GRS 2.6 Employee Training Records

This file contains three documents. The Draft Schedule is the proposed text of the new GRS in publication format. The Draft Appraisal Memorandum provides additional background explanation and includes the appraiser’s justification for the retention decisions proposed in the schedule. The Crosswalk provides additional help in schedule implementation.

Document Page

Draft Schedule ........................................................2

Draft Appraisal Memorandum ................................4

Crosswalk to old GRS .............................................8

National Archives and Records Administration Office of the Chief Records Officer

GRS TeamXX , 2015

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Draft ft Appraisal Memorandum Appraisal Memoran ........

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Date: April XX , 2015 Appraiser: Katherene Kim, ACNR Agency: General Records Schedules (GRS) DRAFTSubject: 2.6 Employee Training Records

INTRODUCTION

Schedule Overview Employee Training Records

Additional Background InformationThis schedule provides disposition authority for employee training records. This schedule includes federally mandated training, and training to improve an individual’s performance or professional development. Government employee training is regulated by the Government Employees Training Act (GETA) of 1958 and codified in Chapter 41 of title 5, United States Code (5 U.S.C. 4101- 4119). Federal agencies must report training data to the Office of Personnel Management (OPM). OPM’s authority to collect and require agencies to report training data is found in section 4115 of title 5, United States Code and section 410 of title 5, Code of Federal Regulations.

Employee training records were originally scheduled in three different locations in the GRS: GRS 1 Civilian Personnel Records, GRS 21 Audio Visual Records, and GRS 25 Ethics Program Records. In addition, the old GRS made a distinction between agency training and external (other agencies or private) training. The new schedule has been drafted to reflect the functions of developing and administering a training program. This schedule consolidates the training records that were originally separated due to format (Audio Visual Records) or content (Ethics Training Program Records). Two new items have been added: Course development records –specifically excluded from GRS 1, 29a and only partially covered by GRS 21--and records of individual employee training received from the employee’s home agency (the previous GRS only covered records related to training programs sponsored by other agencies or outside institutions). This schedule replaces GRS 1 Civilian Personnel Records, items 29a1, 29a2, 29b; GRS 21 Audio Visual Records, items 3, 9, 14, 19; and GRS 25 Ethics Program Records, items 8a, and 8b.

During a 2012 GRS survey, we received comments from agencies requesting the GRS include law enforcement training. Our research into Law Enforcement Officer (LEO) training revealed these records had very specific requirement for firearms training. In addition, specialized law enforcement school or academies are required to be accredited by the Law Enforcement Training Accreditation (FLETA) Board. Accreditation and firearms training records require specific retention periods based on an agency’s accreditation process, 12 and the length of the LEO’s service.

1 While FLETA does not set records disposition for accreditation records, they recommend agencies “to retain accreditation records until the academy or program has been reaccredited” FLETA website (retrieved 02/15/2015 https://www.fleta.gov/faq/how-long-should-we-maintain-our-fleta-accreditation-materials) 2 N1-087-09-003 (DHS schedule for Secret Service accreditation records)

DRAFTrecords. Th

individuais regulated by t

n Chapter 41 of title report training data to the

y to collect and require agencies td States Code and section 41

scheduled in three1 Audio Visual Recor

old GRS made a distinction between vate) training. The new schedule has

dministering a program. Tnally separated due to format

rogram Records). Two new items hacally excluded from GRS 1, 29a and

dividual employee training received frovered records related to training

schedule replaces GRS 1 CRecords, items 3, 9, 1

2012 GRScement rds

4

In addition, firearms training requires a substantially longer retention period due to the Law Enforcement Officer Security Act (LEOSA) of 2004, which allows qualified LEOs (including retired LEOs), to carry firearms nationwide3. Examples of the longer retentions can be found in the Federal Law Enforcement Training Center (FLETC) and the Federal Law Enforcement Training Accreditation (FLETA) Program schedules. FLETC, the largest single provider of law enforcement training for the federal government4, retains student and class files (N1-056-02-2, item 2a) for 40 years “to ensure records are maintained for an officer’s entire career.” FLETA has disposition instruction for course material (DAA-0478-2012-0002, item 2) to “cut-off upon creation of new training material…Destroy 20 years after cut-off.” The justification for this retention is to “track the training of law enforcement personnel and evaluate the program over time.” Since this training is not sufficiently common throughout the Federal government and requires a relatively long retention, we chose not to include LEO training. However, this does not mean 2.6 cannot be used by law enforcement agencies for routine, mandatory training or any other training not related to their specific profession.

Agencies also requested the GRS cover Learning Management Systems (LMS) or other on-line training programs. Instead of scheduling the system, NARA recommends agencies schedule the data or information in the system. The majority of information contained in a LMS fall under the current GRS. Course content, class tracking, individual development plans, and data reporting are covered by GRS 2.6. Financial information related to paying for courses, purchasing of course material, paying outside vendors, or travel for training, is covered under GRS 1.1.

NARA developed this schedule with assistance from The Library of Congress, Health and Human Services, National Archives and Records Administration, and the National Aeronautics and Space Administration.

Overall RecommendationI recommend approval of the attached schedule.

APPRAISAL

Item 0001 (GRS 2.6, item 010): : Employee Training Program Records: Ethics trainingProposed Disposition: TemporaryAppropriateness of Proposed Disposition: Appropriate Appraisal Justification: * Has little or no research value. These records are administrative in nature.* Previously scheduled as temporary. GRS 25, item 8a (N1-GRS-01-1 item 8a)

3 Public Law 108-277, 108th Congress (retrieved 12/05/2014 from http://www.gpo.gov/fdss/pkg/PLAW-108publ277/pdf/PLAW-108publ277.pdf), Bureau of Alcohol, Tobacco, Firearms and Explosive, press release 07/27/2004 (retrieved 12/05/2014 from https://www.atf.gov/press/releases/2004/07/072404-atf-law-enforcement-safety-act.html) 4 GAO-06-815 (retrieved 11/13/2014 http://www.gao.gov/products/GAO-07-815)

DRAFTtif

uate the Federal go

training. r r utine, mand

Management Systems (LMS), NA A recommends agencie

jor formation contained in a Lng, individual deation related to par travel for training, is

schedule with assistance from The Lational Archives and Records Admin

ion.

l Recommendationecommend approval of the attached sc

RAI

001 (GRS 2.6, Dd Dispositioiatenessl Ju

5

Adequacy of Proposed Retention Period: Adequate from the standpoint of legal rights and accountability. There has been no change in the retention of these records. Records must be maintained a minimum of six years per the Office of Government Ethics (OGE). Media Neutrality: Approved

Item 0002 (GRS 2.6, item 011): Employee Training Program Records: All other training.The old GRS only covered general files of agency-sponsored training. The new GRS has expanded this item to include employee training program records more generally and has combined it with working papers and background materials. Proposed Disposition: TemporaryAppropriateness of Proposed Disposition: Appropriate Appraisal Justification: * Has little or no research value. These records are administrative in nature.* Previously scheduled as temporary. GRS 29a1 (NC1-64-77-10 item 30b1), GRS 29a2 (NC1-64-77-10 item 30b2), GRS 1, item 29b, (NC1-64-77-10 item 30c) Adequacy of Proposed Retention Period: Adequate from the standpoint of legal rights and accountability. There is no substantial change to the retention of these records. The previous retentions for these records were 5, 3, and 5 years respectively. The shortest retention of the three items was deemed appropriate for these records, as agencies are authorized to keep records longer if they have a business need to do so. Media Neutrality: Approved

Item 0003 (GRS 2.6, item 020): : Course Material: Ethics course material.Proposed Disposition: TemporaryAppropriateness of Proposed Disposition: Appropriate Appraisal Justification: * Has little or no research value. These records are administrative in nature.* Previously scheduled as temporary. GRS 25, item 8b (N1-GRS-01-1 item 8b) Adequacy of Proposed Retention Period: Adequate from the standpoint of legal rights and accountability. There is no change to the retention of the records. Media Neutrality: Approved

Item 0004 (GRS 2.6, item 021): Course Material: All other course material.Proposed Disposition: TemporaryAppropriateness of Proposed Disposition: Appropriate Appraisal Justification: * Has little or no research value. These records are administrative in nature.* Previously scheduled as temporary. GRS 21, item 3 (NC1-GRS-81-9, item I-3), GRS 21, item 9 (NC1-GRS-81-9, item III-1), GRS 21, item 14 (NC1-GRS-81-9, item IV-1), GRS 21, item 17 (NC1-GRS-81-9, item IV-4) Adequacy of Proposed Retention Period: Adequate from the standpoint of legal rights and accountability. No substantial change in retention. All superseded authorities’ state "destroy 1

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tem 30ce from the standpoint of l

the retention of these recordspectively. The shortest retent

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item 020): : Course Material: Ethi

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ustification: ttle or no research value. These recor

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6

year after completion of training program." Agencies are authorized to keep records longer if they have a business need to do so. Media Neutrality: Approved

Item 0005 (GRS 2.6, item 030): Individual Employee Training Records.Proposed Disposition: TemporaryAppropriateness of Proposed Disposition: Appropriate Appraisal Justification: * Has little or no research value. These records are administrative in nature.* Similar records have been consistently scheduled as temporary5

Adequacy of Proposed Retention Period: Adequate from the standpoint of legal rights and accountability. The six-year retention matches the minimum number of years employees need to keep certificates of completion, or verification they had received and completed ethics training Agencies are authorized to keep records longer if they have a business need to do so. Media Neutrality: Approved

5 N1-060-10-032, item 1 (DOJ); N1-065-09-010, item 2 (FBI); -545-08-023, item 3, item 6 (GIPSA); N1-425-04-001, item 5 (Treasury)

DRAFTnt of le

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Item No. Retention

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Item No. Retention Disposition Authority

2.6 010 6 years DAA-GRS-XXXX-0001 25 8a 6 years N1-GRS-01-1 item 8a

2.6 011 3 years, or when superseded DAA-GRS-XXXX-

0002

1 29a1 5 years old, or 5 years after completion of program NC1-64-77-10 item 30b1

1 29a2 3 years NC1-64-77-10 item 30b2

1 29b 5 years old, or when superseded NC1-64-77-10 item 30c

2.6 020 6 years, or when superseded or obsolete

DAA-GRS-XXXX-0003 25 8b 6 years old, or when

superseded or obsoleteN1-GRS-01-1 item 8b)

2.6 021 1 year, or when superseded

DAA-GRS-XXXX-0004

21 3 1 year NC1-GRS-81-9, item I-3

21 9 1 year NC1-GRS-81-9, item III-1

21 14 1 year NC1-GRS-81-9, item IV-1

21 17 1 year NC1-GRS-81-9, item IV-4

2.6 030 6 years, or when superseded DAA-GRS-XXXX-

0005 New Item

DRAFTTr when when ed or obsoleted or obsolete

N1-TTTTear ar NC1-GRS

FTTTT1 year 1 y NC1-GRFTTTFT11 14 1 year year FFFTTTAFAFT

21 171 1 yearear

AFAFAFAFAFAAFAFRS-XXXX-055 AAAFAFAFAFAFRARARARA

8