GRS 2.6 Employee Training Records DRAFT

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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 Team XX , 2015

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Th is sche dule cov e rs re co rd s re lat e d t o t h e de sign, de ve lo pme n t and i m ple m e n ta ti o n o f e m pl o ye e t raining pro gram s w it h in F e de ral ag en cies. Th is sch e d u le include s age n cy sp o n so re d t raining and tr aining re ce iv e d fr om o the r ag e n cie s o r o the r inst it ut io ns and pri vat e v e ndo rs . Th is s che dule do e s n o t include spe cialize d t raining f o r fire arm s, h e alt h and saf e ty , na ti o n al de fe nse , se nio r e xe cut iv e s, o r po lit ic al appo int ee s. T h is sche d ule aligns w it h t h e Offic e o f P e rs o nne l M anage m e nt (O P M ) Guide t o Pe rso nne l Re co rdk e e p in g and Guide fo r Tr aining M at e rial. Re co rds cre at e d o r r e ce iv ed by O P M fo r t h e purp o se o f o ve rse e ing e m ploy e e t ra ining in Fe de ral age n cie s ar e no t c o ve re d by t h is s che d u le and sho u ld be sche dule as o n O P M sch e dule . Ite m R ec o rd s D esc ri pt io n Disp o sitio n In stru ct io n Disp o sitio n Au th o rit y 0 10 Em pl oy ee T ra ini ng Pr ogr am R ec o rd s. Re co rds relat ed to th e planning, asse ss me nt , adm inist rat io n and e valuat io n o f a pr o gra m . R e co rds m ay include lo gist ics and coo rdinat io n o f a t raining e ve n t o r co nfe re n ce. x o rganizat io n al, o ccupat io n al, and e m ploy e e needs ass e ss m e nts x age n cy ’s e valuat io n o f t h e ir tr aining pro gra m x strategic

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o rts abo u t agenc y e m pl o ye e t raining x e m pl o ye e t raining st at is ti cs x backgro und and w o rking p ape rs x av ailability o f training and s chedule o f c o urses x re que st s f o r tr aining fo rm s (SF 1 8 2 ) x registrati o n f o rm s, class rosters, verifi cati o n o f tr aining. x evaluati o n s o f c o urse s, inst ructo rs, and/ o r deliv er y m e th o d No te : Financial re co rds r e la te d t o purchas e o f o r tr av e l fo r t raining are sche dule d unde r GRS 1 .1 , 0 1 0 . Ethi cs t rai ni n g. Super sedes : G R S 2 5 , i tem 8a (N 1-G R S- 01-1 i te m 8a ) Te mp o ra ry . Destr o y wh en 6 yea rs ol d . D AA-G R S-20 15 -X X XX -00 01 01 1 A ll other t rai ni ng. Super sedes : G R S 1, i te m 29a 1, (N C 1 -6 4- 77-10 i te m 30b 1 ) G R S 1, i te m 29a 2, (N C 1 -6 4- 77-10 i te m 30b 2 ) G R S 1, i te m 29b , (N C1- 64-7 7 -1 0 i te m 3 0 c) Te mp o ra ry . Destr o y wh en 3 y e ar s ol d or wh en supe rse d e d , but lo nge r retenti o n is au tho rized if re quire d fo r busine ss use D AA-G R S-20 15 -XXX X-0 0 0 2 0 20 Co u rse M ate ri al s. R e co rd s related to th e creati on of tr aining m at e rial. Re co rds m ay include : x re fe re nc e and w o rk ing file s o f curr e n t c o urse Ethi cs C o ur se s m ateri al . R e co rd co p ie s o f i n st ru ct io n al m ate ri al u se d to pr o vid e e m ploy ee e thics t raining and e ducat io n. Te mp o ra ry . Destr o y wh en 6 yea rs ol d , or wh en su p e rsed ed or ob sol e te , D AA-G R S-20 15 -X X XX -00 03 elated to ted to

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pe rs nd s che dule o f c o urse s f co u rs e s g f o rm s (S F 18 2) fo rm s (SF 1 m s, class ro sters, verifi cati o n o f s, c la ss r o st e rs , v e ri fi ca ti o n o o n s o f c o urse s, inst ructo rs, and/ o r o f c o urse s, inst ructo rs, an ry m e th o d re co rds r e la te d t o purchas e o f s r e la te d t o purchas are sche dule d unde r GRS sche dule d unde r G

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A ll other t rai ni ng. A ll ot her t rai n Super sedes : edes : GRS 1 , i te m GRS 1 , i te m GRS 1 , i t GRS 1 , i t GRS RS

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conten t x p resen tati on s x age n cy de ve lo pe d tr aining m at e rial x in st ru ctor ’s g u id es or h an d b ook s x syllabi x le sso n plans x class hando ut s x st ude nt home w o rk , assignm e nt s, e xams x cou rs e ma ter ia l ma yb e b e in a va ri ety of fo rmats: film st rips, slide s sho w s, films, vi deo s, m u lti m edia, webinars Exclu sio n 1: Th is doe s n o t i n clude v e nd o r o w ne d m at e rials pr o vide d t h ro ugh o n line t raining sy st em s. Exclu sio n 2: This d o es n o t include specialize d tr aining fo r fir e arms, he al th and safe ty , nat io n al de fe nse , se nio r e xe cut iv e s, o r p o lit ical appo int ee s. Super sedes : GRS 2 5 , it em 8 b (N1 -GRS-0 1 -1 it em 8 b ) whichever is la ter. 0 21 A ll Other C o ur se s Mater ial. R e co rd co p ie s o f i n st ru ct io n al m ate ri al s use d t o prov ide e m pl o ye e t raining. Super sedes : G R S 21 , i te m 3 ( N C 1 -GR S-81 -9 , i tem I-3 ) GRS 21 , it em 9 (NC1 -G RS-81 -9 , i te m III-1 ) G R S 2 1 , i tem 1 4 (N C 1 -G RS -81-9, i tem IV -1 ) G R S 2 1 , i tem 1 7 (N C 1 -G RS -81-9, i tem IV -4 ) Te mp o ra ry . D e str o y 1 y e ar aft e r train in g ev en t, or wh en supe rse d e d , but lo nge r retenti o n is au tho rized if re quire d fo r busine ss use . D A A-G R S-20 15 -XXX X -0 00 4 0 30 In di vi dual E m pl oy ee Tr ai n ing R ec o rd s. Re co rds t h at do cu m e nt t h e act iv it ie s an e m ploy ee has ta ke n r e lat e d to t raining an d de ve lo p m e n t o f j o b skills. Ɣ Indiv idual D ev e lo pme n t P la n s (IDP ) Ɣ m e nt o ring o r c o aching agr e em e n ts Ɣ ce rt ifica te s o f com p le ti o n f o r m andat o ry t raining Ɣ dat a re lat e d t o c o m p le ti o n o f t raining c o urse s or pro gr am Ɣ Co nt inuing Se rv ic e Agre em e n ts (CSA) Exclu sio n 1: Th is d o e s no t include acade m ic tr anscrip ts, pr of essi on al licen se s, or civil s e rvi ce exa m s or do cume nt at io n re la te d to c o m p le ti o n o f re quire d m iss io n-re lat e d t raining such as fire ar m s, la w en forc em en t, h ealth an d s afety in sp ecti on , etc. Super sedes : G R S 1, i te m 29b , (N C1- 64- 77-10 i te m 30c ) (i n p art ) G R S 2 5 , i tem 8a (N 1-G R S- 01-1 i te m 8a ) (i n p art) Te mp o ra ry. Destr o y wh en 6 yea rs old or wh en su p e rsed ed whichever is la ter, but lo nge r re te nt io n is aut h o rize d if r e quire d fo r busine ss use D AA-G R S-20 15 -X X XX -00 05

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es. al m at e rials ma te ri a e t raining. e t raining. NC1 C1 -GR S GR -81 -9, i te m I it -3 ) 9 ( N C 1 NC -GR S GR S -81 -9 , i te m III it e -1) te m 14 ( N C1 -GRS--GRS 81 -9, i tem IV 9, i te -1 ) 21 , i te m 17 ( N C1 it e - GRS-81 81 -9, i tem IV em -4) Te mp o ra ry T . D e str o y 1 y e ar af De training e ve n t, o r w trai supe rse d e d , but supe lo re te nt io n is au eten _require d f quire d f use e . .

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m p loy ee has ta ke n r e lat e d to t raining an d de ve ploy ee has ta ke n r e lat e d to t raining an d de ve t Pla n s (ID P ) hing agr e em e n ts om ple ti o n fo r m andat o ry t raining om ple ti o n fo r m andat o ry t raining d t o c o m p le ti o n o f t raining c o urse s or pro gr am to c o m p le ti o n o f t raining c o urse s or pro gr am uing Se rv ic e Agre em e n ts (CSA) n g S e rvi ce Ag re em en ts (C This d o es no t include acade m ic transcrip es no t include acade m ic transcrip n re la te d to c o m p le ti o n o f re quire d d t o c o m p le ti o n o f re quire d alth an d s afety in sp ecti on , etc n d s afety in sp ecti on 64 -77 7 -10 i t 10 i t 01 01

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Date: April XX , 2015

Appraiser: Katherene Kim, ACNR

Agency: General Records Schedules (GRS)

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Subject: 2.6 Employee Training Records INTRODUCTION

Schedule Overview

Employee Training Records

Additional Background Information

This 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)}

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records. Th

individua is regulated by t n Chapter 41 of title report training data to the y to collect and require agencies t

d States Code and section 41

scheduled in three 1 Audio Visual Recor old GRS made a distinction between vate) training. The new schedule has dministering a program. T

nally separated due to format rogram Records). Two new items ha cally excluded from GRS 1, 29a and dividual employee training received fr overed records related to training

schedule replaces GRS 1 C Records, items 3, 9, 1 2012 GRS cement rds 4

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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 Recommendation

I recommend approval of the attached schedule. APPRAISAL

Item 0001 (GRS 2.6, item 010): : Employee Training Program Records: Ethics training Proposed Disposition: Temporary

Appropriateness 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, 108thCongress (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)}

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tif uate th e Federal go training. r r utine, mand Management Systems (LMS) , NA A recommends agencie jor formation contained in a L ng, individual de

ation related to pa r travel for training, is schedule with assistance from The L ational Archives and Records Admin

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l Recommendation

ecommend approval of the attached sc

RAI 001 (GRS 2.6,

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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: Temporary

* Has little or no research value. These records are administrative in nature.

* Previously scheduled as temporary. GRS 29a1 64-77-10 item 30b1), GRS 29a2 (NC1-64-77-10 item 30b2), GRS 1, item 29b, (NC1-(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: Temporary

* 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: Temporary

* 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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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: Temporary

* 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)

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New GRS 2.6 Old GRS GRS No. Item No. Retention ERA Number/ Disposition Authority GRS No. 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 obsolete N1-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

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