January 20). Transfer all additional information regarding the photograph, eg., the.name of photographer or source and any copyright restrictions, with the records.
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- b. Member personnel files.
Records. pertaining to backgrounds of board members, -
I with information on their activities during their membership on-board. ,
Disposition: Cut off when member leaves board.
Destroy.1 year after cutoff.
- 3. Administrative Files.
Records-relating to operating procedures, oversight reports, meeting plans, and. current activities of board.
Disposition: Cut off at end of calendar year.. Destroy 10 years after cutoff,
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- 5. National Preparedness Directorate o
B. Office of Mobilisation Preparedness, Mobilisation Resources Division L
z 1. FEMA Multivear.,, Civil Defense Working Files.
Files containing background and current information on the multiyear plan.
Disposition: Destroy when no longer needed. !
f
- 2. Nation,a1-Security Council Studies.
L
' Copies of classified studies and research reports-conducted and prepared by the National Security Council i on civil defense. ,
o Disposition: Destroy when no longer needed.
- 3. Research Reports Indices.
Bibliographies, lists, and indices of other agencies or contractor reports on civil defense.
Disposition:~ Destroy when superseded or obsolete.
- 4. Integrated Emergency Management System (IEMS) Files.
Working papers and reports accumulated in FEMA joint j activities related to IEMS'.
Disposition: Destroy when superseded or obsolete. '
5.. Priority and Allocation Files.
General correspondence wit'h federal agency and private
-industry officials concerning policy guidance on.the-
- application of the Defense Production Act, Title I, which includes priority and allocation authorities for national defense >and related needs. Volume
- 2 cubic feet; annual rate of accumulation: 1 inch, s
Arranged alphabetically by subject.
- (.
' s-Disposition: PERMANENT. Cut off at end of fifth calendar year. Transfer directly to* National Archives 20 years after cutoff.
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- 6. Emergency Mobilization Preparedness Planning Document '
Files.
a.- Documents on the development of plans,' including I
' background information and department / agency: comments on-proposed drafts.
Disposition: Destroy when superseded or obsolete, i
- b. Final plan documents, including lists of possible emergency measures, authorities, implementing documents, lists of responsible agencies, and-checklists of emergency-related actions'. Volume: 3 cubic feet; annual rate of accumulation: 3-4 inches.
Arranged chronologically.
Disposition: PERMANENT. Cut off at end of calendar-year. Retire to FRC 3 years after cutoff. Transfer to National Archives in 5-year-blocks 20 years after cutoff.
- c. Presidential Emergency Action Documents (PEAD).
'{
Final drafts of presidential messages, proposed legislation, proclamations, and other formal documents, p including DOJ-issued cover sheets addressed to the L president, to be issued in= event of atpresidentially declared national emergency. Volume: less than.1.
cubicLfoot; annual rate of accumulation: 1 inch.
Arrang?d alphabetically-by type of emergency. '
t Disposition: PERMANENT. Cut off when superseded or g obsolete. Transfer directly.to National Archives in 5-L year blocks 20 years after cutoff.
- 7. Defense Priorities System (DPS) Files.
Correspondence with federal agencies'on the use of the DPS for materials and equipment, transport, and. energy for national defense. Volume: 2 cubic feet; annual rate of accumulation: 1 inch.
Arranged alphabetically by subject.
Disposition: PERMANENT. Cut off at end of fifth calendar year. Transfer ~directly to National Archives 20 years after cutoff.
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Defense Materials System Files.
Record set of documents on_ Defense Production Act, Title 101(a) and (b), program determinations and quarterly requirements-for materials and related policy
-correspondence and memoranda. (NN-171-167, item 101)
Volume: 1 cubic foot; annual rate of accumulation: 1 inch.
Arranged chronologically..
Disposition: PERMANENT. Cut.off at end of fifth I calendar. year. Transfer directly to National Archives 20 years after cutoff.
- 9. Domestic Energy Supply Maximization Files.
Record set of documents on the development of the Defense Production Act, Title 101(c), priorities program for energy and related policy guidance.
Volume: 2 cubic feet; annual-rate of accumulation: 1 inch.
Arranged alphabetically by subject.
Disposition: PERMANENT. Cut off at and of fifth calendar year. Transfer'directly to National Archives'
- 20. years after cutoff.
- 10. Industrial Capability Expansion Files.
Correspondence with federal agency and private industry officials on the analysis and development of Defense Production Act, Title III, projects for national defense needs. Volume: 1 cubic foot; annual rate of accumulation:' 2 inches.
Arranged alphabetically by name of project.
Disposition: PERMANENT. Cut off at end-of fifth calendar year. Transfer directly to National Archives 20 years after cutoff.
- 11. Machine Tool Trigger Order Program Files.
Policy guidance and correspondence with federal agency officials and machine toolmakers on the development of and participation in this Defense Production Act, Title III, program, including standby agreements. Volume: 1 cubic foot; annual rate of accumulation: 2 inches.
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, Arranged chronologically.
L Disposition: PERMANENT. Cut off at end of fifth' L calendar year. Transfer directly to National Archives i L 20 years after cutoff,
- 12. Voluntary Agreement Files.
1 Correspondence with federal agency and private industry' officials concerning Defense Production Act, Section '
708, antitrust immunity extended to participants in
.such agreements found to be necessary-to national defense. (NN-171-167, item Sc) Volume: 4 cubic feet; annual rate of accumulation: 2 inches.
Arranged alphabetically by subject.
t Disposition:. PERMANENT.- Cut off at end of fifth calendar. year. Transfer directly to National Archives 20 years after cutoff. ,
- 13. Proposed Defense Production Act Legislation Files.
"f' Legislative history files relating to the-preparation-
'(' and coordination of proposed Defense Production Act legislation by FEMA and comments on proposed Defense Production Act amendments in Congress.
Disposition: Cut off at end of fifth calendar year.
Retire to FRC 5 years after cutoff. Destroy 20 years after cutoff.
- 14. DPA Congressional Hearing Files.
Correspondence with Congress,. FEMA testimony, and r briefing materials on issues in the hearings.
Disposition: Cut off at end of fifth calendar year, i
Retire to FRC 5 years =after cutoff. . Destroy 20 years after cutoff.
- 15. Executive Order 10480 (Administration of Defense Mobilization Program) Files.
Correspondence with federal officials on the administration of the Defense Production Act and revisions of E.O. 10480. Volume: 1 cubic foot; annual rate of accumulation: 1 inch. ,
1 4
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( Arranged chronologically.
i 1
Disposition: PERMANENT. Cut off at end of fifth i calendar year. -Transfer directly to National Archives- l 20: years after cutoff.
.1
- 16. Legislative History Files.
Correspondence and reports relating to the preparation and coordination of proposed legislation' submitted to OMB and Congress.
Disposition: Cut off at_end of fifth calendar year._
Retire to FRC 5 years after cutoff. Destroy 20 years q after cutoff. ,
- 17. Non-industrial Facil3 ties Files. '
Correspondence between U.S. Army Corps of Engineers =and
,, FEMA headquarters and regions on the use of ncn- a industrial facilities (e.g., hotels, motels, and resort areas) in caselof a declared national' defense
( emergency._ Volume: 1 cubic foot; annual rate of accumulation: 1 inch.
Arranged' chronologically.
Disposition: PERMANENT. Cut off at and of fifth calendar year. Transfer directly to National Archives 20 years after cutoff.
- 18. Emergency Water Planning Files.
Correspondence and reports between U.S. Army Corps of Engineers, EPA, USDA, DOC,' DOI, and DHUD officials.and FEMA headquarters and regional office officials on-emergency water planning resources essential to effective mobilization and response. (NN-171-167, item 8g) ' Volume: 1 cubic foot; annual rate of accumulation: 1 inch.
Arranged chronologically.
Disposition: PERMANENT. Cut off at end of fifth calendar year. Transfer directly to National Archives 20 years after cutoff.
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National Preparedness Directorate C. Office of Mobilisation Preparedness, National Defense Stockpile Division i
-1. Barter Files.
y Reports, correspondence, and other documents pertaining .
to meetings, memoranda of understanding, b,arter. I procedures, and other barter-related activities under the National Defense Stockpile (NDS) Program. (NN-171- -
167, item 10a) i '
Disposition: Destroy when no longer needed.
- 2. Commodity Case Files. '
Correspondence, memoranda, and other documents on -
decisions relating to the storage and disposal of critical and strategic materials compiled under thetNDS -
Program. (NN-171-167, item 10b) Volume: 12 cubic feet; annual' rate'of accumulation: 1 cubic foot. '
c l/ Arranged alphabetically by commodity and. thereunder-
- ( chronologically.
Disposition: PERMANENT. Transfer to FRC when space requirements and frequency of use dictate.- Transfer to: j National Archives in 5-year blocks when 20 years.old.
. sg
- 3. Substitution Rate Files. ~
Correspondence, reports, and other documents on '
substitution rates forimaterials and studies of potential substitutes for current critical and strategic materials.
J Disposition: Destroy when no longer needed.
- 4. National Defense Stockpile Goals Files. i
- f. Documentation on calculations.and methodologies relating to the National Defense Stockpile, including records on development policies and procedures and a listing of the latest goals calculations. (NN-171-167, item 10f) l(, a. Final goals studies. Volume: 3 cubic feet; annual b rate of accumulation: less than 1 cdbic foot.
a
j-64 Arranged alphabetically by commodity.
Disposition: PERMANENT. Retire to FRC 5 years after
}
study is issued. Transfer to National Archives in 5- i year blocks-20 years after study is issued.
i i
- b. Goals case files. H Disposition: Destroy when information is incorporated into final goals studies. g i
- 5. Stockpile Study Files.
l Classified correspondence, reports, and other documentsi i regarding t.he current stockpile study on the quality of stockpiled materials.
l
- a. Final stockpile studies. Volume: 1 cubic foot; annual rate of accumulation: less'than 1 cubic foot. -j Arranged chronologically.
Disposition: PERMANENT.- RetireL to FRC 5 years after study is completed. Transfer to National Archives in
.{. 5-year blocks 30 years after study is completed.
- b. Stockpile study case files.
Disposition: Cut off every 5 years. Destroy 10 years after cutoff.
- 6. Stockpile Management Files.
Correspondence, internal reports, and other documents concerning stockpile storage depots housing NDS materials, including locations, selection criteria,.
materials, and other data pertinent to the management of NDS.
Disposition: Cut off every 5 years. Destroy 10 years after cutoff.
- 7. Annual Materials Plan ( AMP) Files.
Classified correspondence and documents developed in support of the AMP program, which is designed to avoid disruption of supplies of critical materials in time of
. f.
emergency, as required by the Stockpile Act, including
(. market studies, revisions, disposal legislation, approvals, and other data, which are incorporated in reports to Congress. ,
. . -. . - - . - - - = . . . . - . -
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- a. Annualfmaterials plans. Volume: 10 cubic feet;
\
annual rate ofLaccumulation: less than 1' cubic foot.
E u . Arranged chronologically.
i
-l Disposition: PERMANENT. Retire to'FRC 5 years after-plan is issued. Transfer to National Archives in 5 -
4: 1 year blocks 20 years after plan is issued.
- b. AMF background material. .
l Disposition:- Destroy 10-years after~ plan is issued. ;
d 8. Defense Production Act'(DPA), Title III, Files, i
' Correspondence and reports pertaining to DPA project proposals,' including background data and studies performed,
- a. Final reports. Volume: 1 cubic foot; annual rate-5 of accumulation: . less than 1 cubic foot. ,
Arranged chronologically.
I:
Disposition: PERMANENT. Retire to FRC 2 years after ,
final report is issued. Transfer to National Archives '
in 5-year blocks 20 years after final report is issued.
- b. Correspondence and background data.
Disposition: Destroy'10 years after final report is l
1ssued.
- 9. Materihls Release Files.
Correspondence, technical studies, and other documents on the release of stockpiled materials, including official documents authorizing such releases. (NN-171-167, item 10e)
- a. Final recommendations and release documents. "
Volume: 1 cubic foot; annual rate of accumulation:
j less than 1 cubic foot.
Arranged chronologically.
Disposition: PERMANENT. Retire to FRC 2 years after final recommendation is made. Transfer to National f Archives in 5-year blocks-20 years after final
-( -
recommendation is made. .
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- b. Correspondence, technical studies, and other ;
background materials.
Disposition: - Destroy'10 years after final '
recommendation is made.
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- 5. National Preparedness Directorate D. Office of Operations, Planning Division
- 1. Development and Planning Flies. ,
.i Documents relating to the development and planning.of concepts and programs relating to the policies and-
~ systems design and^ operation of continuity of government systems. Volume: 16 cubic feet; annual rate of accumulation: 1 cubic foot.
-Arranged by subject.
Disposition: PERMANENT. Cut off at and of calendar.
Transfer directly to National Archives 20-years after cutoff.
2.. Coordination Files.
- Documents relating to the coordination of continuity'of government plans and programs with other federal
-departments and agencies.
Disposition: Destroy when superseded or obsolete.
- 3. Federal Preparedness Guidance Document Files.
Background papers on department / agency comments on the ;
development of federal preparedness guidance documents.
Disposition: Destroy when no longer needed.
- 4. Executive Order 11490 Files. '
Files consisting of departmental and agency comments on proposed drafts of amendments to federal emergency management executive orders.
Disposition: Destroy when superseded or obsolete, w
- 5. Legal Authorities Database.
Files consisting of the full range of legal authorities available to the U.S. government in emergencies and
- l. relating to the coordination of the computerization and
\-
maintenance of a retrieval system.
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Disposition: Destroy when information entered on database.
- b. Electronic records.- -
Disposition: Erase and reuse tape when information is no longer needed. '
. 6.. Federal Resource Assessment System (FRAS)-Files,
- a. ' Files consisting of minutes of meetings and correspondence among participating agencies and
. interested parties to review federal preparedness
- programs.
Disposition: Destroy;when superseded or obsolete.
- b. FRAS technical information.
Disposition: Destroy when superseded or obsolehe.
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- 5. National Preparedness' Directorate y l' E. Office of Operations, f Readiness Division l.., .
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- 1. Federal Coordinating Officer (FCO) Digests.
Daily digest for the FEMA director and other agency ;
o f,
officials describing major disaster declarations, f accidents, incidents, and other emergency / crisis situations.
- Disposition: Cut off files at the end of calendar year. Retire to FEMA records holding area 1 year after cutoff. Destroy 5 years-after cutoff.
l
- 2. Emergency Action Officer (EAO) Logs.
Log used for' recording each event and action taken'by l a
the EAO. '
CJ Disposition: Destroy when 5 years old.
- 3. Situation Summaries.
- Consecutively numbered notices providing dates, locations, contract' numbers, and counties involved in state major disaster declarations.
Disposition: Destroy when 3-years old.
- 4. Items of Interest Notices.
Status summary notices detailing the.various requests by each state for a major disaster declaration as well
- as other information on major accidents and weather information.
Disposition: Destroy when 3 years oid.
3
- 5. Exercise Files.
Documentation on each FEMA exercise, including plans, evaluations, and related comments, submitted by ,
p participating agencies.
(, ' a. Plans, with scenarios, and evaluatica reports.
%' volu.ne: 16 cubic feet; annual rate of accumulation: 1 cubic foot.
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Arranged by exercise. ,
Disposition: PERMANENT. Tranafer directly.to National Archives when 30 years old. .,
..b.- TTY (teletype) messages-and supporting material.
Disposition: Destroy when no longer needed.
- 6. Continuity of Government Orientation and B'riefing Files.
Charts, slides, viewgraphs, and videotapes for briefing-the-15 incoming successors to the president of the United 19.
States as listed in the 25th Amendment and 3 USC Disposition: Destroy when superseded, obsolete, or c longer needed.
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- 5. National Preparedness Directorate l F. Office of Operations, . I Federal Agency Support and Coordination Division. '
- 1. Training Files. l l,
Documents relating to the assignment and identification of training requirements. ,
Disposition: ' Destroy when superseded or obsolete.
- 2. Interagency, Working Group, and Task Force Files.
Correspondence, memoranda, and reports prepared in association with National Preparedness Directorate interest in such activities.
Disposition: Destroy when no longer needed.
- 3. Personnel-Roster Files.
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[. Records relating to identification of personnel and
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other resource requirements for FEMA's civil emergency response activitiesiand a listing of. key agency emergency personnel.
. Disposition: Destroy when superseded or obsolete.
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- 4. Operational Response Procedures'(ORP) Files.
Interagency working papers and formal documents with the Nuclear Regulatory Commission and other federal
- departments and-agencies on civil emergency response activities between each agency !
Disposition: Destroy when superseded or obsolete.
- 5. Federal Response Plan Files.
Working papers which pertain to special event activities in coordination with other federal agencies, t
Disposition: Destroy when superseded or obsolete.
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- 6. Emergency Support Team / Emergency Response Team Files.
Documents which pertain to FEMA's internal readiness response program as outlined >in FEMA Manual 8720.1, Emergency Response Team Planning.
Disposition: Destroy when superseded or obsolete.
- 7. Exercise Case Files. .
Reports, messages, memoranda, and related records pertaining to each exercise performed by FEMA.
Disposition: Destroy when 10 years old or when information has been incorporated into a current exercise case file, whichever is sooner.
- 8. Classified Documents from Other Agencies.
Classified documents, reports, etc. received from other federal agencies.
Disposition: Destroy when superseded or obsolete.
- 9. Project and Policy Files.
Correspondence containing basic-documentation on systems requirements, standard operating procedures, operation plans, and plans related to; continuity of government program. Volume: 9 cubic feet; annual rate of accumulation: less than'l' cubic foot.
Arranged alphabetically by subject.
Disposition: PERMANENT. Cut off at end of calendar year. Transfer directly to National Archives 20 years after cutoff.
- 10. Training Master Files.
- a. Documentation on all courses developed, including general training plans, instructor guides, and related records.
Disposition: Destroy 5 years after discontinuance of specific training program.
k b. Registrar files containing student and related recordr..
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- c. Test files.
. Documents relating to administering-tests for individuals completing training courses.
Disposition: Destroy 2 years after completion of total program training required by individual.
- 11. Permanent Exercise Files. !
Concept and Objectives' Paper, Final Exercise Plan (EXPLAN), Final Pre-exercise Evaluation Plan, Control Staff Instructions (COSIN)/ Master Scenario Events List, and-Final Evaluation Report on each federal preparedness exercise performed by FEMA in conjunction with state and local governments and U.S. military services and NATO forces. Volume: 2 cubic feet; i; annual rate of accumulation: 6 inches. 1 Arranged chronologically and thereunder alphabetically by name of exercise..
Lc Disposition: PERMANENT.
Cut off at end of calendar t year. Ret 1re to FRC 3 years after cutoff. Transfer to-National Archives in 5-year blocks 20 years after ;
cutoff. ~
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- 12. National Security Document Files, j
Reference documents produced by FEMA or the Joint Chiefs of Staff.
1 Disposition: Destroy when superseded, obsolete, or no- 1 longer needed for reference. i
- 13. National Defense Executive Reserve (NDER) General ,
Files.- '
Working papers relating to the administration of the L.. NDER program government-wide, including copies of correspondence, Federal Register notices, and directives. (NN-171-167, item 6s)
Disposition: Destroy when no longer needed.
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14 . - NDER Conference and Training Files.
Training' files of sessions, courses, conferences, E
' teleconferences, workshops, etc. conducted by FEMA and' ,
other agencies with NDER units consisting of conference 'l
.. proceedings, correspondence, memoranda, evaluations, agendas, student rosters, instructors' guides, student :
manuals, and other, materials pertaining to. training for- .
NDER participants and federal NDER coordinators. (NN - !
171-167, item 6s)
- a. Transcripts of proceedings, agendas, and training.
manuals. Volume: 2 cubic foot, annual rate of '
i ,
accumulation: 1 cubic foot.
o Arranged chronologically.
Disposition: PERMANENT.
'of conference or training session.Retire.to FRC at conclusion Transfer to' ,
National Archives 20 years later. "
.b. Training and conference packets and other supporting materials. !
Disposition: Destroy when rio longer needed.
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- 5. National Preparedness Directorate G. Office of Information Resources Management j These files relate to the study, selection, control, use, and maintenance of FEMA information processing '
systems (IS) and eqt.ipment.
- 1. Planning'and Program Files, i j
Documents relating to the development of plans, i policies, and procedures for FEMA information systems '
Gnd programs, including master plans for FEMA i information systems and programs, feasibility studies, '
coordinating documents, IS review and monitoring files, approvals, disapprovals, chartu, diagrams, and similar ;
documents. '
Disposition: Destroy when no longer needed.
- 2. IS Hardware Selection Case Files.
( Documents relating to the planning and preparation of initial acquisition (including selection, evaluation, procurement, and installation) of IS equipment.
l Records inc1'ude agency requirements, vendor specifications for hardware and software, and support )
capabilities of vendors of complete installation of l major peripheral equipment. These are selection i criteria for procurements in the establishment.or modification of IS installations.
Disposition: Destroy 2 years after specific conftguration of equipment is discontinued. l l
l
- 3. Utilization and Maintenance Reporting Files.
Documents containing management data .cn1 the cost, resourcs allocation, utilization, and maintenance of information systems. These files include:
- a. Reports that operators complete relative to machine {
use or maintenance which are used for daily management !
of operations and are required by the office responsible for general management. These reports include Console Operations Logs, Daily Operations Logs, Oper&tional Report Updates, and related reports.
Disposition: Destroy when 1 year old.
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76 ;
- b. Menthly summaries of cost and utilization reports, some et which may consist of magnetic tapes and machine-readable listings.
Disposition: Destroy when 2 years old, i
- 4. IS Documentation Files. '
Documents containing definitions of the system including functional requirements, data requirements, system / subsystem specifications, requests for tho ,
system, and authorizing standard operating procedures. :
Disposition: Destroy 1 year after discontinuation of system.
t i
- 5. Systems Test Documentation.
' Descriptive material including test plans and test analysis reports.
- Disposition: Destroy 1 year after discontinuation of ;
system. ,
- 6. User Guides. !
H.*A;/ books, guides to data availability, and procedures for querying files. These files contain information which sufficiently describes the system so that users .
can determine its applicability.
Disposition: Destroy 1 year after discontinuation of system.
- 7. IS Test Files.
Documents relating to the testing of equipment and/or data processing methods and procedures and to the trial ,
application of existing or proposed data processing systems. Included are requests for tests, approvals or disapprovals, test reports, and communications relating to the tests Disposition: Destroy 3 years after discontinuation of system n '
l
O l
t 77 l
- 8. IS Manacement Reporting Files.
- a. Documents containing management data costs, i equipment, staffing, workload capacities, and overall j effectiveness of ADP operations and documents used to !
evaluate rental, purchase, operation, and maintenanco i costs. Included are reports, briefs, and related ;
information. I Disposition: Destroy when 15 years old. -
f
- b. Feeder reports.
Disposition: Destroy 2 years after summarization. ;
- 9. System operation Specification and Design Files, i Documents consisting of detailed operating procedures ;
for the implementation of a specific data system.
Included are policies, instructions, details of computer techniques, flow charts, logic tables, j '
input / output document flow data, and similar operating .
instructions.
l;
( Disposition: Destroy when related by the systems have been erased.
ADP records produced 1^. Ti"?. ini;;.;ti;n C ;t; Til;;.
A detailed listing of all FEMA's databases (a total of 157) is contained in FEMA Manual 1520.8. This catolog is a complete inventory of the automated data files ed in support of FEMA program offices. The files con n data supplied by other federal agencies having delega emergency management responsibilities on all ,
resources cessary to the defense or, in the event of '
an attack, to e survival and recovery of the United States.
- a. Input data.
Disposition: Delete data ~when longer needed.
- b. Information system database.
Disposition: Destroy after an assistant as late director or above has determined that the info tion-system is no longer required.
( c. Merdeepj reporte. >
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78 i s 't I
Pierreitien: 50:tr:y t:n :: len;;; n :f:d.
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- 11. Emergency Broadcast System (EBS) Files. 1
. Plans, f policy guidance agreements, and studies mutually '
conducted by FEMA and the Federal Communications Commiraion (FCC), including reports generated such as ,
EBS All-station Reports and related reports. (NN-172-42, item COM 3) Volume: 20 cubic feet; annual rate of ;
accumulation: 2 cubic feet. . .
Arranged by subject. {
L Disposition: PERMANENT.
year. Cut off at and of calender Retire to FRC 1 yearc after cVtoffe Transfer-to t
National cutoff.
Archives in 5-year biceka 20 yearn after '
12.
. Radio Amateur Civil Emergency p39%ge,,jR3 PES) Files.
Documents those relating on the management to the NIAC. the RACt3 sygtem including Disposition:'
Destroy when no 1 cager needed.
- 13. Warning Systems Files. ;
\
- a. Planning and policy guidance documents, correspondence, and memoranda reinting to the operation of the various Volume: warning systems under FEMA's charter.
20 cubic feet; cubic feet. annual rate of accumulation: 2 Arranged by subject.
Disposition: PERMANENT.
Cutafteroff atcutoff. end of calendar year.
Retire to FRC 1 year Nation 1 Archives in 5-year blocks 20 years Transfer cutoff.
after to b.
Survey and study papers accumulated to determine warning capability, including names of volunteer
'3 wideband radio listeners, and lists of custodians of DIDS receivers.
I g Disposition:
Destroy when superseded or obsolete,
!( c.
Locator maps depicting the location of warning points throughout the United States.,
l l
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Disposition: Destroy when superseded or obsolete.
- d. Equipment inventories. I Disposition: Destroy when superseded or obsolete.
- 14. Communications Systems Files.
Documents relating to maintenance (engineering),
installation, test, and evaluation activities. ,
Disposition: . Destroy when superseded or obsolete. i I
- 15. COMSEC Files.
- a. Correspondence, memoranda, and other related I material pertaining to the routine supply of COMSEC l material.
Disposition: Destroy when 2 years old. '
- b. Daily inventory files.
(
t Documents reflecting daily inventories of accountable !
COMSEC material which are conducted at the end of each workday and/or between shifts. [
Disposition: Destroy when 2 years old. '
- c. COMSEC accounting files.
Documents reflecting the receipt, possession, inventory, transfer, destruction, and relief from i
accountability for accountable COMSEC material.
Disposition: Destroy 6 years 3 months after documents are downgraded, transferred, or destroyed.
{
- d. COMSEC facility approval files.
Requests for approval to establish, alter, expand, or relocate a secure communications center. Included are questionnaires, report of approval, and related papers.
Disposition: Destroy 2 years after facility is deactivated or approval for a new facility is granted.
- e. COMSEC facility inspection reports.
( Inspection reports and related correspondence. ,
1
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.~- ., - - . _ . - . .. .- -. .-- -. -
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80 Disposition: Destroy after receipt of related superseding inspection report or after account is '
closed.
j
- f. .COMSEC security investigation reports.
. . i Message reports and related correspondence on !
violations of physical, cryptographic, and personnel l security, and reports of investigation concerning the '
loss or compromise of COMSEC material. !
Disposition: Destroy when 5 years old or after case has been adjudicated if a felony is involved, whichever is later.
- g. Courier, mail, and package receipts.
l 1
All receipts for COMSEC-related mail and packages are included. j 1
, Disposition: Destroy when 1 year old.
- h. COMSEC briefing / debriefing statements.
Disposition: Cut off at end of calendar year.
I 15 years after cutoff. Destroy
{
- 16. Micrographics Inventory and Request Files.
Documents relating to thq inventorying and creation of {
j security-classified micrographics systems. l Disposition:
longer needed.
Destroy when updated, superseded, or no I
1 i
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