Copy RECORDS RETENTION RECORDS RETENTION SCHEDULE DEPARTMENT OF EMERGENCY SERVICES AND PUBLIC PROTECTION SCHEDULE#

Transcription

1 SCHEDULE Connecticut State library ibra ry.o rg/ 1. SCOPE: This schedule lists records unique to Department of Emergency Services and Public Protection and is used in conjunction with the Generai Records Retention Schedules and other relevant Records Retention Schedules. 2. AUTHORITY: The issues this Records Retention Schedule under the authority granted by 11-8 and 11-8a of the General Statutes of Connecticut (CGS). 3. RETENTiON PERIODS: Retention periods listed on this schedule are based on the records' administrative, fiscal, legal, and historical values, as well as statutory or regulatory r"equirements. In most instances the established period sets the minimum retention requirement. However, some records have maximum retention periods set by Federal or State statutes or regulations. P!ease note that any statute or regulation listed in brackets in the "Retention" column indicates the legai citation for that retention requirement. If a records series states, "/Archival," the agency should request approval to transfer the records to the State or an approved archival repository once the records are inactive. if a records series states, "May contain historical value," the agency should contact the State for archival appraisal before requesting disposition of the records. Not all such records wil! be determined to be archival; conversely, some records without this statement might have archival value. See General Letter # for guidelines on transferring records to the State. 4. FORMAT: Retention periods listed on this schedule apply to the official record copy, whether in paper, electronic, or other formal!f records are maintained only in an electronic system, the records custodian must be able to retrieve and interpret the content for the retention period. 5. DISPOSITION AUTHORIZATION: This schedule is used concurrently with the Records Authorization (Form RC-108}: which is used to request permission to destrov or transfer records that have met their retention period. The agency Records Management Liaison Officer (RMLO), the State Archivist, and the Public Records Administrator must sign the authorization form prior to destruction or transfer of public records. The cannot grant continuing approval to destroy records on an ongoing basis. No records may be destroyed if there are pending or active Freedom of Information Act (FOIA) requests; litigations; investigations; audits; or other cases, claims, or actions. Note that if there is a destruction hold placed on records, the retention period does not change and once the hold is lifted, the records may be destroyed after receipt of the signed Form RC DISPOSITION DUE TO REFORMATTING: DISPOSITION DUE TO REFORMATTING: In certain circumstances, records custodians may request permission to dispose of original records that have been imaged or microfilmed provided the public agency is in compliance with the State Library's Digital imaging Policy or Microfilming Policy. 7. AUDiT REQUIREMENTS: Under the Single Audit Act (31 USC 7501) audit requirements apply to Federal, State, and Local programs. The retention requirement,"_ years, or until audited, whichever is later," requires further explanation. in most instances "audit" refers to the general agency audit conducted by the State Auditors of Public Accounts or the general town or municipal audit conducted by an outside auditing agency, unless otherwise noted. The specific record itself may or may not have been examined as part of the audit process. The requirement of "until audited" is fulfilled when the official audit report is issued. The auditors may recommend that certain records be corrected. Such records, even when they meet retention requirements, must be retained during the period that any review is pending. 8. FOIA DiSClOSURE: This retention schedule governs the retention of public records- not the disclosure of public records. Refer to CGS et seq. or contact the Office of Governmental Accountability, Freedom of Information Commission (FOIC), regarding the disclosure of public records. 9. ESSENTIAl RECORDS: Records designated as "Essential" are those records necessary to respond to an emergency; to reestablish normal operations after any such emergency; to orotect the rights and interests of the agency; and to protect the rights and interests of individuals for whom it has responsibility. 10. OBSOlETE RECORDS: Records designated as "OBSOLETE" or "SERIES CLOSED" are no longer created or received in the normal course of business. Records custodians should request approval for the appropriate disposition of any records so designated as soon as the retention period has passed. 11. RECORDS CREATION REQUIREMENT: Nothing on this schedule mandates the creation of a record or records series if the agency does not already create or receive it in the normal course of business. However, agencies should be aware of any additional record keeping requirements estabiished by state or federal statute or regulation. Page 1 of 8

2 SCHEDULE AGENCY: Department of Emergency Services and Public Protection DIVISION, UNIT, OR FUNCTION: Division of Emergency Management and Homeland Security (DEMHS) RElEVANT STATUTES & REGUlATIONS AND ACRONYMS USED ON THIS SCHEDULE: http :1/ ibra ry. org/ AGENCY ADDRESS: 1111 Country C!ub Road, Middletown, CT CGS Sec through Sec a; CGS Sec. 10a-55a(c); 28 CFR 23 Criminal intelligence Systems Operating Policies; 44 CFR 350 Review and Approval of State and Local Radiological Emergency Plans and Preparedness. I 1 RMLO (type or print): JOB TiTlE OF RMLO (type or printj: (Signature"o]State Archivist): Cynthia Powell Office Superviso; \,/ f APPROVED (Signature of RMLO): /'/ A" AU Divisions 01. Alert and Notification Records 02. Advisory Bulletins DATE S!G!IJED: / Retention 1 This series documents the dissemination of DEMHS alerts and notifications to inform the public of various incidents, such as but not limited to, early release/late opening for State offices and severe weather related warnings and updates. Including but not limited to: press releases; Everbridge messages; emaiis; WebEOC (web-based real-time information sharing system); and correspondence" This series documents DEMHS advisory bulletins issued to state agencies and municipalities to provide operational policy and procedure guidance. 10 years from date issued \S- \2-\ This schedule is: D ORIGINAl rgj REVISED Superseded schedule number(s): 80-2 DATE SIGNED: Archival review required. Advisory Bulletins are issued for certain program activities. For example, bulletins are developed annuaily for the Nuclear Emergency Program (NSEP). NSEP provides funding to municipalities and state agencies to enhance the safety of Connecticut's nuclear power generation facilities. Page 2 of 8

3 SCHEDULE B. Emergency Preparedness Division 03. Disaster Preparedness, Response, and Recovery Records- Presidential or Governor Dedaration 04. Civil Preparedness Forces/Emergency Management Activation Records 05. State Emergency Operations Center (EOC} Activation Records http :1/ i bra ry. o rg/ This series documents records that are created in the course of preparation for, response to, or recovery from an event which is determined to be historic, including but not limited to, those for which the President of the United States declares an emergency or major disaster; disaster declarations; situation reports; disaster assistonce requests; applications; administrative plans; value assessments; pre-disaster assessments; damage assessments; and video, photographic, and/or audio records. This series documents the review and activation process of civil preparedness forces pursuant to CGS Sec. 28-7(f). Including but not limited to: notifications; activation forms; approvals/denials; rosters of participants, and related correspondence. This series documents the activation of the State Emergency Operations Center (EOC) during any major emergency affecting Connecticut. Including but not limited to: declarations of emergency; Incident Command System (ICS) Forms, Incident Action Plans, Situational Reports; WebEOC (web-based reai-time information sharing system); and sign-in sheets. 10 years from date activation approved or denied ):)-\-;-\ Records are maintained by disaster and may be of historical significance. Information from these records is used to develo!j state plans and to administer mitigation grants. See 51 for retention of ernergency preparedness records of less significance. Archival review required years from date of activation, or closeout of Situational reports are issued in varying frequencies. applicable grant, whichever is later Archival review required. Page 3 of 8

4 SCHEDULE Form RC-050 (Revised 08/2014} 06. Emergency Management/Homeland Security Program Records 07. Emergency Management Assistance Compact Request Records-- ~.ctivated 08. Emergency Management Assistance Compact Request Records- Not Activated This series documents the administration of the emergency management and homeland security program. Including, but not limited to: records associated with the preparation of the coroprehen5ive pian and program for civil preparedness of the state; agreements; strategic plans; Memorandum of Understanding (MOUs); and assessments. This series documents the activation of Emergency Management Assistance Cornpact (Ei\t1AC) and International Emergency 1\Jlanrigement Assistance Compact (IEMAC) agreements. Including but not limited to: requests and responses for assistance; correspondence; requisition forms; contracts; and memorandum of agreement. This series documents Emergency r v'lanagement Assistance Compact (EMAC) and International Emergency Management Assistance Compact (!E~,~1AC) agreements that are not activated. Including but not limited to: requests and responses for assistance and related correspondence. 5 fiscai years from http :1/ bra ry. o rg/ submission of final expenditure report, receipt of last payment, whichever is!ater or fina! c!ose out of contract 1 year from date of request \':)-\'1-\ Possible non-disclosure of public records pursuant to CGS Sec (b). See S1 for records related to program planning. Emergency Management Assistance Compact (E!\I'IAC) pursuant to CGS Sec a. International Emergency Management Assistance Compact (IEMAC) pursuant to CGS Sec d. Events related to a state or presidential declaration have historical value. Contact State Archivist for. See 53 for related emergency relief fiscal records. Emergency Management Assistance Compact (EMAC) pursuant to CGS Sec a. International Emergency Management Assistance Compact (IEM.A.C) pursuant to CGS Sec d. Page 4 of 8

5 SCHEDULE 09. Intrastate Mutual Aid Compact Records Plan Records This series documents the administration of the Intrastate Mutual Aid Compact pursuant to CGS Sec a. Including but not limited to: intrastate mutual aid compacts; resolutions V\t~tbdravvi!lg frcm cam pact; notifications of local civil preparedness emergencies; and related correspondence. This series documents the DEMHS review of local emergency operations plans annually submitted pursuant to CGS Sec. 28-7(a). including but not limited to: emergency plan of operations; notices; approvals/denials; and related correspondence. ctstateli bra ry.org/ 3 veors froit. date of DEr JiHS review or until replaced, whichever is later,-;.:::;p\2-\ Requests for assistance under compacts fall under series #3. Pursuant to CGS Sec a, municipalities are members of the Intrastate Mutual Aid Compact uniess they formally opt out of participation. Resolutions to opt out therefore have both legal and historical signiftcance. Archival review req1-1ired. 11. Schoof Security Plan Records This series documents DEMHS review of 3 years from date of DEMHS Plans submitted pursuant to CGS security plans from public school review Sec m through Sec n, districts, institutions of higher CGS Sec.10a-55a(c), and CGS Sec. education, and private occupational 10a-156a. schools submitted annually. Including See 55 for higher education crime but not limited to: plans, notifications, statistics and security report and correspondence. records. 12. Radiological Emergency Preparedness (REP) Program -After Action Reports This series documents the results and findings on State of Connecticut and local emergency response organizations performance during a simulated radiological emergency. Including but not!lrrilted to: after actlon reports and supporting documentation. Program Manual Radiological Emergency Preparedness FEMA P- 1028/January Page 5 of 8

6 SCHEDULE 13. Radiological Emergency Preparedness (REP) Program Records- Annual letter of Certification 14. Radiological Emergency Preparedness Program Records- Response Plans i bra ry. o rg/ This series documents State of Retain in agency Connecticut compliance with requirements for the Radiological Emergency Preparedness and Response (REP) program pursuant to 44 CFR 350. lnduding but not limited to: anrual letters of certification submitted to the Federal Emergency Management Agency (FEMA). This series documents response plans; traffic management plans; ioca! plans; state agency procedures; and public inforrnatlon products created by the Radiological Emergency Preparedness (REP) program pursuant to 44 CFR 350 and CGS Sec Including but not limited to: State Radiological Emergency Response Plans and supporting documentation. Library, State Docurnents Depository Program [CGS 11-4a; 11-9d] \S-\-2..~\ Program Manual Radiological Emergency Preparedness FEMA P- 1028/January 2015 Annual letter certifies that the State of CT is in compliance with the Radiological t:mergency Program Manual (NUR.EG 0654/ FEMA REP- 1). Pursuant to CGS Sec.28-31{c), a plan for carrying out the purposes of the nuclear safety emergency preparedness program during the next state fiscal year must be submitted annually to the Office of Policy and Management (OPM) by May l 5 t. Nuclear emergency response plans are tested and evaluated every year by Nuclear Regulatory Commission (NRC) for on-site actions, and every other year by Federal Emergency Management Agency (FEMA) for off-site actions. Page 6 of 8

7 SCHEDULE 15, Radiological Emergency Preparedness (REP) Program ~Supporting Documentatkm This series documents the administration of Radiological Emergency Preparedness (REP) Program pursuant to 44 CFR 350 and CGS Sec 28-31, including the development of nuc!ear emergency response fer areas surrounding nuclear electrical generation facilities and each awayfrom-reactor fue! storage facility; annual training of state and local emergency response personnel; and development of exercise scenarios and exercising of fixed facility nuclear emergency response plans, Including but not limited to: plans; training attendance sheets; meeting agendas; and exercise plans. i brary. org/ 16 years from end of FEMA evaluation cycle YS-\'2.-\ Retention period reflects federal/state radiological emergency preparedness program planning cycle. Exercises rotate on an 8 year cycle. The 16 year retertion ai!ows review of 2 rotations of training. C. Office of Counter Terrorism, includes Connecticut Intelligence Center (CTIC); Critical Infrastructure Protection Unit (CIPU); and Joint Terrorism Task Force (JTIF). 16. Criminal Intelligence Records This series documents the collection, analysis, and dissemination of criminal and terrorism-related information from the Connecticut Intelligence Center (CTIC) to state law enforcement agencies in accordance with Department of Homeland Security policies. Including but not limited to: threat assessments; Suspicious Activity Reports (SAR); bulletins; officer safety messages; and documentation indicating \Atho has been gl,jen information, the reason for release of the information, and the date of each dissemination outside the project. 5 years [28 CFR 23.20(h)] Pursuant to CGS Sec (b)(19) records may not be disclosable. See 28 CFR 23 for the Criminal intelligence Systems Operating Policies. Page 7 of 8

8 SCHEDULE Form RC-050 {Revised 08/2014) http :1/ i bra ry. org/ \'S-\-"2~\ 17. Facility Assessment Records This series documents physical security 5 years from date of last Pursuant to CGS Sec (b)(19) and vulnerability assessments of private assessment records may not be disclosable. and public facilities by the Critical Infrastructure Protection Unit {CIPU). lnciuding but not limited to: floor plans, security fee>tt res,. 2nd surveys D. Training and Exercise Division ~mergency Manc;;gernent ancl Homeland Security Emp!oyee Training Records 18. Nationalincident Management System (NIMS) and Emergency Management and Home!and Security Training Records 19. Emergency Preparedness Training and Exercise Materials This series documents required and optional federal or stale training received by DEMHS employees. inciuding but not iimited to: copies of certificates of attendance; summary/inventory sheets, and related spreadsheets tracking employee training. This series documents confirmation of National Incident Management System {NIMS) training by DESPP or other agencies per State Agency Training and Exercise Pian (SATEP) -Implementing Executive Order No. 34 Governor Dannel P. Mailoy. including but not limited to: rosters. This series documents emergency preparedness training and exercises delivered by DESPP/DEMHS to internal and external participants pursuant to CGS Sec. 28-S(d). Including but not Hmlted to: needs as:.essment sup;eys; long-term training and exercise plans; curriculum; course materials; and action reports. Duration of employment plus 30 years Retain in agency State agencies shall submit roster spreadsheets to DESPP/DEMHS Training Unit on a quarterly basis. Page 8 of 8