ML20247L640

Declaration of Ve Adler.* Discusses Purpose of Purchase Order Issued to Theodore Barry & Assoc.Documents Confirming Scope of Work & Proposed Exercise Program Manual Encl.W/ W/Certificate of Svc.Related Correspondence

ML20247L640
Person / Time
Site:	Seabrook
Issue date:	05/21/1989
From:	Adler V Federal Emergency Management Agency
To:
References
CON-#289-8690 OL, NUDOCS 8906020226
Download: ML20247L640 (97)

Text

{{#Wiki_filter:wa.me n n. v~ ~ - - ls i FAC f0 r W ten c' e.p mr-,c;g COLMETE.P 'tm May 21, 1989 uNrrED STATES OF AMERICA '89 IMY 30 P12:27 NUCLEAR REGUIA'ICRY COMISSION A'KNIC SAFEIY AND LICENSING BOARD ~ Before the Administrative Judges: Ivan W. Smith, N irm n Richard A. Cole Yenneth W. McColicm ) In the Matter of ) Docket Nos. 50-443-OIr1 ) 50-444-OIrl Public Service Cenpany Of ) (Offsite Ecr.sgercf New F== hire, et al. ) Planning Tacnae) ) (Seabrook Station, Units 1 and 2) ) ) DECLARATION OF VERON E. ADIER I, Vernon E. Adler, Acting Chief, Fiwicuu Development Branch, Technological Hazards Division, Office of Natural and Technological Hazards, Federal Enxgercf Hanspr.r,t Agency (FDG), declare under penalty of perjury, that the following is true to the best of my knowledge. In 1985, a purchase order was issued to 'Iheodore Barry and Associates (TBA) for the purpose of a-uplishing the following tasks: Task 1 Review literature and conduct interviews for the purpose of analyzing and critiquing the REP exercise process and s ucedures. Task 2 Identify and describe problem areas associated with the REP exercise process and procedures and provide rm> ardations to correct the identified problem areas. 8906020226 090521 PDR A90CK 05000443 G PDR l 1 030), \\

. c. ?:R;:x::m.: um::.r.a: a. =.a w.m a<a;. a..:.. ... ~. -. Task 3 Provida draft guidance materials to integrate r=rvinnandaticals (Task 2) with existing REP exercise process and r h. L.+4-bet: ween TBA and FEMA, ocnfirming the scope of work, is attached to this affidavit as Attachment A.- As called for in Task 1, the contractor oordv+M analyses of FEMA REP anarcise activities and nada visits to three of the FEMA Regions for the purpose of assessing' consistency and uniformity of the entire REP - amercise process. Ct:1 tractor rar-nandations, specified in Task 2, are found in their August 1985 report. However, draft guidance materials 1 for dev'marit ocntrol were not provided under Task 3. TBA did deliver to FEMA a proposed Exercise Faw&-u Manual, a rh'unant of more than 300 j pages, and the entire treatment of dev'mant control consists of the following: I "DOCIJMENT CINIBOL AND REIRIEVAL (70 BE IEVEIDPED BY FDIA)" Inis portion of TBA's pr* Exarcise Fr@ima Manual is attached to this N1aration as At+ae+nnant B. l j 1. l 'Ihe project officer for the TBA purchase order, Williar2 F. McNutt, i reviewed in its entirety the TBA report forwarded to him by Will4am J. j i i Stokes in the letter of August 30, 1985. All of the ra_,- adations 1 4 1 were carefully evaluated in the context of REP pawsma priorities. The l evaluation concludea that the TBA ra_>--rdations were a reiteration of .I

) 1 4=== already under review by FDR and a reinforcement of planned pzugram improvement efforts. 'Ihese efforts included a training pwgam for exercise evaluators; revised modules for exercise evaluations (dtich later resulted in the Exarcise Evaluation Methodology (EEM)); nuidance Memorandum (m) Ex-3, Managirq r. hise activities and post-exercise meetings; GM IN-1 'Ihe ingestion pathway; GM MS. Medical Services; and 2 AN Alert and Notification System. 'Ihe hnnant -Lwl system rarv=nandation was not considered to require as 4*4ata attenticri as the guidance materials cited above. FDR's Records Control Schedule, whicts was approved in final form on Sestan*=r 19, 1988 (Attachment C hereto), addramaaa this subject at pages 36 and 37. In addition, it is FEMA's position that Guidance Memorandum 16, i=="ad in 1980, provided sufficient guidance on the @nnants which should be retained for REP P&%iam pur&. 'Ihe fin 11 exercise mora-i. which is submitted by FEMA to the NRC has been and continues to be vieweu as the @nnant of record for REP exercise activities. p r_- L_( VERNON E. ADIER Acting Chief Ps@ sam Development Branch Washington, D.C. May 21, 1989 J

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• Bleodore Barrtj& Associates

"=*a-a' *'aa'= lt' = c"l 2 "f a c, 2f&T ' A1BEQoupCompany i e . June 3, 1985 1 Mr. Bill McNutt Project Officer Federal Emergency Management Agency 500 C Street. S.W. Washington, D.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 scope 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. Since ly, Douglas A. Bennett Vice President Enclosure l l Los Angedes Atlanta

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4 Federal Emergency Management Agency Washington, D.C. 20472 NAY 241915 ~ Mr. Douglas Bennett Theodore Barry & Associates 1520 Wilshire Blvd. l.os Angeles, CA 90017

Dear Mr. Bennett:

In a m?eting here on May 23, 1985, the. description 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 oroducts 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, = rson Chief-Technological Hazards Division e l j

MAY 2 31985 ASSISTANCE IN IMPROVING THE REP EXERCISE PROCESS DESCRIPTION OF ACT{VITIES TB&A will perfonn wort focused on REP exercise activities with respect to the preparation for, conduct and evaluation of these activities. This work will entail providing FEMA with a critique of the REP exercise process and procedures with recommendations for their improvement. This work will include the following tasks: Task 1: Review literature and conduct interviews as described for the purpose of analyzing and critiquing the REP exercise J process and procedures. Task 2: Identify and describe problen areas associated with the REP exercise process and procedures and provide recommendations to correct the identified problem areas.

• 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 organizations. 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 accordance with that prescribed by. FEMA. SCHEDULE The project schedule of activities is included by Task in the attached Work l 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. 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 o _ _ _ _ __ __ _ _ ____________.____.. i

f 1 I 1, l Regional Operations documents l Representative sampling of Exercise Objectives statements l 1 Representative sampling of Exercise Scenarios l TB&A will conduct discussions with the following organization representatives: RAC Chainnen--Three Regions EEI l NRC FEMA FEMA Regional Offices (3 designated regions) Interveners--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 1 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 format and content instructions provided by feria. Attend FEMA Workshop on Exercise Evaluation at NETC scheduled for July 22, 1985 ~ N roJect Ufficer =W mt

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=- > ~. - - ~ ;.. ~-- ATTACMMENT C \\ J .- i j REQUEST FOR RECORDS DISPOSITION AUTHORITY ,c,,,* 1 (Sas fartruedons on mene) N1 't11-06-1 ( p' GENERAL SERVICES AOastNISTRATION 4-17-86 ~ ] DATE*ECE'VEQ NATIONAL ARCHIVES AND RECORDS SERVICE. WASHINGTON. DC 20a08 NOTIFICATION To AGENCY-

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DATE AutCMIVt3T OF TME UN4TED STJi Alfred E. Warren 646-2641-p S. CERTIFICATE OF AGEMCY REPRESENTATIVE i l hereby certify that I am authorized to act for this agency in matters pertaining to the disposal of the agency's reci '~ that the records proposed for disposal in this Request of 158 page(s) are not now needed for the business of agency or will not be needed after the retention periods specified; and that written concurrence from the Ge? Accounting Office, if required under the provisions of Title 8 of the GAO Manual for Guidance of Federal Agenci(I attached. ~~ ~ A. GAO concurrence: attached; or is unnecessary.

5. GATE G. 34GMATURE OF Agar's v R maarvi ATIVE D. TITL.E 1/31/86 Alfred E. Warren

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/ a OeSCRIPfloN oF ITEM 7 SUPERSEofo TAKE gg terim heesusse asses er seesness J'eresels4 Joe (NAAsG NO* QTAT1oN oNLV y .c-g 1'he Federal Emergency Management Agency (FEMO was established, g ffective April 1,1979, in order to unify key Federal g g o ssergency management and assistance functions. It consolidated { a ssergency preparedness, mitigation, and respo6he activities of / 2 a c,,

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2 programs. Statutory functions were either transferred to the Director, FEMA, by the Reorganization Plan No. 3 of 1978 'or ? delegated by Executive Order 12148 effective July 15, 1979. c 11DfA is headed by a Director and has headquarters staff in ,5., (;' s* Hashington, DC and 10 regional office locations in the 10 rederal Regional Centers. j-E x PENA requests records disposition authority for the attached g Comprehensive Records

• Disposition Schedules for all of its 2

b-records both textual and machine readable. 8. ~ c s 1'his schedule supersedes all previously approved FEMA (\\ isposition schedules. 5 o I smD i ? k. Y-2 '(* ~ ~i= 1 4 10s MsN 7540-00-4u m r.YANDAAD FORM tis (REV hoe:rsese ey cSA Peed A (41 CFR) 101 11.4

7 m....... .n- - ~ - Federal Emergency Management Agency Records Control Schedule (N1-311-86-1) Tabit of Contents Unit Pag 1. Staff Offices A. Office of Program. Analysis and Evaluation.................] B. Office of External Affairs, Congressional.and International Affairs D1 vision.......................l ~' C. Office of External Affairs, Public and Intergovernmental Affairs Division....................< D. Office of Regional Operations.............................( E. Office of the Comptroller, Management Analysis Division............................................ 5 F. Office of the General Counse1........................... 1( G. Office of Administrative Support, Records and Information Systems Management Division, Central Files..........................'.................... 1t H. Office _of Security...................................... 1f J. Office of the Chief of. Staff.............................lf C.. K. Administrative Records Common to Most FEMA Offices.......li L. Deviations from the General Records Schedules........... 2{ 2. Federal Insurance Administration-A. Federal Insurance Programs.............................. 2( 3. Training and Fire Programs Directorate A. National Emergency Training Center...................... 3: 4. State and Local Programs and Support Directorate A. Office of Natural and Technological Hazards..... 7...... 3t B. Office of Civil Defense................................. 3! C. Office of Disaster Assistance Programs.................. 41 5. National Preparedness Directorate A. FEMA Advisory Board...... ..............................5( B. Office of Mobilization Preparedness, Mobilization Resources D1 vision................................. 51 C. Office of Mobilization Preparedness, National Defense Stockpile D1 vision................................. 6; D. Office of Operations, Planning Division................. 6' E. Office of Operations, Readiness Division................ 6! l F. Office of Operations, Federal Agency Support and N-Coordination Division.............................. 7: G. Office of Information Resources Management.............. 7!

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~ Staff Offices A. Office of Program Analysis and Evaluation 1. ' Evaluation Background Files. Correspondence, working papers, and reference files pertaining to the evalt'ation of FEMA staff position papers preparatory to submission of final product. Record copy of final product is maintained by the originating program office. 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 pub 11 cations 1to the public. Disposition: Cut off at end of calendar year.. Destroy 5-years after cutoff. 3.. Internal Controls System Files. Correspondence, memoranda, reports, analyses, and submissions to OMB in support of DMB 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. Retire'to FRC 5 years after cutoff. Destroy 10 years after cutoff.

/,. u,, -.. ze ---- --- ;- '.:: " -m.n. ~ =, xi.;:w ~ m n: m 1 2 1. Staff Offices B. Office of External Affairs, Congressional and International Affairs Division ) \\ 1. Congressional Correspondence Fiies. Correspondence with members of Congress, chairpersons of I congressional committees, and members of their staffs relating to agency activities and programs. Disposition: Transfer to FEMA records holding area every 5 1 years. Destroy when 10 years old. i 2. Senate and House Member Profile Files. Files containing biographical information on members of the U.S. Congress. Disposition: Destroy when no longer needed. l ~ 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. 5. Country Files. Documents accumulated in providing assistance and advice to foreign governments on matters pertaining to FEMA programs. Included are documents relating to foreign requests for technical cssistance, loans of equipment, 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.

- wpyyym;;;. g;;wg;;.;im =w ;. a, w w, ..,ww= -~ .g 3 6. - United States-Canada Civil Emergency Planning Committee 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.'- 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 end of calendar year. Transfer directly'to National-Archives in 5-year blocks 20 years after cutoff. 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 foots 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. 8. . AID Files. - Correspondence dealing specifically with the Agency for International Development. Disposition: Destroy when obsolete or no longer needed. 9. ' NATO Document Receipt Files. Classified document accountability receipts relating to the receipt and issuance of NATO-11ssued documents. l Disposition: Destroy 10 years after documents shown on forms cre downgraded, transferred, or destroyed. (.s

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4 1. Staff offices C. Office of External Affairs,. Public and Intergovernmental Affairs Division, Audiovisual Records 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. Disposition: PERMANENT. Transfer captioned photographic print and negative,. indexed by name and title of individual ~ and date of photograph, directly to the National Archives one 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. .o b. ' Black and white and color photographs and slides of FEMA mission activities, including those documenting. ( 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 copyright restrictions, with the records. 2. Video Recordings, a. FEMA-sponsored or acquired video productions intended for public distribution. These include public awareness safety information titles distributed via the National 7 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.

~ 5 . Arranged chronologically. l 1 l Disposition: PERMANENT. Transfer original or. earliest l . generation and a dub, if one exists, directly to National '1 l-Archives in 5 year blocks when 5 years old. ~ l b. Original video recordings of speeches,- teleconferences, l conferences,~and testimony of-FEMA officials before-l ' Congress and other deliberative. bodies.. (GRS 21, item 41) L volume: 50' cubic feet; annual rate of accumulation: less than 1 cubic foot. 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. FEMA-sponsored or acquired motion pictures intended for-public distribution. These. include public awareness safety information titles distributed via the National Audiovisual Center and the Army Training and Support Centers. (GRS 21, ( item 20) volume: 50 cubic feet; annual rate of accumulation: less than 1 cubic foot. Arranged chronologically. Disposition:- PERMANENT. Transfer original preprint (negative, master, and A&B rolls, and soundtrack), and a projection print directly to National Archives in 5 year blocks when 5 years old. 4. Sound Recordings. Audiocassettes of FEMA activities including speeches," press conferences, broadcast spots, and special emergency management feeds to broadcasters. (GRS 21, items 52-54) Volume: 5 cubic feet; annual rate of accumulation: less than 1 cubic foot. 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. (.m

i 6 1. Staff offices D. Office of Regional Operations 1. Regional Review and Coordination Files. ~ Correspondence, reports, memoranda, and other records sent to FEMA regional offices for action. Disposition: Destroy when no longer needed. I 2. ' Management Studies. Correspondence, reports, analyses, and studies on the 10 FEMA regional offices relating to. personnel, organizational structure-, management, and delegations of authority. Disposition: Destroy when superseded or obsolete. 3. Regional Annual Work Plan Files. 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. a. Headquarters copies. Disposition: Destroy when 5 years old. b. Regional office copies. Disposition: Destroy when superseded or obsolete. m I'

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1. - Staff Offices v

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 kilocations 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 al'1 FTEs by program for the most recent 5-month period. Disposition: Destroy when superseded or obsolete. 4. Program Strength Reports. Detailed on-board count of all FTEs, sorted by prograd code. Disposition: Destroy when superseded or obsolete. 5. Organizational Strength Reports. Detailed on-board count of all FTEs, sorted by organization code. Disposition: Destroy when superseded or obsolete. (.m

'O l, 6. Reports on On-board Strength of Full-time' Employees. Summaries of on-board count of all FTEs by major organization. a. End-of-year reports. Disposition: Destroy when superseded or obsolete. b. All other reports. Disposition: Destroy at end of each month. 7. Duty Station Strength Reports. Summaries of on-board count of all FTEs by duty station. Disposition: Destroy when superseded or obsolete. 8. FEMA Organization Titles and Codes. Listing of authorized combinations of FEMA organization titles, codes, and fixed account numbers. ] Disposition: Destroy when superseded or obsolete. 9. Full-time Equivalent (FTE) Usage-Summary Reports. Summaried of FTE usage by major organization. Disposition: Destroy when superseded or obsolete. 10. Full-time Equivalent Hours Reports. Summaries of FTE hours by employee and organization. " l Disposition: Destroy when superseded or obsolete. 11. FEMA Program Usage Reports. Summaries of FTE hours by budget program. Disposition: Destroy when superseded or obsolete. 12. Integrated Staffvear Information System (ISIS) Reporting System Reports. ~ Summaries of agency FTE usage and projection by major organization, budget activity, and program. There are nine different reports detailing various parameters, i l ) A

m u w.:.. '. ;,. .. : : - a - u.:a ) 9 Disposition: Destroy when superseded or obsolete. 13. Average Grade Reports. Listing of average grade and grade distribution by major FEMA unit. Disposition: Destroy when superseded or obsolete. i 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. j i Disposition: Destroy when. superseded or obsolete. [L 16. organization / staffing Profiles. Reports, with and without SSN, on FTE data to lowest organizational level. Disposition: Destroy when supers'aded or obsolete. I ~ l L t aman (.( l Y____________________________---_

_ - _.__ - __-_=_. 10 I: 1. Staff Offices F. Office of'the General Counsel This schedule establishes disposition standards for-records created by the Office of General Counsel,(OGC) as well'as-legal records kept in regional offices-and those created by FEMA's predecessor agencies. OGC provides advic'e, opinions, and services regarding the legal aspects of all programs, policies, and activities.of the' agency..The HUD Board of Contract Appeals, under an interagency agreement, issuesLfinal 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 11a other administrative appeals that. become final 30 days after issuance. 1. Proposed and Final Rules and Notices. Material published in the Federal Register. Final rules -have the effect of law and are codified in the Code of-Federal Regulations (CFR). r 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.fil.es from 1978 to present are maintained in headquarters OGC, Case history files prior'to 1978 are maintained in the originating program offices. (1) Public docket files. Public comments received on proposed rules, environmental and inflationary impact findings, and signed copies of the proposed and final rules in thefsame form as sent to the Federal Register for publication. Disposition: Close file after the final rule becomes effective and place in inactive file. Retire to FRC 10 years after close of file. Dastroy 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 from internal FEMA meetings held to discuss the proposed or final rules. l 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 flie.

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x.-...- .) ) 11 .({ J (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 i the.same form as sent to the Federal Register for publication, including notices of delegation of authority. Disposition: Close file after notice is published in g Federal Register and place in inactive file. Retire to FRC 3 years after close of file. Destroy 10 years after close of. file. \\ l b. Working papers and background material not incorporated i in case history files described in item la above. Disposition: Destroy 6 months after final regulation or notice is published in Federal Register. l 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 preparation of a consolidated response but not including thosel parts of the package and responses which become.part of the case history file. l Disposition: Destroy when 3 years old or when no longer I needed for reference, whichever is sooner. 2. Official Litigation Case Files. Case files contain all documents 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. l Destroy 10 years after close of file. u_

v ; s 3 w :c v. ; ;,. : ;. w ;; - ----- :a.i;az:.:w = - n.w- - - - - = - - - - - = - - - - ~ 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. 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.

b.. Files ~kept by other FEMA offices wh1ch initiate or

. review FEMA's legislative-proposals. 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. a. Formal opinions of the general counsel.. Volume: 1 cubic foot; annual rate of accumulation: less than 1 cubic foot. 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 3:o 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. L

l 13 6. Legal Activity Report Files. Weekly reports prepared by the general counsel on the activities of the office to keep supepiors informed of OGC activities. Disposition: Destroy when 3 years old or when no longer needed for reference, whichever is later. O e / O e 9 se map 4 (.s l l

( - . ~ - - - - - - - --.. l 1 l- .1 L 14 i C 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. e

..... ~ _.., ~.., - - 1 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. Staff Visit Files. 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. .( a. Files of cffice 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. Disposition: Destroy when 1 years old or on completion of next visit, whichever is sooner. 1 3. Reference Paper Files. Documents used to facilitate, control, orsupervisethe performance of a specific function, process, or action--as distinguished from those records necessary for documenting l 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 f when no longer needed for current operations, whichever is (_ sooner. l )

i 16 C. 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. 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, TEMPES.T, 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. Documents relating to the security classification or C grading system involving the classification or downgrading of documents.. Included are correspondence or memoranda on downgrading and reports on security classification. Destroy 10 years n',ter final declassification Disposition: f action. 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. Documents 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. l 9. Security Information Exchange Files. Documents on the exchange of security classified - - = - _ - _ _ _ - _ _ _ _ - _ _ _ _ - _

17 l C information with other agencies, private firms, andl foreign l governments. Included are' correspondence on the exchange l of information, exchange agreements, and related documents. Disposition:- Destroy when;20. years old. 1 1 10. Sscurity Equipment Files. Documents gathered for determining the uses and types of' security equipment for protecting classified documents and 1 materials. { I Destroy when obsolete or superseded. ] Disposition: 11.. Industrial Information Security Files. Documents on the protection of classified information in the possession of industry. ( Disposition: Destroy when no longer needed. l

12. - Security Briefino and Debriefing' Files.

(1 Documents on security briefings and debriefings of' personnel with authorized access to classified material. Disposition: Destroy 2 years after transfer or separation of. personnel. i 13. Security Identification Accountability Files. Registers and other documents used to keep an account of identification cards and badges for access to FEMA l.- facilities. I Disposition: Destroy 3 years after last card or badge number entered has been accounted for. I ~ 1 1: s i

7-______-. p 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 of the designated senior official relating to information resource management. Disposition: Cut off at end of calendar year. De'stroy 3 years after cutoff. e M 1 ,e em i f

l ) 19 ( 1. Staff Offices K. Administrative Records Common to Most FEMA Offices 1. General Subject Correspondence Files. Letters, memoranda, messages, studies, reports, forms, steff position papers, and other records' documenting and/or implementing plans, policies, procedures, accomplishments, opinions, and decisions pertaining to FEMA program and staff activities. a. Program correspondence files maintained at the office level and above. These files document policy-makin~g 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 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 headquarters division level or below and in regional offices. Disposition: Cut off at close of fiscal year. Retire to FRC 2 years after cutoff. Destroy 10 years after cutoff. c. Routine prograu correspondence files maintained at all organizational levels. Files documenting program transactions of a routine or recurring nature, the record content of which is summa ~rized in items 1Kla and b above. Disposition: Destroy when 2 years older or sooner, 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. t Arranged chronologically. Disposition: PERMANENT. Cut off at and of fiscal year. Retire to FRC 2 years after cutoff. Transfer to National

_ _ _ - = _ - 20 m . Archives in 5-year blocks 20 years after cutoff. Files not accepted by National-Archives at time of transfer-are-disposable without fu ether: agency concurrence. 3. Administrative Announcement Files. 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. 4. Weekly Activity Reports. Narratives containing itsar of internal agency interest or activities submitted by s' f to higher levels of management. Disposition: Destroy when 1 year old. 5. Employee Travel Files. Correspondence,. requests, travel authorizations and orders,- itineraries, and similar records pertaining to employee travel exclusive of. records maintained by the comptroller. Disposition: Destroy when* 1 year old or when reimbursement 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 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; f, annual rate of accumulation: 20 cubic feet. ~ Arranged by FEMA catalog number. Disposition: PERMANENT. Cut off when publication is w--__-_-_-__-

-,a.. ~ _ -,, 21 C superseded or cancelled, or 3 years after issuance, whichever is sooner. Transfer directly to National Archives in 5-year blocks 5 years after cutoff. 7. Annual Report Input Files. Feeder reports generated by offices an input int.o the Annual Report. Disposition: Destroy when 2 years old. 8. Feeder or Preliminary Reports. Information.other than activity o'r status reports, usually concerning a single function or subject, prepared periodically, occasionally, or on a one-time basis and . directed to higher or equal levels of organizations for summe?ization or total inclusion in final reports. a. Weekly and monthly reports. Disposition: Destroy when 1 year old. C. b. Quarterly, semiannual, annual, oce... nal, and one-time reports. Disposition: Destroy when 3 years old.. 9. Trip Reports. Documents reflecting activities engaged in on official travel of employees for.the purpose of orientation, rendering assistance, or conducting studies, exclusive of reports regarding management approach. 1 L Disposition: Destroy when 3 years old. l l 10. Arrangement Files. 1 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.

_m,__.____.__ l r 22 9 Arranged chronologically. Disposition: PERMANENT. Cut off when superseded or canceled. Retire to FRC 4 years after cutoff. Transfer to National Archives in 5-year blocks 20 years after cutoff. ~ b. Temporary delegations. ~ 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-hay 1ng precedential significance such as those mandated by Congress on continuity of government and firefighter safety. a. Final project report. Volume: 2 cubic feet; annual rate of accumulation: less than 1 cubic foot. ~ Arranged alphabetically by project name. Disposition: PERMANENT. Cut off at end of project. Retire to FRC 3 years after cutoff. Transfer to National Archives in 5-year blocks 20 years after cutoff. b. All other project records. Disposition: 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. 13. Directory Files Correspondence and other material on updating office telephone directories and other listings on agency organization and similar matters, t Disposition: Destroy when change has been made and verified.

23 14. Public' Organization Files. ' Documents relating to official participation by FEMA employees in public or private organizations or dealings with such groups. Disposition: Destroy when 2 years old or when no longer. needed, whichever is sooner. 15. Reimbursable Agreement Contract Files. All contractual and reimbursable agreements (under Memoranda of Understanding [MOUs]) pertaining to work done for FEMA by other federal agencies such as DOD and.NSA. Disposition: Destroy 6 years 3 months after final action 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. 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: Decstroy when supersedad, 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 6stablish policy, prescribe procedural guidance, delegate authority, or define missions. The directives are signed by the FEMA director or designed representative. a. Directives relating to agency policies and procedures. (GRS 16, item la) Volume: 50 cubic feet; annual rate of I accumulation: 2 cubic feet. ,s_ Arranged by directive number. ) 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 after cutoff.- b. Background files related to the development of the directives described in item 1K19a. (GRS 16, item lb) ~ Disposition: Cut off when directive is superseded or canceled. Destroy 5 years after cutoff. 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. O e _____.____m_

25 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 training 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 schedule). Disposition: Destroy when superseded or obsolete. I ( 1 i ( l

1 26 (C 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 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 in accordance with the standards set _forth in 36 CFR 1230. 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 ( Append 1xes 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 i 1) 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. After microfiche has been verified, retire to FRC in 1990. Transfer to National Archives in 2000. (2) Textual records. Disposition: Destroy after verification that microfiche is adequate substitute for original records. t (3) Reference copies of microfiche. 1 Disposition: Retain one diazo copy in agency for ongoing km _m _m_-_--___-__m__-._____m_

27 ( litigation. Destroy after litigation is resolved. b. Case files closed after 1978. (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 snd 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. Appeals Files. There are three types of appeals files maintained by FIA headquarters: appeals on proposed elevetion determinations, from communities for which detailed engineering data have previously been mace available, and from owners or.lassees of property who believe their property has been inadvertently included in a special flood hazard area on the official FIA map. (NC-207-75-6, it6m 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 contaLr information on 11 subjects specified in CFR 44 67.3. TMs i 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 final determination with supporting data. (, Disposit1on: Cut off file after appealed, map becomes s effective. Retire to FEMA records holding area 2 years after cutoff. ' Destroy 20 years after cutoff. L_--l-_----.'._-_

~ 28 1' 1 b.: Appeals from communities for which engineering data have previously been made available.(44 CFR 65). Data specified in 44 CFR 65.5, which include technical or scientific information submitted by the= community!s chief 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 . -i after map revision becomes effective, whichever~1s 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 j their propertyzhas 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. l 3. Flood Hazard Maps. Preliminary flood maps covering a specific community, with-f ficod-prone areas within a community depicted by' shaded i l areas, which serve FEMA and the community for entrance into 1 l the emergency flood program. (NC-207-75-6, item 3)- 1 Disposition: Destroy 5 years after 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 su'perseded. Transfer directly to National Archives 5 years after cutoff. -____.____.____O._.__'m______ _ _ _ _ _ _ _ _ _. _ _ _ _ _ _

29 5. Annual Statements. Annual statement for each insurance ~ company reinsured, amendments thereto, and an equivalent of page 14 of such' annual statement for each state-in which.reinJurance is provided such. company. The statements and.page 14s are used to verify the eligibility of a company for reinsurance 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 after cutoff. 6. State Pool Files. Reports from.any state pool or other continuing 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. (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 centracts, 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 letter by the company, copy of the executed reinsurance contract, copy of invoice of advance premium ( paid by company, figures submitted for adjustment-of reinsurance premium after expiration of cbntract, m computation sheet, copy of additional premium invoice or refund voucher, transmittal letters, and other i

30 (' correspondence concerning each contract. (NC-207-77-2, item 1) Disposition: Retire to FEMA records holding area when 2 years old. Destroy when 6 years 3 months old. 9. Riot Reinsurance Claim Files. ~ Claim payments during a contract year are recomputed, after the reinsurance premium adjustment is completed on the basis of the revised company retention. (NC-207-75-6, item 10) Disposition: Cut off at end of fiscal year. Retire to l FEMA records holding area 2 years after cutoff. Destroy 6 years 3 months after cutoff. j 10. Servicing 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) Disposition: Cut off at end of fiscal year. Retire to f FEMA records holding area 5 years after cutoff. Destroy 6 years 3 mor.ths after cutoff. 11. St. ate Files. Corresp6ndence from insurance commissioners, mayors, governors, and other state end local government officials regarding a state's need for the Federal Crime Insurance Program. Volume: 9 cubic feet. Annual rate of accumulation: 3 inches. (NC-207-75-6, item 15) l Arranged alphabetically by state. Disposition: PERMANENT. Cut off at end 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__..__m. ______m__

31 expense reports and records of all bills paid by'the National Flood Insurance Administration (NFIA). NFIA acted as a private. industry partner,with the Federal Insurance Administration until 1978 in providing flood-insurance related services..NFIA was subsequently replaced. in 1978 by the National Flood Insurance Program, a private contractor which now processes claim documents as described above. (NC1-207-79-4, item 16) (1) Closed NFIA claim files, 1976-77. ~ (a) Textual records except those on claims pertaining to Louisiana. Disposition: Destroy after verification that microfiche copies are adequate substitutes for original documents. (b) Textual records on claims pertaining to Louisiana. Disposition: After verification that microfiche copies are adequate substitutes for original documents, destroy when no longer needed for legal purposes. (c) Microficha.- . Disposition: Destroy film or salvage silver content after alerting administrator prior to action. (2) Closed NFIA claim files. Files generated by the contracter to the National Flood Insurance Program and maintained in paper form. Disocsition: Cut off upon payment or d9nial of ciaim. Destroy 6 years 3 months after cutoff.- l 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' billa paid by the program. Disposition: Cut off upon close of case. Destroy 6 years 3 months after cutoff. 13. Policy Files. a. Flood Insurance Program files. ('s 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,

32 ( . cancellations, and correspondence. Policies generated under NFIA were maintained by a number of servicing companies under varying file'aystems. 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 files generated by servicing companies to NFIA. Disposition: Destroy files with pending litigation after review by ge'neral counsel. (2) National flood insurance files. Files' generated in processing flood insurance policies under the continuing National Flood' Insurance Program. u . Disposition: Cut off when file becomes inactive. Destroy I 5 years after cutoff. b. Crime insurance program files. All documents necessary for continuation of a crime d insurance policy. Documents include renewal bills, . C; cancellations, and correspondence. (1) Files on policies issued prlor 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 all 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 after policy is issued. I ?._ l L____

c 33 3. Training and Fire Programs Directorate A. National Emergency Training Center 1 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 state and local government firefighting and emergency management professions'a. NETC conducts two to three-week courses both at its fec!.11ty in Emmitsburg, Maryland,.and in the field through

• <J adjunct faculty, which is made up usually of experts from outside the agency.

+- 1. Minutes of the NFA Board of Directors. Minutes of quarterly meetings (GRS 16, item 12a[1]). Volume: less than 1 cubic foot; annual rate of accumulation: 1-2 inches. Arranged chronologically. i Disposition: PERMANENT. Cut off at and of calendar year. ( 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. (NC1-437-78-1, 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 coordi,nating actions, approvals, revisions, and changes. a. Training texts and instructions. ~ i

4 -34 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. Arranged alphabetically by name of course. Disbeition: PERMANENT. Cut off when superseded or obsolete. Retire to FRC 1 year after cutoff.- Transfer to National Archives 20 years after cutoff. ~ Dra'ts, notes, and other working papers. b. f 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. 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. ) l Disposition: Cut off on completion of contract. Destroy 6-years 3 months after cutoff. I b. Training conference files. Documents relating to conferences conducted by FEMA for state, county, and municipal officials, community leaders, j and leaders of special organizations and. associations. The conferences are designed to provide inforreation and instructions that will enable the participants to j 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 f, years after cutoff. ~ --______---Y_N._,

, ' - T,:;.:.c.. : _.. - - ~ 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. \\ Disposition: Destroy when no longer needed. ( 0 4

4 ' 1 a 36 l 4. State and Local Programs and Support Directorate j A. office of Natural and Technological Hazards j 1 ^ 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 inclade, but are not limited to, th'a Dam safety Program (Executive Order 12148), the Radiological Emergency. Preparedness Program, and the Hurricane Vulnerability Program. I 1. Radiological Emergency Preparedness (REP) Files. a. Policy files. I 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-sita nuclear power plant planning and preparedness-under 4('CFR 350, including correspondence with governors i and Nuclear Regulatory Commisrion (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. Volume: 30 cubic feet, annual rate of accumulation: less than I cubic foot. L Arranged alphabetically by name of power plant. Disposition: PERMANENT. Transfer directly to National l Archives 20 years after termination of NRC license. c. Docket files (regional). Documents generated at the regional level in carrying out l (, FEMA's responsibilities for off-site nuclear power plant L N-planning and preparedness under 44 CFR 350. Records include plans and exercise reviews and evaluations, correspondence with FEMA headquarters, federal regional _. - - - - - _ - _ - _ - _ - _ = - - - -

-c ~ 9 ' ~ - 37 offices of other agencies such'as the NRC, and state and: local government plans. Volume: 50 cubic feet; annual rate.of accumulation: 'less than 1 cubic foot. E 'l ' Arranged; alphabetically by'name of power plant. Dis 5osition: PERMANENT. Transfer directly to National Archives 20 years after termination of NRC license. t Integrated Emergency Management Information System (IEMIS) j 2. Files. IEMIS is a comprehensive electronic database containing .l emergency planning, exercise,-and response tracking data for the resolution of deficiencies identifiedLin emergency preparedness plans for the REP program. The database ' consists of 1:2,000,000 scale map of the United States upon l which is entered information on roads, buildings, and other. ] structures that influence the design of evacuation plans. o The database is used'to experiment with various evacuation- ] scenarios, the final plans for which are filed in the REP docket files. j l Disposition: Delete data when no longer needed. l (: l 3. Dam Safety Program Files. I a. Program development files. j i correspondence, reports, working files, studies, evacuation plans, and other staff-generated documents on'the dam-safety progrtm. 1 Disposition: Destroy when no longer needed. ) b. Interagency Committee on Dam Safety (ICODS) files. ICODS is an interagency committee consisting of. i representatives of the Departments of the Army and Energy, NRC, Tennessee Valley Authority, Mine Saf.ety and Heath Administration, FEMA, and Army Corps'of Engineers and chaired by the FEMA representative. (1) Verbatim transcripts and abstracts of special and quarterly meetings of ICODS and its subcommittees. (GRS 16, item 12b) Volume: less than 1 cubic foot; annual rate L of accumulation: 1-2 inches. L Arranged chronologically. l (. \\ \\- ' Disposition: PERMANENT. Transfer direct'ly to National Archives when 20 years old. .)

O 38 ] (2) 'ICODS working papers. Disposition: Destroy when no longer needed. t 4. ' National Earthquake Hazards Reduction' Program Fifes. ] s. Correspondence on vulnerability assessments, working. f files,-drafts, standards, studies, work plans, and reports W to Congress. i ~ Disposition: Destroy when no longer needed. i q b. Verbatim transcrip'ts and abstracts of quarterly meetings of the Interagency Coordination Committee of the National Earthquake Hazards' Reduction-Program and its subcommittees. j 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. l 5. ., Hurricane Vulnerability Program Files. a. Correspondence documenting program development, state r projects, and evacuation plans. Disposition: Destroy when no longer needed. b. Verbatim transcripts and abstracts of quarterly meetings of the Interagency Coordination Committee on hurricanes and its subconmittes. (GRS 16, item 12b) Volune: less than I cubic fact; annual rate of accumulation: 1-2 inches. Arranged chronologically. 1 Disposition: PERMANENT. Transfer directly to National l Archives when 20 years old. l 1 k. I \\

.w r r 9 e 39 { i 4. State and Local Programs and Support Directorate 1B.- Office of Civil Defense E This schedule covers records relating to the development, i deployment, and administration of civil-defense and other civil emergency programs. =j 1. Service Request Files. I Documents rel'ating to. state and local requests for ~l communications services or their termination, including .i requests, recommendations,,and approvals. (NN-172-42,. item COM 2) j j Dispos 1 tion: Destroy when no longer needed. l 2. Civil Defense Systems Files. 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 end II printouts).: (NN-172-42, item SHL 3) I Disposition:' Cut off when printout or microfilm is 1 updated. Destroy when superseded or obsolete. i 4. Regional Shelter Programming Files. i Documents accumulated by regional offices in planning, j arranging, evaluating, and reporting on shelter programs in j local planning areas. Files include schedules, regionwide progress and evaluation data, and shelter program summary { reports. (NN-172-42, item SHL 4) l Disposition: Cut off at end of calendar year. Retire to FRC 3 years after cutoff. Destroy 6 years after cutoff. i 1 5. Community Shelter Plan (CSP) Files. 1 ' (. Documents relating to arrangements with and technical and x-financial assistance provided to state governments for establishing CSPs, including the identification, scheduling, and coordination of CSP projedts for their .I

m w w.+.,,c.w; .a . ~ ~, 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 to FRC 3 years after cutoff. Destroy 8 years after cutoff. b. FEMA-CSPOS contract files. Documents relating to CSPOS contracts, including inspection and progress. reports, copies of change orders, and related 1 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 Flies. i l a. Group shelter files. l Documents created.in promoting, sponsoring, supporting, and. evaluating projects concerned.with the design of shelters in schools, shopping centers, industrial enterprises, i public buildings, and other structures for use by the general public (50 or more persons) in an. emergency. ] Documents include communications with architecture 1' firms, associations, and schools; requirement and design guidelines; design drawings and descriptf.ve deta; ana;yses; evaluations; and related records. j l (1) Site surveys and studies, including. feasibility studies, and plans And drawings, including sketches, I architectural fact sheets, and layout drawings. (NN-172~ 42, items SHL 6-1-1 and 6-1-2) l l 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) t k-Disposition: Cut off at completion of contract. Destroy 6 years after cutoff. I i i

41 b. Home shelter (private' dwelling) files. Documents created in developing protection criteria for-shelters in_ private homes, including drawings, specifications, home protection surveys (HPS),_and other records on required protection for individual families _in their homes. (NN-172-42, ites SHL 6-2) Disposition: ' Cut off_at completion of contract. Destroy 3 years after cutoff. i 7. Shelter Supply Monitoring Files. Documents created in monitoring and controlling the 1 issuance, maintenance, transfer, shipment, and_ disposition 'of supplies and equipment furnished to state and' local governments 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-supplies and equipment; inspection reports; copies of' shipping documents; supply action cancellation requests; and communications with state and local government officials about shelter supplies. -(NN-172-42, item SHL 8) r Disposition: Cut off at end of fiscal year. Destroy 3 years after cutoff. 8. Information Retrieval Files. Documents accumulated as a result of'linison 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 cf.vil defense technical subjects. Files include invitations to' meetings, conference reports, and presentations. (NN-172-42, item TES 1). 1 Disposition: Cut off at end of calendar year. Destroy 5 years after cutoff. ) 9. Institutional Studies Files. Documents relating to furnishing and obtaining advice and technical information in liaison with professional organizations, licensing and accrediting authorities, i schools, colleges, departments of architecture and i g engineering, committees, research and development sources, q_ and similar groups. Files include pamphlets, specifications, statistics, memoranda of understanding, and functional data. (NN-172-42, item TES 2), _ m_

-.,. _...,.... + .a ; - - - - - ,. w,... > a w; - ~ ~. ~. - - 42 4 ' Disposition: Destroy when superseded or obsolete, or 3 years after preparation, whichever is sooner. 10. Professional Development Technical Assistance (Shelter Program) Files. Documents created in arranging for contract consultants to advise and assist architects and engineers in designing or modifying buildings and structures to obtainor 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 o5 contract year. Destroy 3 years after' cutoff. 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 C 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, b. Hardc7py reports. Disposition: Destroy when superseded or obsolete. 12. Radiation Dose Records, f Folders maintained on all individuals who may 'ce exposed to ionizing radiation within FEMA activities, including 1 periodic reports evaluating degree of exposure. (NN-172-42, 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

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a 43 . Commission-(FCC)'to state and' local governments and emergency services'(fire, police, ambulance) consisting of n 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 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) .a. Approved EBS plans and specification. Volume: 10 cubic feet; annual rate of accumulation: less than 1. cubic foot. Arranged alphabetically by state. 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. I Documents relating to special studies conducted in connection with difficult nonrecurring projects in order to provide solutions to missions assigned. Included are worksheets, records of' methodology, charts, maps, notes, l-memoranda, records of meetings', and official studies.. (NN-t 172-42, item TES 3) a. Final EBS studies. Volune: 1 cubic foot; annual

• rate of accAnnulation:

less than 1 cubic foot. l 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. b. Working papers created in developing.special EBS l-studies. Disposition: Cut off when special study is issued. Retire L__--_______-_-_-_________-___

i 44 l ( 'f to FRC 3 years after cutoff. Destroy 10 years after ] cutoff. 16.' Technical Shelter History Files. f ~ Records detailing shelter development, maps, drawings, and correspondence, primarily relating to construction =of Federal Regional Centers (FRC), in microfiche format. ~ a. Silver master. Disposition: -Retire microfiche to FRC when 5 years old. 3 Destroy when 20 years old. q

b. - Reference copies of microfiche.

j 'i 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. Disposition: Destroy when superseded or obsolete. 18. NLtional Shelter and Crisis Relocation Planning Surveys, a. Master files. 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. I, s-c. Data Input File (FEMA Form 85-5). l. I Used to input the shelter survey data file and population

45 protection data file. Disposition: Destroy 6 months after generation of new file.

19. 'Ce=prehensive 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 e~below. Disposition: Destroy 6 years 3 months after date of final settlement or of submission of final ' financial status report, whichever is applicable. 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. k, e. Records relating to appeals, litigation, claims, or exceptions. Disposition: Destroy when case is resolved. i i

~ ,m. m.m m.- - - - _ - _ - - _ - - 46 20. State Assistance Program Files. Applications, appraisals, statements of work, and othar project-related documents to stimulate state flood plain management activities. Disposition: Cut off at and of. calendar year. Retire to FRC 5 years after cutoff. Destroy 10 years after cutoff. 21. Shelter Development Files. Records containing information on: a. Fallout shelter analyses. Certification sheets identifying background information for individuals who are certified in microfiche format. Disposition: Destroy when superseded or obsolete. b. Shelter Surveys - Technician (SSTs) files Certification sheets of college students who have passed ( the Shelter Survey Technician Course. Disposition: Destroy when superseded or obsolete. 22. Individual Mobilization Augmentee Files. Documents for directing a program of military personnel to augment FEMA and state and local governments in their i emergency managment programs. Included are personnel lists, DOD directives, program guidance, training requirements, and statistical information. Disposition: Destroy 1 year a'fter reservist leaves q program. 1 ] 23. Radiological Defense Files. Correspondence containing information on state and local government integration of radiological support plans and i guidance concerning radiological defense instruments and equipment. a. Design and development plans. Volume: 30 cubic feet; g annual rate of accumulation: 10 cubic feet. Arranged alphabetically by state. Disposition: PERMANENT. Cut off at end of calendar year.

a .w...<- 1 - - <m -- +--- ~, - ' ~~ I 47 m Retire to FRC 3 years after cutoff. Transfer to National Archives in 5-year blocks 20 years after cutoff. ]

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,.~1oan, and disposal of property to state and local governments through the-GSA excess and utilization program, PL 97-380. Disposition:. Destroy 5 years after final report is completed. 25. Emergency Management Assistance (EMA) Program Files. Documents related to state eligibility and applic'ations for. funds:.. staffing patterns, annual subu ssions, statements of work, reporting documents on state and local expenditures, and fourth-quarter performance reports.- Disposition:- Cut off at end of fiscal. year. Retire to FRC 3 years 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. Disposition: Destroy when superseded or obsolete. R e e 1. 2:-_._-_-__--___

. _ -... - _ ~ 1 48 4. State and' Local Programs and Support Directorate C. Office of Disaster Assistance Programs This schedule covers records pertaining.to disaster ' assistance under provisions of the Disaster Relief Art of 1974, Public Law 93-288, and other related activities of this office. o 1. Residentially Declared Major Disaster and Emergency Files. a. Headquarters disaster files. Presidential declarations, with supplements, 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 accumulation: 4 cubic feet. ( 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 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) Dispositirg: Destroy when termination memorandum is approved. 2. Undeclared Natural Disaster Case Files. Requests for assistance, turndown correspondence, and related records on natural disasters in which assistance was requested but a disaster was not declared under public law. (NC1-207-76-11, item 4) e a. Headquarters files. Dispositirg: Cut off when request is turned down. Retire to FRC 2 years after cutoff. Destroy after 6

g __n....,r-49 C' years after cutoff. b. Regional office files. -Disposition: Cut off when request is turned down. Destroy 2 years after cutoff. 3. Ineddent Case Files. ~ C:se files on incidents in which no assistance was requested and no declaration was made under PL 93-288, including correspondence, memoranda, and related records. (NC1-207-76-7, 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).

(NC1-207-76-11, item 6) (1) Headquarters files. ( 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 time extensions, applicant appeals, eligibility-determinations, documents on insurance requirements, 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: Cut off when termination memorandum is approved. Retire to FRC 1 year after cutoff. Destroy 6 years 3 months after cutoff. I b. Fire Suppression Assistance (FSA) files (PL 93-288, 1 Section 417; 44 CFR 205, Section G; and FEMA Handbook DR&R-4). (%. (1) Headquarters files.

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-i j i 50 Individual FSAs, original copy of PA form, and' funding ' i 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. -j Discocition: 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 copy of DSR with backup records. Disposition: Cut off.when termination memorandum is approved. Retire to FRC 1 year after cutoff. Destroy 6 years 3' months after cutoff. c. Community-Disaster Loan (CDL) files (PL 93-288,. Section 414; 44 CFR 205, Subpart F; and FEMA Handbook DRER-5). Individual CDLs (original. copies of CPL promissory notes and funding documents maintained by the 'f. comptroller) identified by major disaster and applicant ( ID number.- Files include approved community disaster loans, denials of loan application requests, general community disaster loan correspondence, and applications for loan cancellation. 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 406).

Files include hazard mitigation procedures, Interagency Hazard Mitigation Team reports, and related records. Disposition: Cut off when termination memorandum 1s approved. Retire to FRC 1 year after cutoff. Destroy 6 years 3 months after cutoff. 5. Regional Office General Program Subject Files. Files contain basic statutes, legislative proposals, legal opinions, congressional statements, organizational charts, delegations of authority, policy / statements, operating procedures and instructions, minutes of meetings, recommendations'and decisions, reports, interagency agreements, memoranda of understanding, and studies. (NC1-207-76-7, item 7b) 1.

51 Disposition: Review every 3 years. ' Destroy when superseded or obsolete. 6. _ Disaster Field Office (DFO) - Individual Assistance (IA) Program Files. a. General files. Files maintained in the IA program office' cover overall administrative management, program, and information functions. These' files include such items as mission assignments and correspondence with state and local officials. IA programs include,, but are not limited to, the Disaster Unemployment Assistance Program, Crisis Counseling Assistance and Training Program, ~ legal services for low-income disaster victims (through the Young Lawyers Division of the American Bar Association), and flood plain management administration. (NC1-207-79-5, items 1b and Ic) Disposition: Consolidate files at appropriate regional office upon close of DFO. Retire to FRC 1 year after closecut. Destroy 3 years after closeout. b. Insurance coordination files. i ' Correspondence with insurance carriers who hold policies on disaster victims' residences (e.g., claims, proofs of loss, and proofs of purchase). Disposition: Consolidate files at appropriate regional office upon termination of disaster contract (when all 1 families have been relocated to permanent housing, the l audit, if one is made, has been accepted by both FEMA and the state, and all monies due have been received). Retire to FRC 1 year after termination. Destroy 3 l years after termination.. c. Duplication of benefits files. Miscellaneous correspondence related'to duplicate i benefits. i Disposition: Consolidate files at appropriate regional office upon closecut of DFO. Retire to FRC 1 year after closecut. Dectroy 3 years after closecut. 7. Individual and Family Grant (IFG) Program Files. I 1 ) 'w FEMA-state agreements, state administrative plan, correspondence, extensions, advances, and other IFG program records. )

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z 52 l l Disposition: Close out when disaster contract is terminated. Retire to FRC 1 year after closecut. Destroy 3 years after closecut. ~ 8. " Temporary Housing Assistance Files. a. General files. ~ Files maintained by the Temporary Housing Coordinator cover overall administrative management program and information functions. These files include such' items i es delegations of suthority, mission assignments, and official correspondence with state and local government officials. Disposition: Consolidate at appropriate regional office at the end of Phase II, when shelterees are moved to permanent hous'ag. Retire to FRC 1 year after files are consolidated. Deatroy 3 years after files are consolidated. b. Temporary Housing Assistancs Program files. These files cover the entire process of applicant and C occupant assistance as well as any additional Disaster Housing Office (DHO) mission assignment activity (e.g., mobile home operations, supplemental assistance, and minimal repair assistance). (1) Master occupant / applicant files. These files contain all original occupant-related documents (e.g., site requesta, mobile home sales documents, leases, and contacts) Disposition: Consolidate at regional office at end of Phase II. Retire to FRC 1 year after files are consolidated. Destroy 6 years 3 months after files are consolidated. (2) Working field applicant / occupant flies. These files contain copies of occupant-related documents. Disposition: Review at end of Phase I operation (that is, when all qualified occupants receive temporary housing) to ensure all occupant-related original documents are in the master occupant / applicant files or 7 Mobile Home Storage Program files, as appropriate. Destroy upon termination of assistance to occupant. _-__m_-__ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

f ~:=:_;;u n____w. .a u, .wi... a. e t. - --__ > ~ _7 w c t.. ~ ... :>.. e n. 53 l u I (3) _ Working files for Phase I mobile home operations or minimal repairs. These files contain copies of occupant-related j 1 l-documents. h Disposition:- Destroy upon termination of assistance'to occupant. l ~.. (4) Control records and logs. These documents relate.to temporary housing assistance program files. Disposition: Forward *to appropriate regional office at end of Phase II. Retire to FRC 1 year after end of . Phase II. Destroy 6 years 3 months after end of Phase II. c.. Contract files. (1) Mobile home contract files. These flies contain copies of contract modifications, site requests, waivers, work orders, and related-C. records. Disposition: Review at end 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: Review at end 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 modifications, i Disposition: Review at end of Phase II. Destroy 6 years 3 months later. d. Mobile Home Storage Program (Strategic Storage Center) files. ( Y,, These files are found in Strategic Storage Centers and include correspondence and procedures related to mobile home and travel trailer units owned b'f FEMA.

v pn,,. 7 -. - c. n-.. f -54 -(1) Correspondence on mobile'home and travel trailer j accountability and inventory, technical standards, management reviews, copies of contracts with research and development organizations, and miscellaneous housekeeping documents. 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. (2) Mobile home and travel trailer unit files. 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 b me or travel unit is. sold or declared excess property. Destroy 6 years-3 months after cutoff. 9. Cora Brown Trust Management Fund Files. ( These files are kept 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 - Individuol 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 old. Destroy when 6 years 3 months old. b. Temporary housing files. Copies of computer printouts, Scoreboards, federal s coordinating officer's digests, correspondence, and related records.

55 Disposition: Destroy when database elements'have been established and defined. c. Motile home and travel trailer program files. 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. Disposition: Cut off at end of calendar year. Destroy 6 years 3 months after cutoff. d. Files relating to permanent relocations under Superfund and. purchases of properties under Section i 1362. Headquarters files relating to individual property owners, background data, addresses, value of property, negotiation records, and related records. Volume: 20 cubic feet; annual rate of accumulation: less than 1 cubic foot. Arranged alphabetically by subject.. Disposition: PERMANENT. Cut off at conclusion of project. Retire to FRC 3 years after cutoff. Transfer to National Archives in G-year blocks 20 years after cutoff. J ~ IU

? l 56-j 5. National. Pi eparedness. Directorate A. FEMA Advisory Board 1. Minutes of the FEMA Advisory Board. a. Official minutes of the' board. Verbatim transcripts and synopses of FEMA Advisory Board meetings. Volume: 3 cubic feet; annual rate of accumulation: 2 inches. Arranged chronologically. Disposition: PERMANENT. Cut off at and'of calendar I 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 .of terrorism, industrial preparedness, civil defense, and'other emergency management. topics. _ Volume: .2 inches;: annual rate of accumulation: less than 1 inch. Arranged chronologically. Disposition PERMANENT. Cut"off at end of. calendar year. Transfer directly to National Archives in 5-year blocks 20 years after cutoff. 2. Board Member Files. a. Photographs. Portrait pho'tographs of FEMA Advisory Board members. (GRS 21, item 5) Arranged alphabetically by_name. Disposition: PERMANENT.- Transfer esptioned 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. ____ ____:_-_=_ _ _ _ _ _ _ - _ _

57 b. Member personnel files. -Records, pertaining to backgrounds of board members, with information on their activities during their l membership on board. i Disposition:- Cut off when member leaves board. Destroy 1 year after cutoff. 4 1 1 3. Administrative Files. .i Records relating to operating procedures, oversight j reports, meeting plans, and current activities of 1 board. Dispos 1 tion: Cut off at end of calendar year. Destroy ] 10 years after cutoff. %e l 4 (( l

k: b. 58 l u H 5. National Preparedness Directorate B. Office of Mobilization Preparedness, Mobilization Resources Division g 1. FEMA Multivear Civil Defense Working Files. Files containing. background and current information on 1, the multiyear plan. Disposit1on: Destroy when no longer needed. 2. National Security Council Studies. Copies of classified studies and research reports conducted and prepared by the National Security Council on civil defense. 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 f 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 l application of the Defense Production Act, Title I, ] which includes priority'and allocation authorities for national defense and related needs. Volume: 2 cubic 9 foet; annual-rate of accumulat1on: 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. - _ _ _ - _ - - _ _ _ _ - _ _ _ - _ - - _ - _ _ _ _ _ _ - _ _ _ _ _ _ - _ _ = _ _ _ _ _ _ _ - _ _ _ _ _ - _ - _ _

59 6. Emergency Mobilization Preparedness Planning Document Files. ~a. Documents on the development of plans, including. background information and department / agency comments on proposed drafts. + Disposition: Destroy when superseded or obsolete. 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. 1 Disposition: PERMANENT. Cut off'at and 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 j legislation, proclamations, and other formal documents, including DOJ-issued cover sheets addressed to the president, to.be issued in event of a residentially declared national emergency., Volume: lese than 1 cubic foot; annual rate of accumulation: 1 inch. Arranged alphabetically by' type of emergency. Disposition: PERMANENT. Cut off when superseded or obsolete. Transfer directly to National Archives in'5-year blocks 20 years after cutoff. ] s. 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. s L -_

m,: ny ,:xu . w. - ~, wsm =- -'----=w-m- = -- ~ f) 1 u '60 8. 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 4 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 i 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 in'ches. 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 Triqqer 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 s cubic foot; annual rate of accumulation: 2 inches. O 1

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w. -

-.--c.v. -. ~ 61 + h Arranged chronologically. Disposition: 1 PERMANENT. Cut off at and of fifth calendar. year. Transfer.directly to' National Archives .20 years after cutoff. t i 12. Voluntary Agreement Files. 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. 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. Legislative history files relating to the preparation C-and. coordination of proposed Defense Production Act legislation by FEMA and comments on proposed Defense Production Act amendments in Congress. Disposition: Cut off at and.of fifth calendar. year. Retire to FRC 5 years after cutoff. Destroy.20 years 1 after cutoff. 14. DPA Congressional Hearing Files. Correspondence with Congress, FEMA testimony, and l briefing materials on issues in the hearings. Disposition: Cut off at end of fifth calendar year.. Retire to FRC 5 years after cutoff. Destroy 20 years ) after cutoff. 1 15. Executive Order 10480 (A' administration of Defense Mobilization Program) Files. 4 Correspondence with federal officials on the administration of the Defense Production Act and i revisions of E.O. 10480. Volume: 1 cubic foot; annual / rate of accumulation: 1 inch.

i 62 1 ( l J Arranged chronologically. Disposition: PERMANENT. -Cut off at and of fifth calendar year. Transfer directly to National Archives 20 years after cutoff. 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 and of fifth calendar year. Retire to FRC 5 years after cutof, Destroy 20 years after cutoff. l 17. Non-industrial Facilities Files. i Correspondence between U.S. Army Corps of Engineers.and ' FEMA headquarters and regions on the use of non-industrial facilities (e.g., hotels, motels, and resort areas) -in case of a declared national defense emergency. Volume: 1 cubic foot; annual rate of C. accumulation: 1 inch. Arranged' chronologically. Disposition: PERMANENT. Cut'cff 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 DMUD 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 4 accumulation: 1 inch. l Arranged chronologically. Disposition: PERMANENT. Cut off at end of fifth calendar year. Transfer directly to National Archives 20 years after cutoff. j ( L

, _ _ _ - _ - _ _ _ - _ - _ _ - _ - _ - _ - - _ _ - _ _ _ = _ - - 63 5. National Preparedness Directorate C. Office of Mobilization Preparedness, National Defense Stockpile Division 1. Barter Files. ~ Reports, correspondence,-and'other documents' pertaining w-to meetings, memoranda of understanding, barter procedures, and other barter-related activities under. the Nations 1-Defense Stockpile (NDS) Program. (NN-171-167, item 10a) Disposition:. Destroy when no longer needed. 1

2.

Commodity case Files. 1 Correspondence, memoranda, and other documents on decisions relating to the storage and disposal of critical and strategic materials compiled under the NDS Program. (NN-171-167, item 10b) Volume: 12 cubic feet; annual rate of accumulation: 1 cubic foot. Arranged alphabetically by commodity-and thereunde'r* ( chronologically. Disposition: ' PERMANENT. Transfer to FRC when space requirements and frequency of use dictate. Transfer to National Archives in.5-year blocks when 20 years old. J 3. Substitution Rate Files. ] Correspondence, reports, and other documents on j substitution rates for materials and studies of ) potential substitutes for current critical and ) i strategic materials. Disposition: Destroy when no longer needed. 4. National Defense Stockpile-Goals Files. Documentation on calculations and methodologies relating to the National Defense Stockpile, 1ncluding records on development policies and procedures and a listing of-the latest goals calculations. (NN-171-167, item 10f) (, a. Final goals studies. Volume: 3 cubic feet; annual \\- rate of accumulation: less than 1 cubic foot. I

..... -, _,.. cr m c. --- r 1s,- 2 .v. = 8 m-m p 64 ~ Arranged alphabetically by commodity. Disposition:, PERMANENT. Retire to FRC 5 years'after study is issued. Transfer to National' Archives inL5-year blocks 20 years after study is issued. b. Goals case files. Disposition: Destroy when information is incorporated. .into final goals studies. l 5. Stockpile Study Files. ' Classified correspondence, reports, and other documents regarding t.he. current stockpile study on the' quality of stockpiled materials. a. Final stockpile studies. Volume: -1 cubic foot; annual rate of accumulation: less than 1 cubic foot. ~ Arranged chronologically. i Disposition: PERMANENT. Retire 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 i 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 7 emergency, as required by the Stockpile Act, including market studies, revisions, disposal legislation, ~ approvals, and other data, which are incorporated in j reports to Congress. ]

65, I a. Annual materials plans. Volume: 10 cubic feet;- annual rate of accumulation: less than 1 cubic foot. Arranged chronologically. Disposition: PERMANENT. Retire to FRC 5 years'after i plan is issued. Transfer to National Archives in 5-t d year blocks 20 years after plan is issued. 3 b. AMP background material. l Disposition: Destroy 10 years after plan is issued. i 8. Defense Production Act (DPA),. Title III', Files. Correspondence and reports pertaining to DPA project proposals, including background data and studies performed. a. Final reports. Volume: 1 cubic foot; annual rate of accumulation: less than 1 cubic foot. Arranged chronologically. j 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. i Disposition: Destroy 10 years after final report is issued. 9. Materials Release Files. I 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: less than 1 cubic foot. Arranged chronologically. Disposition: PERMANENT. Retire to FRC 2 years after final recommendation is made. Transfer to National Archives in 5-year blocks 20 years after final recommendation is made. 1

4 66 b. Correspondence, technical studies, and other background materials. Disposition: - Destroy 10 years after final recommendation is made. m 9 4 e G 4 m l 1 8 i( l.'

67 5. National Preparedness Directorate D. Office of. Operations, Planning Division \\ l 1. Development and Planning Files. l J Documents relating to the development and planning of '( j) concepts and programs relating to the policies and systems design and operation of continuity of government systems. Volume: 16 cubic feet; annual i rate of accumulation: 1 cubic-foot. ) i Arranged by subject. f 1 Disposition: PERMANENT. Cut off at and of calendar. l 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. l 5. Legal Authorities Database. Files consisting of the full range of legal authorities available to the U.S. government in emergencies and (, relating to the coordination of the computerization and maintenance of a retrieval system. 1 ]

n t-68 ) L a. Textual records. 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. i Disposition: Destroy when superseded or obsolete. I ~ b. FRAS technical information. Disposition: Destroy when superseded or obsolete. (~ j i 4 m J.

69 5. National Preparedness Directorate E. Office of Operations, Readiness Division i 1. Federal Coordinating Officer (FCO) Digests. Daily digest for the FEMA director and other agency officials describing major disaster declarations, i accidents, incidents, and other emergency / crisis situations. l ~ .~ Disposition: Cut off files at the end of calendar year. Retire to FEMA records holding area 1 year after 1 cutoff. Destroy 5 years after cutoff. 2. Emergency Action Officer (EAO) Logs. i Log used for recording each event and action taken by the EAO. 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. i 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 old. 5. Exercise Files. l 1 Documentation on each FEMA exercise, including plans, evaluations, and related comments, submitted by participating agencies. (, a. Plans, with scenarios, and evaluation reports. N-Volume: 16 cubic feet; annual rate of accumulation: 1 cubic foot. i

l-I. 70 Arranged by exercise. Disposition: PERMANENT. Transfer 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 States as listed in the 25th Amendment and 3 USC 19. Disposition: Destroy when. superseded, obsolete, or longer needed. I u 1 l )

.. -. ~,. g e- = f -) i 71-i K 5. National Preparedness Directorate F. Office of Operations, Federal Agency Support and Coordination Division l ~ 1. Trainina Files.. ~ Documents relating.to the assignment and identification of training requirements. Disposition: ' Destroy when superseded or. obsolete. 2. Interagency, Workina Group, and Task Force Files. l 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. [ Records relating to identification of personnel and ( other resource requirements for FEMA's civil emergency response activities and a listing of key agency emergency personnel. , Disposition: Destroy when superseded or obsolete. 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.. Disposition: Destroy when superseded or obsolete. f.s

1 1 72 l 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, l Emergency Response Team Planning. 1 Disposition: Destroy when superseded or obsolete.- 7. Exercise Case Files. t Reports, messages,. memoranda, and relaLed records pertaining to each exercise performed by FEMA. Disposition: Destroy when 10 years old or when l l-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 1 cubic foot. Arranged alphabetically by subject. Disposition: PERMANENT. Cut off at and of calendar year. Transfer directly to National Archives 20 pears 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. b. Registrar files containing student and related records.

73 l Disposition: Destroy 5 years after termination of program. 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; annual rate of accumulation: 6 inches. Arranged chronologically and thereunder alphabetically by name of exercise. 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. 12. National Security Document Files. Reference documents produced by FEMA or the Joint Chiefs of Staff. Disposition: Destroy when superseded, obsolete, or no longer needed for reference. 13. National Defense Executive Reserve (NDER) General Files. Working papers relating to-the administration of the NDER program government-wide, including copies of correspondence, Federal Register notices, and directives. (NN-171-167, item 6s) l Disposition: Destroy when no longer needed. IL i L______-_-__-__-___

74 i 14. NDER Conference and Training Files. Training files of sessions, courses, conferences, teleconferences, workshops, etc. conducted by FEMA and other agencies with NDER units consisting of conference proceedings, correspondence memoranda, evaluations, t egendas, student rosters, instructors' guides, student manuals, and other materials pertaining to t; raining 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 accumulation: 1 cubic foot. Arranged chronologically. ~ Disposition: PERMANENT. Retire to FRC at conclusion of conference or training session. Transfer to National Archives 20 years later. b. Training and conference packets and other supporting materials. Disposition: Destroy when no longer needed. 1 1 i i( I

~ ) 75 ) 5. National Preparedness Directorate G. Office of Information Resources Management ) These' files relate to the' study, selection, control, ) use, and maintenance of FEMA information processing i systems (IS) and equipment. k-1. Planning and Program Files. Documents reisting to the development of plans, policies, and procedures for FEMA information systems and programs, including maste.r plans for FEMA information systems and programs, feasibility studies, coordinating documents, IS review and monitoring files, approvalc, disapprovals,-charts, diagrams, and similar documents. 1 ' Disposition: Destroy when.no longer needed. l i 2. IS Hardware Selection Case Films. ( Documents relating to the planning and preparation.of initial acquisition (including selection, evaluation, procurement, and installation) of IS equipment. Records inc1'ude agency requirements, vendor specifications for hardware and software, and support capabilities of vendors of complete installation of. major peripheral equipment. These are selection criteria for procurement in the establishment or modification of IS installations. Disposition: Destroy 2 years after specific configuration of equipment is discontinued. 3. Utilization and Maintenance Reporting Files. Documents containing management data on the cost, resource allocation, utilization, and maintenance of information systems. There files include: a. Reports that operators complete relative to machine use or maintenance which are used for daily management l of operations and are required by the office ~ responsible for general management. These reports include Console Operations Logs, Daily Operations Logs, Operational Report Updates, and related reports. (.N-Disposition: Destroy when 1 year old. L .i

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c. - - ~ - - - - - - - l, 1 7g 'b. Monthly summaries.cf cost and utilization reports, some.of which may consist of magnetic tapes and machine-readable listings. Disposition: Destroy when 2 years old. - 4. 'IS Documentation Filos. 6' Documents containing definitions of the system including functional requirements, data requirements, system / subsystem specifications, requests for the system, and authorizing standard operating procedures. o . Disposition: Destroy 1 year,after discontinuation of system. 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. Handbooks, guides to data availability,.and procedures b 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. 1 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 i to the taats i r Disposition: Destroy 3 years after discontinuation of system i j. w i i j

i i 76 b. Monthly summaries of cost and utilization reports, some of which may consist of magnetic tapes and i machine-readable-listings. i Disposition: Destroy when 2 years old. j

4. -

IS Documentation Files. Documents containing definitions of the system including functional requirements, data-requirements, o - system / subsystem specifications, requssts for'the system, and authorizing standard operating procedures. Disposition: Destroy 1 year,after discontinuation of { system. 5. Systems st Documentation. Descriptive' material including test plans and test analysis reports. Disposition: Destroy 1 year after discontinuation of system. 6. User Guides. Handbooks, 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 discont1nuation 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 ( .q _______._______________._m.-_E..___..____

R' -l .77 ~ 8. IS Management Reporting Files. i a. Documents containing management data costs, j equipment, staffing, workload capacities, and overall 4 effectiveness of ADP operations and' documents;used to evaluate' rental, purchase,. operation, and maintenance costs. Included are reports, briefs, and related information. ~ Disposition: Destroy when 15 years old. b. Feeder reports.. Disposition: Destroy 2 years after summarization. 9. System operation Specification and Design Files. Documents consisting of detailed operating procedbres .for the implementation of a specific data system. Included are policies, instructions, details of computer techniques, flow charts,. logic tables, 1 input / output document flow data, and similar operating instructions. (- Disposition: Destroy when related ADP records produced by the systems have been erased. 10. P5".?. Inf:rx ti:n Cy 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 i ed in support of FEMA program offices. The files i co n data supplied by other federal agencies having delega emergency management responsibilities on all resources cessary to the defense or, in the event of i an attack, to a survival and recovery of the United States. I a. Input data. 1 1 Disposition: Delete data when o longer needed. b. Information system database. j Disposition: Destroy after an assistant as late director or above has determined that the info tion system is no longer required. W ] 1 l .i

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11. Emergency Broadcast System (EBS) Files. Plans, policy guidance agreements,'and studies mutually conducted by FEMA and the Federal Communications.. Commission (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 6 accumulation: 2 cubic feet. Arranged by subject. 6 Disposition: PERMANENT. Cut off at and of calender year. Retire to FRC 1 year after cutoff. Transfer to National Archives in 5-year blocks 20 years'after cutoff. 12. Radio Amateur C?vil Emergency Service (RACES) Files. Documents on the' management the RACES system including those relating to the NIAC. Disposition:' Destroy when no longer needed. 13. Warning Systems' Files. a. Planning and policy. guidance documents, correspondence, and memoranda relating to the operation of the various warning systems under FEMA's charter. Volume: 20 cubic feet; annual rate of accumulation: 2 cubic feet. Arranged by subject. Disposition: PERMANENT. Cut off at end of calen'dar year. Retire to FRC 1 year after cutoff. Transfer to Nation 1 Archives in 5-year blocks 20 years after -cutoff. b. Survey and study papers accumulated to determine warning capability, including names of volunteer wideband radio listeners, and lists of custodians of DIDS receivers. Disposition: Destroy when superseded or obsolete. c. Locator maps depicting the location of warning f points throughout the United States. _ _ = _ _ _ _ _ = _ _ _ = _ _ _

...,.s ,. u 79 '8 g: Disposition: Destroy when superseded or obsolete. d. Equipment inventories. Disposition: Destroy.when superseded or obsolete. 14. Communications Systems Files. f Documents relating to maintenance (engineering), installation, test, and evaluation activities.- Disposition: ' Dest'roy when superseded or obsolete. 15. COMSEC Filed. ~ a. Correspondence, memoranda, and other related material pertaining to the routine supply of COMSEC material. Disposition: Destroy when 2 years old. b. Daily inventory files. [ Documents reflecting daily inventories of accountable .( COMSEC material which are conductad 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 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.

80 Disposition:. Destroy after receipt of related superseding inspection, report or after account is closed. f. ,COMSEC' security investigation reports. Message reports and related~ correspondence on violations of physical, cryptographic,.and personnel security, and reports of investigation concerning the loss or compromise-of COMSEC material. 4 Disposition: Destroy when 5 years old~or after case ) 'has been adjudicated if a felony is involved, whichever is later. 3 g.- Courier, mail, and package receipts. All receipts for COMSEC-related mail and packages are included. Disposition: Destroy when 1 year old. h. COMSEC briefing / debriefing statements. Disposition: Cut off at and of calendar year. Destroy 15 years after cutoff. 16. Micrographics Inventory and Request Files. Documents relating to thq inventorying and creation of security-classified micrographics systems.- Disposition: Destroy when updated, superseded, or no longer needed. m e ( t

o..,,

aELAIEO COHHESPONDfMi

DCLKErf, P;Ni:T May 25, 1989

'89 MAY 30 P12:27 OF; e : UNITED STATES OF AMERICA

g, NUCLEAR REGULATORY COMMISSION BEFORE THE ATOMIC SAFETY AND LICENSING BOARD JUDGE IVAN W. SMITH, CHAIRMAN JUDGE RICHARD F. COLE JUDGE KENNETH A. McCOLLOM

) In the Matter of ) ) Public Service Co. of New Hampshire, ) Docket No. 50-443-OL et al. ) 50-444-OL ) Offsite Emergency (Seabrook Station, Units 1 & 2) ) Planning Issues ) ) CERTIFICATE OF SERVICE I hereby certify that I served by first-class mail to the attached service list copies of the enclosed Declaration of Vernon E. Adler and attachments on May 25, 1989.- Ivan W. Smith, Esq., Chairman Atomic Safety and Licensing Board Nuclear Regulatory Commission Bethesda, Maryland 20555 Dr. Richard F. Cole Administrative Judge Atomic Safety and Licensing Board Nuclear Regulatory Commission Bethesda, Maryland 20555

Dr. Kenneth A. McCollom Administrative Judge Atomic Safety and Licensing Board Nuclear Regulatory Commission Bethesda, Maryland 20555 Robert R. Pierce,.Esq. Atomic Safety and Licensing Board Panel U.S.. Nuclear Regulatory Commission Washington, D.C. 20555 Docketing and Service Section Office of the Secretary Nuclear Regulatory Commission Bethesda, Maryland 20555 Atomic Safety and Licensing Appeal Panel U.S. Nuclear Regulatory Commission Washington, D.C. 20555 Atomic Safety and Licensing Board Panel U.S. Nuclear Regulatory Commission Washington, D.C. 20555 Thomas G. Dignan, Jr., Esq.* Ropes & Gray One International Place Boston, MA 02110 John Traficonte, Esq.* Assistant Attorney General Office of the Attorney General One Ashburton Place, 19th Floor Boston, MA 02108 Dianne Curran, Esq.* Harmon, Curran & Tousley 2001 S Street, N.W. Suite 430 Washington, D.C. 20009 Robert A. Backus, Esq.* Backus, Meyer & Solomon 116 Lowell Street Manchester, NH 03106 Paul McEachern, Esq

• Shaines & McEachern j

Post Office Box 360 Portsmouth, NH 03801 Certificate of Service of FEMA's Pretrial Reply to Massachusetts Attorney General's Motion to Compel Production of Documents frem FEMA, page 2. l l i L

...~ Barbara St. Andre, Esq.* Kopelman & Paige 77 Franklin Street Boston, MA 02110 R. Scott Hill-Whilton, Esq.* Lagoulis, Hill-Whilton & Rotondi 79 State Street-Newburyport, MA 01950 Ashod N. Amirian, Esq.* Town Counsel for Merrimac 376 Main Street Haverhill, MA 08130 Judith H. Miener, Esq.* 79 State Street Newburyport, MA 01950 Gary W. Holmes, Esq. Holmes & Ellis 47 Winnacunnet Road Hampton, NH 03842 -J.P. Nadeau, Esq. Selectmen's Representative Board of Selectmen 10 Central Road Rye, NH03870 Charles P. Graham, Esq. Murphy and Graham 33 Low Street Newburyport, MA 01950 Richard A. Hampe, Esq. Hampe and McNichols 35 Pleasant Street Concord, NH 03301 Philip Ahrens Assistant Attorney General Office of the Attorney General State House Station, #6 Augusta, ME 04333 Geoffrey Huntington* Assistant Attorney General 25 Capitol Street Concerd NH 03301-6397 i Certificate of Service of FEMA's Pretrial Reply to Massachusetts Attorney General's Motion to Compel Production of Documents from FEMA, page 3. l 3 l i

_ Sherwin E. Turk, Esq.

• 0ffice of General Counsel i

U.S. Nuclear Regulatory Commission Washington,-D.C. 20555 Jane Doughty. 1 j '~ Soacoast Anti-Pollution League 5 Market Street Portsmouth, NH 03801 William S. Lord Board of Selectmen Town Hall - Friend Street Amesbury, MA 01913 Sandra Gavubis, Chairman Board of Selectmen RFD 1, Box 1154 Route.107 Kensington, NH 03827 Allen Lampert Civil Defense Director Town of Brentwood 20 Franklin Street Exeter, NH 03833 Angie Machiros, Chairman Board of Selectmen 25 High Road Newbury, MA 01950 Jerard A. Croteau, Constable 82 Beach Road P.O. Box 5501 i Salisbury, MA 01950 Michael Santosuosso, Chairman Board of Selectmen South Hampton, NH 01913 Calvin A. Canney, City Manager City Hall 126 Daniel Street Portsmouth,'NH 03801 Mr. Robert Carrigg, Chairman Board of Selectmen q Town Office l Atlantic Avenue North Har,oton, NH 03862 l Certificate of Service of FEMA's Pretrial Reply to Massachusetts Attorney General's Motion to Compel Production of Documents from FEMA, page 4. 4 m

p" N _1 l y William Armstrong Civil Defense Director -Town'of Exeter 10 Front Street Exeter, NH 03833 j 3 Mrs. Anne E. Goodman, Chairman l 1 Board of Selectmen 13-15 Newmarket Road Durham, NH 03824 Brentwood Board of Selectmen RFD Dalton Road i Brentwood, NH 03833 Richard R. Donovan Federal Emergency Management Agency Federal Regional Center 130 228th Street, S.W. Bothell, Washington 98021-9796 l Senator Gordon J. Humphrey U.S.-Senate 531 Hart Senate Office Building Washington, D.C. 20510 Dated: May 25,1989 LINDA HUBER MCPHETERS General Ai.Lorney Federal Emergency Management Agency 500 C Street, S.W. Washington, D.C. 20472 (202) 646-4105 Certificate of Service of FEMA's Pretrial Reply to Massachusetts Attorney General's Motion to Compel Production of Documents from FEMA, page 5. .__. - _ -}}