United States
Environmental Protection
Agency
Information Resources
Management
(3404)
EPA 220-1^-95-007^-
Issue Number 52
April 1995
SERA INFO ACCESS
GETTING MANAGEMENT
INVOLVED IN RECORDS MANAGEMENT
by Michael L. Miller, Agency Records Officer
When I ask records officers what they
need most from the National Records
Management Program (NRMP) the
answer is always the same: get "upper
management" involved. EPA records
officers aren't alone. Every records
management text stresses the need to
have "upper management" support for
a records management program to
succeed. While this is a given, even
more difficult to determine are answers
to the following questions:
* Who is "upper management" and
what do we want them to do?
* What can we do for upper
management?
» What arguments can we use to
convince upper management that
this particular topic is worth their
attention?
* What means do we use to convey
the message?
Over the next three issues of INFO
ACCESS for records, I want to use this
space to look at these four interrelated
issues and develop an approach that
records liaisons within the Agency can
use to gain the support they need. In
June, we will look at who "upper
management" is, what their issues are,
and what services we can provide. The
Involved in RM continued on page 2
VITAL RECORDS
* What are they? How do we identify them?
» What questions could we ask during the Inventory that would help us
locate vital records in our Program or Office?
* What is the status of the NARA statement on Vital Records Programs in
Federal Agencies? (page 4)
See page 5 for discussion on vital records issues in the EPA.
IN THIS ISSUE
PAGE 2
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j RECORDS
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ARCHIV
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PAGES
PAGES
EXCERPTS FROM RECORDS
MANAGEMENT DAY SPEECH AT iji <
PAGE 9
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CYBERSPEAK
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RECORDS AND
'
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AROUND THE RECORDS NETWORK
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MAP MAINTENANCE AROUND,
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JUSTICE ,,//:?'"
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R. RECORDS , >
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> Printed on Recycled Paper
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INFO ACCESS
APRIL 1995
Involved in RM from page 1
August issue will look at using cost/
benefit and risk analysis approaches to
enlisting management support for a
records program. Finally in October,
we'll turn to presentation methods that
records managers can use to make
their points.
I'd like to make this a dynamic
process, so I'm asking anyone with
additional suggestions, success stories,
or "lessons learned" to contact me, so I
can include your experiences in the
discussions.
NRMP's CURRENT ACTIVITIES
As part of the Program to enlist upper
management support, the NRMP has
undertaken five initiatives to raise
management consciousness on records
issues:
* Briefed the IRM Branch Chiefs
about electronic mail backup tapes
and used the opportunity to raise
more general electronic records
management issues.
* Drafted a memorandum from
Jonathan Cannon, Assistant
Administrator for Administration
and Resources Management, to his
peers concerning Records
Management Day and the
importance of records management
in the Agency.
* Drafted an issue paper for upper
management on major records
management issues facing the
Agency.
» Began a program by program
review with middle and upper
managers to determine what they
need from records management.
* Continued the pattern of
management briefings on records
management roles and
responsibilities.
NEW BROCHURE COMING
Finally, the NRMP will develop a new
brochure addressed to middle and
upper managers on the benefits of
good records management for their
program. Again any suggestions and
ideas are welcomed. Target date is
October 1, 1995. 4-
INFO ACCESS
INFO ACCESS, a forum to provide information and report on progress in
information management across the Agency, is produced by the Information
Access Branch (IAB) of the Information Management and Services
Division (IMSD), Washington, DC, under the direction of
Michael L. Miller, National Records Management Program Manager.
Please send comments and suggestions to: Susan Sallaway (contractor),
Network Coordinator, 3404, EPA National Records Management Program,
401 M Street, SW, Washington, DC 20460. Telephone: 202-260-5272.
Electronic mail: Sallaway.Susan.
NEWS FROM NARA
NEW TRAINING CLASS
Are you an AA-level or Regional
Records Liaison Officer? If so, this
class is for you. The National Archives
and Records Administration (NARA)
has announced a new training class
titled "Federal Records Management."
The 5-day training is scheduled for
June 19-June 23 and the cost is $500.
The class covers fundamental policies,
procedures, and issues relating to the
entire life cycle of records regardless
of medium. It concentrates on those
areas of records management for
which every Federal agency is
responsible and for which NARA has
Government-wide oversight
responsibility.
RACO '95
NARA's Office of Records
Administration is holding RACO '95
on May 24, 1995, at the Washington
Renaissance Hotel—Techworld. Find
out the latest from NARA on current
records management issues. The theme
of the Conference is "Transitions in
Rec ords Management—Expectations
versus Reality." Session topics include
electronic records, new (free)
automated records management
software, downsizing, the Government
Information Locator Service (GILS),
and how to revitalize a records
management program.
EPA RECORDS IN THE ARCHIVES
We send many records to the Federal
records centers, but rarely do we hear
News from NARA continued on page 6
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INFO ACCESS
APRIL 1995
RECORDS MANAGEMENT
As EPA becomes more involved with the Inventory process and developing
Records Management Plans in all offices, NRMP thought it could be useful to
pass along feedback from offices that are further along in the process.
Some have already developed their file plans and are developing manuals, and
others have begun to implement their plans. Many of the lessons that offices have
learned the "hard way" can be learned by others the "easy way " if the lessons
learned are shared. Please contact NRMP if you think that others could be helped
(or comforted) by the experiences you have had thus far in developing your program.
You heard from OSWER in the February issue of INFO ACCESS. This month the
feature "Lessons Learned" story is presented by Jessica Ruiz (contractor) from
Region IV. Thank you, Jessica!
LESSONS LEARNED IN REGION IV
Have you ever started a project and
wished that you had a guardian angel
to point you in the right direction?"
Well, you are not alone.
There are several principles that
have helped me develop Records
Management Plans in Region IV.
These are:
* to understand the function of the
organization;
•» to use the new Records Control
Schedules;
» to maintain flexibility, follow up
regularly; and
* to seek the active support of the
organization's managers.
By sticking to these basic principles,
developing a Records Management
Program is simpler and more
straightforward.
These principals guided me through
the entire process from initial analysis
of the group's records through
classifying the records according to the
EPA Records Control Schedules;
developing a file structure; making
records management recommendations
(such as dispositioning, alternate
storage, circulation and tracking or
records, etc.); combining all this
information into a user friendly
Records Management Manual; and
finally, implementing the plan with the
group's cooperation.
In order to write an effective
Records Management Manual or even
to classify the records a group works
with, it is fundamental to understand
the work they do the legislation might
affects their work. Often you can read
a program's handouts or brochures to
learn about their activities. Other
times, you can look for information on
Academic Abstracts or contact the
library. When you have a basic
understanding of the group's work
(and, picked up some of the lingo) you
have taken the first step toward
understanding their records.
For example, when I began work
with the Office of Environmental
Justice, I read up on how the office
was created and its purpose.
Consequently, when I spoke with the
Office Director I had a better
understanding of the work they do and
was able to make intuitive leaps that
would have been much more difficult
had I not had the background
information.
I was extremely fortunate because
when I began work on EPA Records
Management, the Records Control
Schedules had just been revised and
were available electronically in key
word searchable format. Jim
Whittington, Region IV s RMO,
loaded the schedules on the LAN so
they are available to everyone. The
new schedules are more user friendly
than the old schedules. The
descriptions are more specific, and the
"Related Items" section (a sort of "see
also" field) is invaluable. The
"Agency-wide Guidance" section has
also helped me out on more than one
occasion.
If you have not switched over to the
new Records Control Schedules yet, I
urge you to do so. Although most times
I have an inkling of what schedule to
use for a particular record, other times
I am completely in the dark. The new
schedules in electronic format make
searching for possibilities much easier.
Also, if you come across a type of
record or system that you have not
seen before, determining that it is
unscheduled is much simpler. This has
happened to me on a number of
occasions (Environmental Justice Case
Files, the Compliance Activity
Tracking System (CATS), and the UIC
databases).
Lessons learned continued on page 10
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INFO ACCESS
APRIL 1995
ARCHIVIST ADDRESSES RECORDS OFFICERS
As part of the observance of Records
Management Day on April 5, the
Acting Archivist of the United States,
Dr. Trudy Huskamp Peterson, met with
records officers for about 90 minutes.
Dr. Peterson began with an overview
of several issues of importance to all
Agencies and then took questions. The
following is selected portions of her
remarks.
Downsizing is an issue where
records management concerns need to
be addressed early. Dr. Peterson urged
Agencies to talk to both their appraisal
archivists and the Federal records
center as soon as downsizing planning
begins.
NARA is looking at reengineering
its process for reviewing and
approving records schedules. NARA is
looking at options such as conducting
"macro appraisals" that look at an
agency's overall recordkeeping
functions, and the development of
model schedules for potentially
permanent records held by multiple
Agencies. One records officer
commented that NARA should take the
lead in coordinating the scheduling of
records for activities such as
Superfund records for Federal
Agencies, and records such as permits
held at multiple governmental levels.
NARA has conducted three major
studies on records retention issues
including one with the National
Academy of Sciences on scientific
records. The report will be out soon.
NARA is still working on the E-
mail regulations. They hope to have a
revised version of the draft regulations
ready for comment before June. They
also are planning to produce a number
of related issuances, including a
bulletin and a self-inspection guide.
General Records Schedule 20 on
electronic records is being revised
based on comments received. It will
allow for the deletion of E-mail
messages once a copy has been made
arid filed either in an electronic or hard
copy recordkeeping system.
As part of the National Performance
Review II, NARA did propose to begin
charging for the storage of temporary
records in Federal records centers.
Whether that proposal is accepted
remains to be seen. Dr. Peterson said
that she agreed with the proposal,
which was in line with the NPR
guidelines for converting services to
reimbursable activities. Several records
officers commented that the proposal
would be counterproductive for
records management and the National
Archives. *
STATUS OF THE NARA STANDARD ON VITAL RECORDS
NARA Standards for Vital Records
Management in Federal Agencies is
coming along just fine, according to
Charlie Brett, NARA's "Vital Records
Guru". He said that we can expect a
rewritten proposal for rulemaking to be
published for comment before the end
of June 1995.
NARA originally put out a proposed
rulemaking regulation on vital records
for public comment in the May 31,
1994 Federal Register. Mr. Brett said
that so many good comments were
received, the proposal for rulemaking
has been completely revised to
incorporate them. Each Federal agency
will still be responsible for developing
their own Vital Records and Disaster
Preparedness Program.
The new draft also reflects the
tenets of the National Performance
Review that call for downsizing
directives and for creativity and
empowerment in Federal agencies to
accomplish their missions. The new
proposal will be high-level and very
broad, and leaves the specifics to the
records managers and top managers
involved in creating the vital records
programs in each agency. Many of
these changes are in line with
comments submitted by EPA.
Charlie Brett advised that a
good Vital Records Disaster Program
should concentrate on obtaining
information fast in an emergency
situation. Focus on the content, not the
medium. Where is the best place to get
the information? Emphasis should be
on obtaining current, complete, usable
arid accessible replacement
information.
When the new rule is finalized,
NARA will be publishing a vital
records program instructional guide for
those who want a "how to" workbook.
It will include worksheets and
questionnaires to help identify vital
records and provide checklists to assist
records managers in preparation of
their own programs. •*
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INFO ACCESS
APRIL 1995
VITAL RECORDS—PART I: How TO FIND THEM
Offices throughout the EPA are
conducting inventories of their records
in FY95 and FY96. This is a perfect
opportunity to collect some basic
information about the classifications of
records and develop a preliminary list
of vital records in agency offices.
Vital records are those records that
an organization must have to start up
again or continue operations if
everything were lost in a disaster, or to
resume operations with a minimum of
disruption. Vital records preserve the
financial and legal status of the
organization or pertain to the rights, of
employees, citizens, stakeholders and
external organizations. Also important
is information that would allow an
enterprise to resume data processing
operations. Vital records are often
irreplaceable and cannot be obtained
elsewhere.
In the Federal government, there are
two different kinds of vital records:
rights and interests records and disaster
recovery records. In the June issue of
INFO ACCESS, we plan to discuss
both of these in detail and discuss
examples of each kind that might be
located here at the EPA.
There are several classes of records,
so these would need to be clarified
early in the inventory interview.
* Vital records are essential to the
business and irreplaceable. These
require the highest level of
protection from loss.
* Important records are necessary to
the continuation of the business.
Their loss would be troublesome but
not ruinous. Important records
contribute to smooth operations and
deserve extra protection because
they can only be reconstructed with
considerable cost, time and effort.
Useful records are those that would
be helpful to have to ensure
uninterrupted operations of the
business. Though their loss would
cause temporary inconvenience,
they are replaceable.
After the definitions of the classes
of vital records have been discussed,
some examples of questions that can
be incorporated into an inventory
interview to help develop vital records
information are:
* Would the absence of any records
series prevent the office or program
from conducting business?
* What would the specific
operational, financial, or legal
consequences be if each records
series did not exist?
* Which records series could not
be replaced at any cost?
* Which records series have been
dispersed to remote locations in
the normal course of business?
Would the number of dispersal
points make reassembly of the
records series practical or more
difficult?
» Which records series could be
recreated by internal resources?
Which ones could be
reassembled from external
sources? What would the cost of
records series replacement be?
•» How soon after the disaster
would the records series need to
resume operations?
» Is it practical to duplicate the
documents in the records series
to create an extra security copy
for off-site storage and, if so,
how often should such
duplication be performed?
» When in the life cycle of each
vital records series does the
information lose its vital quality?
* Are any departmental resources
available for expenditures for
information protection? +
*Robek, Brown, Stephens. Information
and Records Management:
Document-Based Information
Systems, 4th ed., McGraw Hill , NY,
1995, p.74.
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INFO ACCESS
APRIL 1995
FROM THE "WHY WE NEED TO FIND WAYS TO BE PAPERLESS" DEPARTMENT
* Despite the explosive growth of
the computer industry in the last
15 years, the volume of paper
files has grown at an average
annual rate of about 7 percent.
This rate of growth is twice as
fast as the nation's economy has
grown during the same period (as
measured by the GNP).
* The American Forest and Paper
Association keeps statistics on the
amount of paper stock used to
manufacture file folders. During
the period from 1979 to 1992, the
quantity of paper stock used for
file folders increased 91.4
percent, from 127,600 tons to
244,300 tons.
News from NARA from page 2
that our records have finally made their
way into the National Archives
collection. The March issue of
NARA's publication The Record noted
that NARA had opened access to EPA
records in San Francisco, Waltham
(Boston), and Chicago.
PAPER PRESERVATION
The March issue of The Record also
included a very good (and brief) article
entitled "The Paper Preservation
Battle." The article explains the whys
and wherefores of alkaline paper and
what happened when the campaign to
have Agencies use alkaline paper met
the campaign to have Agencies use
paper containing postconsumer
waste—It's a good primer on the issue.
For a copy of the article contact
Susan Sallaway (contractor) on
202-260-5272 or Sallaway.Susan on
All-in-1.
NATIONAL ARCHIVES
FAX-ON-DEMAND SERVICE
NARA's fax-on-demand service is an
interactive fax retrieval system that
allows users to select and receive
NARA information by fax.
The system now contains about
120 documents and includes general
information about the National
Archives and its facilities and
holdings; general information, finding
aids and ordering information for
motion picture, video and sound
recording, electronic and cartographic
records; information about the
holdings of the Regional Archives and
Presidential Libraries systems; news
releases; job announcements; the John
F. Kennedy Assassination Records
Collection register; and daily Federal
Register table of contents and public
inspection lists.
The system is easily accessible.
There is no charge for this service
except for any long distance telephone
charges you may incur. You can obtain
the full list of available documents in
3 ways:
1. By calling the fax-on-demand
system at (301) 713-6905 using the
handset of your fax machine.
Follow the voice instructions and
select document #1.
2. By sending an E-mail message to
debra.wall@arch2.nara.gov with the
subject heading "faxlist". You will
receive an automated reply.
3. By accessing the NARA gopher,
CLIO. Point your gopher client to
gopher.nara.gov, or use a Web
browser (such as Mosaic or Lynx)
to open the following URL: http://
www.nara.gov/. Many, but not all,
of the fax-on-demand documents
are also available on the gopher.
NARA welcomes all comments and
suggestions about the fax-on-demand
service. 4
IN THE JUNE ISSUE ...
The Paperwork Reduction Act
More on Vital Records
Reinventing Government and
Records
Upper Management and
Records Issues
Docket Workgroup Update
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INFO ACCESS
APRIL 1995
COMMON FILING PROBLEMS, PART 2
by Lynn Calvin (Regional Records Officer) and Gerry Hegel, (contractor)—Region V
FOLDERS AND LABELS
Some of the most basic tools for filing
are folders and labels. These tools are
very helpful when used correctly. It is
easy to overlook issues that seem so
basic so this article will cover a few
ground rules and tips on using these
tools correctly.
File Folders—The primary device
for holding records. There are a few
different types of folders, with their
definitions being fairly standard in the
filing industry.
Manila or Kraft Folders—From a
functional point-of-view, there is no
difference between Manila and Kraft
paper stock.
These two paper stocks are
available in several thicknesses. The
thickness is referred to as "points"
which are thousandths of an inch.
These thicknesses are usually 9 pt., 11
pt., and 15 pt. The 11 pt. thickness is
by far the most commonly used.
These folders are designed for no
more than 3/4 inches of materials!
Folders are available in top tab for
drawer filing, and end tab for shelf
filing. The tabs may be partial (1/3 cut,
for example) or full tab. Full end tabs
are used when color coding is used.
Pressboard Folders—Pressboard is
a heavy cardboard-like material used
for expansion folders with capacities
of 1" or more. Two inches is most
common. The front and back of the
folder is joined by a pleated "gusset"
made of either fabric or Tyvek. These
are used for thicker files that must be
retained as one unit. They are also used
when a long and active retention is
anticipated.
The designed capacity of the folders
should be carefully followed. Again,
tabs on these folders are either in the
top position or end position, and the
same guidance as that for manila
should be followed.
Very often, pressboard folders will
have dividers (sometimes called
"classification" folders) installed in the
gusset so that the folder has two or
more divisions, with fasteners (metal
or plastic) to secure documents within
each division. With the use of
Common Filing continued on page 13
NRMP UPDATE
The following notes are from the
National Records Management
Program (NRMP). For more
information about any of the following
items, contact Susan Sallaway
(contractor) on 202-260-5272 or
SALLAWAY.SUSAN on All-in-1.
NRMP Inventory Package
For those of you conducting
inventories, the new NRMP Baseline
Assessment Package is a must. The
package includes a copy of the Guide
to Conducting a Records Management
Baseline Assessment (first distributed
at last year's conference at the Days
Inn in Washington), a pamphlet on
using the Federal Records Centers,
Steps 2 and 3 of the 6 Month's to
Better Files series, and some additional
sample forms developed during the
Headquarter's inventories.
Schedule Cross Reference Guide
Coming soon!! The tool you've always
wanted—a table that will take you
from the old records disposition
schedule number to the EPA series
number and the new NARA records
schedule number. Will be available
soon in hard copy and electronic form.
10 Frequently Asked
Questions About Records
The NRMP announces a revised
version of the flyer "10 Frequently
Asked Questions About Records." The
flyer is meant to be used to train
program staff in basic records
management concepts. The flyer
supplies information on the definition
of a record, reducing the volume of
records in offices, the benefits of good
records management, and who to call
for help.
Records Schedules—Round II
The NRMP began the second wave of
records dispositions schedule reviews
by sending the Office of Pesticide
Programs schedules for green border
review. Because these are program
NRMP Update continued on page 17
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INFO ACCESS
APRIL 1995
EXCERPTS FROM RECORDS MANAGEMENT DAY SPEECH AT THE CAPITOL
by Jan Meyers, Chair, House Small Business Committee,
April 5, 1995, sponsored by ARMA International
In recognition ofNational Records Management Day on April 5,1995, the Association
of Records Managers and Administrators (ARMA) hosted a luncheon at the U.S.
Capitol. Representative Jan Meyers spoke about the Paperwork Reduction Act,
which has just been signed by President Clinton. The following are excerpts from her
speech. Look for an article about the re authorization of the Paperwork Reduction Act
in the June issue of INFO ACCESS.
ARMA is to be applauded for
highlighting the important role that
professional "information" and
"records" managers play in the
information age.
As our society creates, uses, and
adapts to new information
technologies, the role of professional
records managers in all walks of life
will become even more significant.
The challenges and opportunities
associated with these changes in our
culture will become even greater.
The cumulative burden of
regulatory paperwork imposed by
Federal government is a major barrier
to productivity and demands renewed
attention. The Government's own
estimate is that the public spends some
7 billion hours a year meeting the
regulatory paperwork demands of
Federal agencies.
While a disproportionate share of
this overall burden falls on small
business, clearly the problem of
wasteful cost is everybody's problem.
These are huge numbers
representing hidden taxes on the
public. They are costs which do not
show up in Federal budget or
appropriations processes. They are
"off-budget" costs, if you will,
imposed on the public.
I congratulate ARMA for this focus
on the future that "National Records
Management Day" symbolizes. I
encourage you to have such a day
every year.
As a member of the Conference on
the Paperwork Reduction Act, let me
announce the Conferees have agreed to
reconcile the differences between the
House and Senate bills, a Report was
filed Monday, and the bill will be
passed by both houses and sent to the
President before the Congress leaves
for the April recess this week.
The President will sign the bill. The
Paperwork Reduction Act of 1995 will
become the law of the land.
Now let me highlight what will be
in the new law:
* My amendment to require each
recordkeeping requirement
established by the Federal
government to indicate how long the
record must be kept was agreed to
and will be part of the new law.
ARMA has fought for this
principle for a long time. You all
were ploughing this field back in the
late 1970's and early 80's when
former Congressman Frank Horton,
and others, wrote the original
Paperwork Reduction Act. You are
responsible for testimony before my
Committee that if everyone knew
how long to keep records, billions
of dollars in wasted storage costs
could be saved.
* A new burden reduction goal has
been established of 10 percent for
the first two years, 5 percent for
each of the four years thereafter.
* A six-year periodic authorization
for appropriations for the Office of
Information and Regulatory Affairs,
OIRA, is established. This sends a
clear signal to the President that
Congress supports an active
regulatory traffic cop for the Office
of Management and Budget (OMB).
We in Congress know any President
needs all the help he can get if
common sense is to be applied to
the regulatory system.
» The Public Protection provision of
the Act has been strengthened. This
feature of the law is intended to help
the public self-police the common
sense management principles
contained in the law. If for example,
a recordkeeping requirement does
not display an OMB control
number, then no one can be
penalized for failing to comply. If a
RM Speech continued on page 11
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INFO ACCESS
APRIL 1995
TECHNOLOGY CORNER—WORLD WIDE WEB
World Wide Web (WWW or "The
Web") is a worldwide, hypermedia
information system available on the
Internet and is used for finding and
accessing Internet resources. It consists
of screens full of words and pictures,
called pages, that can be connected to
each other via hypertext. It allows you
to mix text with graphics, sound, and
even video. From a WWW server you
can connect to other WWW
information anywhere in the world,
and also to Gopher, anonymous FTP,
and Telnet sites.
You access the World Wide Web
through a client program, sometimes
called a browser. For example, from
Windows you can use Mosaic or
NetScape, and on the Macintosh you
can use Mosaic, NetScape, or
MacWeb. From systems where the
terminals do not display graphics, you
can use a text-based system, like Lynx.
While you cannot view the graphics or
videos or hear the sounds, you can
download those files for use on another
platform.
How is the WWW set up? Each
WWW site has a "home page" which
usually gives information about that
site, and includes links to other pages,
either at that site or somewhere else on
the Web. What you first see when you
run your WWW client depends on how
you have your client configured. If you
have instructed it to always start at a
favorite WWW site, you will see that
site's home page.
If you have not configured a start up
home page, you may see the browser
publisher's home page or no home
page at all until you "open" a location.
Choose a link and see what you get!
WWW uses a hypertext based
information system. Any word in a
hypertext document can be specified as
a pointer to a different hypertext
document where more information
pertaining to that word can be found.
The reader can use a mouse to click on
the highlighted word, phrase or title,
and be transported to a second
document, just by selecting a word in
the first document. Only the part of the
linked document which contains
relevant information will be displayed.
The second document may itself
contain links to further documents. The
reader need not know where these
documents are, because they will be
referenced and presented as they are
needed.
How do you find interesting sites on
the Web? You may see references to
WWW sites on the Internet, in the
newspaper, or on television. Any
address that begin with "http:" is a
World Wide Web site. For example,
The Catholic University of America's
Web address is http://www.cua.edu
and Microsoft's "home page" is http://
www.microsoft.com. The Washington
Post runs a great article entitled
CyberSurfing in each Thursday's Style
Section that almost always lists a good
new site (or two) to try.
When you find a Web page you
like, you can save it as a bookmark. In
the future, you can choose that Web
site from your personal list of
bookmarks instead of remembering the
http address. *
WWW STATISTICS
Internet use has skyrocketed, especially since Mosaic and other WWW
clients became widely available. As of November 10, 1994, there were
1265 World Wide Web sites. The statistics below help illustrate this
exponential increase.
Traffic across the NSF Amount
backbone (Internet): of Data:
All of 1992: 500 MB
3 months, 1993 (Jan-Mar.): 5 GB
1 month, 1994 (Feb.): 347 GB
6 hours, 1994 (Sept.): 13GB
Incremental
Increase:
10
200
5
The average hourly traffic flow in November 1994 for the NSF
backbone (approximately 2 GB/hour) was 33,000 times the amount of data
flow that travelled the NSF backbone each hour in 1992. (This does not
include local traffic that does not reach the backbone level.)
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INFO ACCESS
APRIL 1995
ASCII (pronounced ASKEY):
Acronym for American Standard for
Computer Information Interchange
(or American Standard Code for
Information Interchange). ASCII
is the numeric code used to represent
computer characters on computers
around the world and is used to
communicate across operating
systems.
Client: A networked information
requester, usually a PC or a
workstation, that can query database
CYBERSPEAK
and/or other information from a server.
Client-Server: A computer, be it a
high-powered workstation, a
minicomputer or a mainframe, that
houses information for manipulation
by networked clients.
FTP: File Transfer Protocol is one
of the protocols on which the Internet
is based. FTP is used to copy, transfer
or move files from remote sites to your
own harddrive or from one computer
to another; for uploading files from
your computer to the Internet; and for
downloading files from the Internet
to your PC.
Snail mail: Mail that is sent via
the U.S. Postal Service, (as opposed
to E-mail, which is fast).
SQL (or Structured Query
Language): a standard language for
creating, updating, and querying
databases. Unfortunately, there are
subtle differences in each vendor's
software, so the only way to
communicate across operating
systems is by utilizing ASCII.
Lessons Learned from page 3
Furthermore, the new schedules are
compatible with the old ones. Sandy
York (contractor), who labored long
and hard with Mike Miller on the new
schedules, also put together a
conversion index that allows you to
update to the new schedules easily.
Flexibility has been the key to
developing a Records Management
Plan that everyone can live with.
Retention and final disposition are the
only areas you can not change to suit
the program's needs or wants.
However, internal and external
organization, location, labels, and
records tracking systems, to name a
few, can all be tailored to meet the
needs of the organization. Many times
what works for one will work for
another, but just as many times,
significant changes need to be made in
the Records Management Plan to meet
the individual needs of the programs. I
have found it is better to adapt to the
needs of the organization and stress
consistency and following the Records
Management Manual once it is
completed, rather than trying to impose
a structure that may seem ideal, but is
not one the organization feels
comfortable enough to buy into.
For example, if two units in
different divisions have grant files and
both use six-sided folders, but one unit
has always put the grant tracking sheet
on the first side and the other unit puts
it on the sixth side, it makes no
difference from a records standpoint,
as long as there is consistency within
the unit. Likewise, as long as the
records are identified by their EPA
series number (003A(b)), the units can
call the records by any name they
choose, such as grants files, control
files, or oversight files.
Follow-up is important because
even though the organization has good
intentions it is up to you to make sure
that records management remains (or
in some cases becomes) a priority.
Occasionally someone from the
administrative staff will be put in
charge of the "files overhaul," and
certainly this contact is valuable, but
there is no substitute for regular
contact with managers. Their support
is crucial for successful
implementation of a Records
Management Plan.
These are some of the Record
Management lessons learned in Region
IV. If anyone has questions, or would
like to discuss any of the points in
more detail, please don't hesitate to
call (404) 347-2401 x4330, or E-mail
me at RuizJessica. *
m~
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APRIL 1995
RM Speech from page 8
control number is displayed, it
shows the Agency has checked for
duplication, allowed for public
comments, and submitted a
justification for OIRA review and
approval.
* It will require the government to do
a better job at disseminating useful
information to the public. Agencies
will do this at cost, without creating
excessive user fees.
Since we have archivists in the
audience, let me add that the new
records management principles should
lead to a better preservation of those
records that belong to our national
heritage as well.
Let me turn to commenting on what
you can expect next.
At the beginning of this new
Congress, the House Small Business
Committee was assigned joint
jurisdiction for paperwork reduction
and regulatory flexibility. We also
have jurisdiction for the Chief Counsel
for Advocacy within the Small
Business Administration, an office that
monitors the impact of regulations and
paperwork on small business. While
OIRA is a traffic cop, the Chief
Counsel is intended to be the pit bull
for eliminating unnecessary burdens on
small business.
As you all know, the Paperwork
Reduction Act and the Regulatory
Flexibility Act amendments were
contained in two titles of a bill entitled
the "Job Creation and Wage
Enhancement Act". This bill is one of
the ten major parts of the "Contract"
(With America).
The PRA passed without a single
dissent in either the House or Senate.
All Republicans and Democrats were
in agreement.
The regulatory flexibility provisions
were passed by the House with almost
the same unanimity. Those
amendments will enable judicial
review of whether Agencies consider
alternative ways to reduce regulatory
impacts on small business and
strengthen the Chief Counsel's ability
to fight for small business within the
Executive branch and the Courts.
I believe the Senate will act on the
Regulatory Flexibility amendments
after the Spring break. It too has strong
support from Democrats and will likely
become law.
Recently, the President has been
making his own declarations on how to
eliminate regulatory and paperwork
excesses through "regulatory
reinvention initiatives". His philosophy
has been the same as the Congress' in
the two laws just discussed and
directed at reducing the burdens on
small businesses—"Protect people, not
bureaucracy; promote results, not
rules; get action, not rhetoric.
Wherever possible, embrace common
sense."
The President has directed EPA to
reduce its reporting and recordkeeping
burdens on businesses and
communities by 25 percent in one year.
On March 4th, he directed every
agency head to conduct a page-by-page
review of all their regulations now in
force and eliminate those that are
outdated. Agency heads are to begin
sending their reports to him by June
1st.
The Congress will work with the
Executive Office in eliminating
unnecessary regulations. In the next
100 days, I envision the House Small
Business Committee will dedicate
considerable time to oversight. The
Paperwork Reduction Act, the
Regulatory Flexibility Act, and the
President himself are establishing clear
measures to evaluate the reduction of
regulatory burdens. Now the challenge
will be to see that the laws passed, and
directives issued, actually work.
I believe the premium will be on
performance. We will have a strong
traffic cop and pit bull who should be
helpful. The hard work of oversight
and persistence will be a large part of
the next 100 day challenge. I am
confident ARMA will enjoy
participating in this effort. I welcome
everyone's help to see to it the job gets
done.
Again, I congratulate you on today's
initiative to highlight a National
Records Management Day. Good luck
and thank you. *
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INFO ACCESS
APRIL 1995
RECORDS AND INFORMATION SECURITY
The Environmental Protection Agency,
like many other public and private
organizations, has come to recognize
that the information it collects,
manages, and disseminates is an
invaluable asset. As such, information
resources are worthy of the same
concern for security the Agency
affords to its more tangible assets like
personnel, property, and funds.
Failure to provide for information
security has many consequences. Lost,
destroyed, stolen, or inadvertently
released information exposes the
Agency to possible legal action,
monetary loss, damage to
environmental missions, and negative
publicity.
Identifying the risks that
information resources are subject to is
a primary step toward establishing an
effective approach to security issues.
While fires, floods, and other
natural disasters are obvious threats to
the security of records and
information, other less cataclysmic
risks are more common. Some
examples include:
* Computer terminals left unattended
while logged into a program;
* Sensitive documents left in the
copier;
* Computer diskettes stored in
unlocked containers or desks
overnight;
* Copies of sensitive documents
placed in recycling containers;
* Confidential documents sent to an
unsecured fax machine; and
* Sensitive documents left lying
around at home.
EPA's INFORMATION SECURITY PROGRAM UPDATED
The revised EPA Information Security Manual and the revised Chapter
8 (Information Security) of Directive 2100 were submitted for agency-
wide Green Border Review on March 22, 1995, with comments due by
April 12, 1995. The revisions provide clear instructions for the preservation
of the Agency's information resources and more clearly define the roles of
individuals responsible for ensuring that information safeguards are in
place.
On April 3, 1995, the Office of Management and Budget (OMB)
released its proposed revision of Circular A-130, Appendix III—Security of
Federal Automated Information. Among other significant changes, the
revised circular shifts more accountability for safeguarding Federal
information to the individual's level. To bolster and implement this reform,
Agencies will be required to develop and enforce risk-based rules of
behavior.
Addressing the risk to information
resources from natural disasters is
essentially a defensive exercise.
Disasters can only be planned for, not
predicted or prevented. Identifying and
protecting vital records and creating a
disaster recovery plan will help ensure
the Agency's mission is not
compromised.
The key element in responding to
most of the other risks information
resources are exposed to is the security
awareness of each employee. Employees
should know which records they are
responsible for and who has authorized
access to those records. They should
understand the security precautions
built into paper and electronic systems
and avoid intentionally or inadvertently
bypassing them. Finally, employees
should be aware of their legal and
ethical requirements to protect and
preserve the information for which they
are the custodians. +
FOR MORE INFORMATION
Information is increasingly being
acknowledged as a valuable
organizational product or good in
and of itself—a commodity. In the
not too distant future, all
information managers will need to
understand the full range of
information resources that are
vulnerable to information security
risks. Along with this will come
the need to develop effective
policies, systems and procedures
in organizations to reduce these
risks and improve protection
strategies.
For a good discussion on this
topic, see Records Management
Quarterly, January 1995 for an
article entitled Information
Security: An Overview and
Resource Guide for Information
Managers, by Lisa B. Hill and
Dr. J. Michael Pemberton.
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APRIL 1995
Common Filing from page 7
fasteners, a two division folder will
actually have four surfaces to which
records can be fastened. One typical
folder of this type within government
is frequently referred to as a "six-part"
folder.
Expansion Pockets—Pockets are
usually made of a red fibre-type
material with expansion gussets on
three sides. These are used for large
files or bound material when fastening
to a folder is not feasible or desired.
They are available with top and end
tabs.
Regular folders are sometimes
placed inside them to divide a file.
This can be awkward because the
interior folders are too large to fit
properly. It is more efficient to label
individual folders properly and take
care to file them in the correct record
series.
There are various capacities for
these pockets, 1", 2", 4" and sometimes
larger. Very large sizes should be used
with caution.
Hanging or Suspended Folders—
Folders that are hung from metal rods
found in file drawers. Plastic tabs are
inserted on the top to identify the
contents. Like regular folders these are
designed for 3/4 inches capacity. Many
times, regular folders are placed inside
hanging folders. If they are, they
should be labeled with the three digit
EPA code to match the hanging folder.
This facilitates properly refiling the
records when the inside folder is
removed for use.
Clips are available to fasten these
hanging folders together, forming an
accordion-like arrangement in the
drawer. This is done to prevent records
or folders from falling between the
hanging folders.
The practice of removing hanging
folders to carry records should be
discouraged at all costs. The ability to
ensure proper refile is lost. More
importantly, the hooks catch on
clothing, people, other folders,
briefcases and more.
If thick files are to be placed in
hanging folders, a model known as a
"box bottom" is available. This folder
folds out flat at the bottom and a piece
of stiff board (supplied with the folder)
is inserted so that the bottom stays flat.
Used properly, contents will stay down
in the folder and not get caught in the
top of the drawer opening. This varies
from cabinet to cabinet, and the inside
folders may need to be smaller, or the
hanging folders deeper.
Do not put too many hanging
folders in the drawers because they
will creep up and get caught in the
drawer opening. Leave room for
expansion as records are added.
Fasteners—Manila, kraft and
pressboard folders can have fasteners
installed. While holes can be punched
in the folders and have fasteners
placed, it is not recommended. The
back part of the fastener on the outside
of the folders will cause them to catch
on each other and damage the folder
and papers. Factory-installed fasteners
are far superior. There are metal
fasteners as well as plastic fasteners.
Metal fasteners are cheap and widely
available, but if frequently used can
result in damage to the file and to
users' fingers. Plastic fasteners are
generally more expensive and less
sturdy but may be easier on the
documents and the users.
Labels—Labels should be used to
identify the record series code, date,
and the contents of folders and
pockets. Writing or typing directly on a
folder is not only tedious, is less
legible and the process can damage the
container.
Pressure-sensitive labels are the
most commonly used. Gummed labels
are still available, but should be
avoided since their adhesive life is
limited.
Label Size—The temptation to use
large labels on folders should be
avoided. Labels should be as simple as
possible so the extra space isn't
needed. Three lines or less is
optimum. A regularly sized file folder
label (usually 3-1/2" x 5/8") is the best
to use.
Label Application—The ability of
the label to stay adhered to the filing
container can be affected by many
factors. Most common is the person
applying the labels getting their fingers
in the adhesive, particularly if they are
wearing hand lotion.
The age of the label is another
factor (maximum shelf life is 3 years),
and the condition of the filing
Common Filing continued on page 15
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INFO ACCESS
APRIL 1995
AROUND THE RECORDS NETWORK
OARM AND AO
CONTINUE INVENTORY PROJECTS
Inventories for the Office of the
Administrator (AO) and the Office of
Administration and Resources
Management (OARM) continue at
Headquarters. The AO is continuing
its detailed inventories, and OARM is
nearing completion of its detailed
inventories.
OECA COMPLETES INVENTORY
The Office of Enforcement and
Compliance Assurance completed an
abbreviated records inventory. The
report represents a first attempt to
inventory OECA records and provides
the best information to date on OECA
records. It also offers recommendations
for improving records management in
the office.
REGION 4 INVENTORY
Region 4 has inventoried over
6,000 feet of records in its Waste
Management Division. Roughly one
third was classified as technical
reference.
REGION 8—MONTANA
OPERATIONS OFFICE
Records Awareness Week and
National Records Management Day
received a lot of publicity in Montana.
Important activities included public
service announcements made by the
Secretary of State on display in
Helena, Butte, Billings, Missoula, and
Great Falls, and a proclamation by the
Mayor of Helena. The Superfund
Records Center in Helena was
included in an AP press release that
invited the public to stop by and see
what the records center has to offer.
Fact sheets and other statistical charts
were prepared as handouts.
REGION 9
The grand opening of the new
Superfund Records Center in Region 9
was held on March 23, 1995. More
than 200 EPA staff, contractors, and
citizens attended the special event
which included a ribbon-cutting
ceremony. Records center staff gave
tours of the 8,600 square foot facility
which includes greatly expanded
departments for public viewing and
circulation, on-site box storage, and
document processing. Guests had the
opportunity to view and participate in
demonstrations of the Superfund
Document Management System
(SDMS) optical disk imaging system,
circulation control using barcodes,
document-level indexing and on-line
searching, and preparation of files for
the FRC. The open house also included
photo displays showing the progression
of the build-out and the move.
AWBERC
WALKTHROUGH INVENTORY REPORT
Scope of Project
From November 1994 to February
1995 AWBERC records staff and
liaisons completed a walkthrough
inventory of EPA employee records.
All record and non-record paper files
and subscriptions were measured and
divided into four categories:
* Program (EPA records related to in-
house and extramural research)
* Administrative (EPA records related
to administrative issues)
* Reference (non-record material
including journals and reprints)
* Personal (non-record personal
material)
Blank forms, software manuals, and
books were excluded from the
walkthrough inventory.
Project Outcome
The walkthrough inventory assisted
records management personnel in
planning for the in-depth inventory
(begun in April) and identifying
programs with particular records
management needs. The walkthrough
also allowed the Records Management
Officer and Liaisons an opportunity to
promote the new filing plans recently
adopted in all labs and OARM. The
contractor records manager was also
able to offer assistance to several staff
members in reorganizing their paper
files according to Lab/OARM file
plans.
The walkthrough inventory
indicated 504 AWBERC staff
members are maintaining over 15,928
linear feet of records in their office
areas, hallways or individual storage
areas. Additionally, AWBERC's on-
site records center contains an
additional 2,371 cubic feet of records.
Although the walkthrough identified
some problem areas, there are
Q
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INFO ACCESS
APRIL 1995
programs participating in successful
records management activities
including centralized filing and the use
of technology to more efficiently
manage records.
Note from NRMP
For those of you just starting your
inventories, AWBERC prepared an
excellent Inventory Training Script to
prepare their people for the inventory
process. The agenda covers the
purpose of the inventory and provides
Common Filingliom page 13
container being used. If it is dirty, bent
or the surface is rough, the adhesive
will not work well. The humidity in the
room at the time of application is also a
factor.
Label Layout—Each label should
include the applicable EPA record
series three digit file number and a
description of the contents of the
folder. The date of the material should
be clearly shown so as to facilitate
easier file breaks and file purges.
Drawer Labels—The process of
finding files quickly can be enhanced
when drawers, doors and/or shelf
ranges are labeled for the contents. The
identification can be by series using
the EPA series number, then more
detailed as necessary. Typed labels
will do, although larger characters are
more effective.
Guides—File guides act as a
signpost to signal major divisions
(breaks) in a file series. They are
usually a single sheet of pressboard
an explanation of what to expect, an
outline of the progression of events,
and a list of the tools needed to start.
There is also a module which includes
a detailed discussion of the inventory
process for paper and electronic
records, and describes what record and
non-record material that the people in
the office can expect to find during the
inventory.
For more information on how the
script worked for them, call Sue
Mercurio-Hoover at AWBERC at
with a metal tab attached. A label is
prepared to be inserted into the tab.
In an alphabetic system, the guides
might signal the beginning of each
letter. In a numeric system, they would
signal major number break, say, by
hundreds. This gives the person
looking for the record an idea of where
they are in the system.
System Summary—Think of each
of these parts of a system in the
context of a road map. The file drawer
label acts as a neighborhood locator,
the file guide as a street sign, and the
folder label as a house number.
DAILY Do's AND DON'TS
* Do use a folder or pocket at no
more than its designed capacity.
* Do choose the weight (thickness) of
the folder or pocket depending on
duration and frequency of use.
* Do choose fasteners when necessary
to ensure that papers stay in the
folder, or to divide the contents.
(513)569-7751 or E-mail at
Mercurio.Sue, or call Sheryl Drexelius,
(contractor) at (513) 569-7747 or E-
mail Drexelius.Sheryl.
You can use this inventory training
script as the basis for your own
training program. Amend it to fit your
particular office's inventory
preparation needs and personality.
Contact NRMP via E-mail on All-in-
One at Sallaway.Susan for an
electronic copy of this program. *
* Do prepare labels with required
EPA series number and adequate
information to describe the contents,
as brief as possible. Include dates
on all labels.
» Don't remove hanging folders from
the drawer.
LABELS
* Do apply labels carefully. Keep
fingers out of the adhesive.
* Do use letter size folders only. The
vast majority of documents are now
letter size. If legal size pages are
encountered in a folder, just fold
them over. Legal size folders take up
to 25% more space, 95 to 99% of
which is wasted.
* Don't write or type folder
information directly on the folder—
use labels.
» Don't bend folders. Bending
breaks down the fiber and shortens
their life. *
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INFO ACCESS • APRIL 1995
MAP MAINTENANCE AROUND THE NETWORK
We recently took an informal survey of
a number of records operations to find
out how they dealt with maps. We
were particularly interested in finding
out how they managed oversized items
and linked them to the related files.
In general, oversized items (maps,
aerial photos, etc.) are handled two
ways, depending on whether the
records center operation has access to
an automated data base. Those
operations that do not have access to
automation use a cross reference or
"slip sheet" system. They place a sheet
of paper in the appropriate file that
indicates where oversized materials
such as maps can be found. Those
operations that do have access to
automation will enter map information
into a data base. Some operations (for
example, a number of Superfund
records centers) have document-level
indexing that allows them to include
information on all records, regardless
of format, in the same data base.
Maps are maintained in a variety of
ways—map drawers, cabinets and
boxes with "cubby" or "pigeon" holes,
hanging files and holders, stacked on
shelves, and folded and placed in
standard folders.
The following are details from some
of the records operations.
Region 1 Superfund—Remedial
program maps are placed in map
drawers and "oblique" files. Staff
place a cross reference sheet in the site
file and produce a list of maps to
indicate where they can be found.
Removal program maps are folded and
placed in the file folder whenever
possible. If this is not possible, a slip
sheet giving the location of the
oversized item is placed in the folder.
Folder numbers are also placed on
each map.
Region 2 Superfund—Maps are
filed in map cabinets with "cubby
holes". The file structure has a section
for "imagery" and a cross reference
sheet is placed in the site file indicating
there are maps for the site.
Region 3 Superfund—Maps are
placed in "pigeon holes", part of their
mobile filing cabinet system.
Information is entered into their
tracking system. If maps will fold up,
they are placed in the appropriate site
folders.
Region 4 Superfund—Oversized
maps are sent to the regional records
center. Information is entered into a
data base, identifying the site
identification number, name of map,
and the number of volumes (if
needed). A report listing all the maps is
sent back to the program.
Region 5 RCRA—Rolled facility
maps and blueprints stacked in an "out
of the way" place in the back of the
records center. They are trying to find
appropriate storage containers to
enhance the accessibility.
Region 5 Water—Some maps are
folded and placed in facility files and
others are in a map cabinet, filed
alphabetically by facility.
Region 5 Superfund—Maps kept
separately in hanging map cabinets,
filed by State. A "see" reference sheet
is placed in the appropriate site file
folder. They also specify there is a map
in the site specific index in the
appropriate subsection by saying "see
map cabinet". Folder size maps are
placed in the site file but large rolled
maps are kept together in the back of
the Records Center.
Region 6 Superfund—Maps are
not cataloged at the present time. Plans
are to use software to manage them.
Region 6 Water—Maps are rolled
up and filed in "cylinder" boxes and
identified by permit number. Cross
reference information is placed in the
appropriate permit file. Staff are
currently implementing software and
map information is entered as
historical background information.
Region 7 Waste Management
Center—Maps are stored in roll and
flat map cabinets. They are indexed
into a data base that indicates the map
cabinet and location of the map. Aerial
photos are stored in "plan hold"
hanging map cabinets. They are
arranged alphabetically by site or area
and indexed into the data base.
Region 8 Superfund—Oversized
documents are maintained on
microfiche (filed alphabetically by
site), in original form in a map cabinet
or map box (filed alphabetically by
site), or folded and included within
reports. Each map or other oversized
document is assigned a document
number and information is entered into
the Inmagic site data base.
Map Maintenance continued on page 18
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INFO ACCESS
APRIL 1995
JUSTICE
On January 19. 1995, a Silver Spring, Maryland attorney was convicted in a case
involving criminal unauthorized destruction of Federal records. The following is a
statement made by the Department of Justice on the day of the sentencing. The
defendant cannot ever be reemployed by the Federal Governmental and was
disbarred by the State of Maryland.
United States Attorney Eric H. Holder,
Jr., announced that Attorney Lawrence
Gottfried, 50, of Silver Spring,
Maryland, was sentenced in the United
States District Court to 15 months in
Federal prison for mutilating and
destroying government records
belonging to the Department of
Veteran's Affairs.
From March of 1971 until his
resignation on August 9, 1994,
Gottfried was employed as an
Attorney/Advisor at the Board of
Veteran's Appeals (BVA) in
Washington, D.C. The BVA is the
division within the Department of
Veteran's Affairs that is responsible
for handling thousands of appeals filed
by veterans whose medical disability
claims have been denied by local VA
offices. Gottfried's primary
responsibility was to review claims file
of individual veterans, which
contained medical and service records.
Upon conducting this review, Gottfried
had two options. He could either draft
a decision on the merits of those claims
or he could recommend that a
particular veteran's case be remanded
to the local BVA office for the addition
of information or documents missing
from the file. Generally, it was faster
and easier for Gottfried to take the
latter course of action.
In late 1993, one of Gottfried's
supervisors began to suspect that
Gottfried was recommending that
cases be remanded even though the
documents needed or a decision were
already in the veteran's files. An
investigation was opened by the
Inspector General's Office, and from
February to May 1994, the DIG
monitored and copied 36 veterans'
case files before they were assigned to
Gottfried for processing. The
investigation showed that in 32 of
these cases Gottfried removed
documents from the files and then
recommended that these cases be
remanded because of the missing
information. On May 17, 1994 an OIG
agent found numerous mutilated and
discarded veteran's documents in the
trash left at the curb side of Gottfried's
house. On May 20, 1994 the OIG
found more veteran's documents while
executing a search warrant at
Gottfried's house.
In July of 1994, Gottfried pleaded
guilty and was sentenced by Judge
Stanley S. Harris to 15 months in
prison. He was also ordered to repay
the BVA $39,000 in restitution costs.
This case was the result of an
investigation headed by Special Agent
Warren Lee at the Department of
Veteran's Affairs, with the assistance
of the BVA. U.S. Attorney Holder
commended the efforts of the OIG and
those of AUSA Suzanne Curt, who
prosecuted the case. •*
NRPM Update from page 7
specific schedules, they are only being
circulated to the program itself, the
Office of General Counsel, and the
Office of Inspector General. Office of
Water program schedules and a second
(much smaller) set of agency-wide
schedules will be next.
Training Available from AIIM
The Association of Information and
Image Management (AIIM) is offering
two training classes in May in the
Washington DC area. "Communication
in Document Management" is being
offered May 3, 1995. The instructor is
Don M. Avedon. "Implementing
Imaging Systems Utilizing
Commercial-off-the-Shelf (COTS)
Components" is offered on May 23,
1995, by Tom Dale. Cost is $100 for
AIIM members, $150 for non-
members. *
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INFO ACCESS • APRIL 1995
ASK DR. RECORDS
Are video recordings of conferences
or audio recordings of
teleconferences considered records?
destroyed once the transcription is
complete and verified.
Yes they are records, assuming they
are videos or recordings of agency
meetings, etc. The question is how
long must they be retained. The
Code of Federal Regulations (36
CFR 1228.38f) requires that
Agencies document "important
board, committee, and staff
meetings." This may be done by
taking minutes, but programs may
choose to have technology do the
work for them. In those cases, the
audio or video recordings should be
retained as long as transcribed
minutes would be saved. Normally,
except for meetings or addresses of
historical importance (e.g., a video
recording of a major address by the
Administrator) audio and video
recordings used to develop written
transcriptions or minutes can be
Map Maintenance from page 16
What, if anything, does the CFR say
about drafts?
Not much that is helpful. 36 CFR
1222.34 (c) discusses working files
and similar materials. It says:
"Working files, such as preliminary
drafts, rough notes, and other similar
materials shall be maintained for the
purposes of adequate and proper
documentation if (1) They were
circulated or made available to
employees, other than the creator,
for official purposes such as
approval, comment, action,
recommendation, follow-up, or to
communicate with agency staff
about agency business; and (2) They
contain unique information, such as
substantive annotations or comments
included therein, that adds to a
proper understanding of the
Agency's formulation and
execution of basic policies,
decisions, actions, or
responsibilities."
Part (1) is easy enough to
understand, and is a basic test of
what is a record. However, (2) is
less clear about what it covers.
Drafts created during the regulatory
development process are clearly
included; drafts of general
correspondence, drafts for most
publications, and drafts of other
routine documents are clearly
excluded. But is a permit a decision
or action for which all drafts with
"substantive annotations" must be
saved? To be on firm footing,
programs need to develop specific
recordkeeping requirements
concerning the maintenance of
drafts for their major programmatic
activities and coordinate the
requirements with records
managers and legal counsel.
Region 9 Superfund—Oversize
documents, including maps, are filed in
a map case arranged alphabetically by
site name and within each site by
document number. Odd-sized or
unusually shaped oversize documents
are placed in a designated storage area.
Information on the documents is
entered into the subject field of the site
data base. Information included in the
field includes title, scale information,
color or black and white, whether a
clear plastic overlay is included, and
authorship.
Region 10 RCRA—Maps are
stored vertically in map boxes and
identified by the facility identification
number. The "rainbow" filing system
has a section in its. filing structure for
maps and other imagery. A blue cross
reference sheet is placed in the
appropriate folder with the description
of the material and its location.
Region 10 Superfund—Oversized
maps are bar coded, rolled up, and
placed into a vertical map box.
Information is added to the site file
index and a slip sheet is placed in the
site file. +
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INFO ACCESS • APRIL 1995
CONTACT LIST UPDATES
Office of the Administrator
m> Principal Contact: Frank Rusincovitch;
(202) 260-4070; Fax: (202) 260^474;
1104; Dmail: Rusincovitch.F
**• Alternate Contact: Hsiu-Mei Hung;
(202) 260-8802; Fax: (202) 260-4474;
1104; Dmail: Hung.Hsiu-Mei
Office of Executive Support
e> Principal Contact: Tanya Meekins;
(202) 260-4355; Fax: (202) 260-3522
**> Alternate Contact: Harriett Benbow;
(202) 260-4057; Fax: (202) 260-4474
Delete the following from list:
*> Lori Wynne*; (202) 260-8557
'••- Office of Communications Education &
Public Affairs: Sheri Jojokian; (202)
260-5283; 1701:
Office of General Counsel
e> Principal Contact: Jacqueline G.
Brown; (202) 260-4308; Fax: (202) 401-
1617; 2312; Dmail: Brown.Jacqueline
Office of Water
**> Alternate and Docket Contact: Gloria
Posey; (202) 260-3983; Fax: (202) 260-
5711; 4102; Dmail: Posey.Gloria
Office of Solid Waste and
Emergency Response
^ Bette Drury*; (202) 260-6757; 5103;
Dmail: Drury.Bette
^ Waste Management Division: Delete
Georgene Boiling
Office of Prevention, Pesticides
and Toxic Substances
*> Pesticides Docket: Calvin Furlow; (703)
305-5937; Fax (703) 305-5884; 7506C;
Dmail: Furlow.Calvin
Region 6
Region 2
290 Broadway, New York, NY
10007-1866
% Regional Records Officer: Robert A.
Messina; (212) 637-3336; Fax: (212)
637-3354; Dmail: Messina.Bob
^ Alternate Contact/Archiving and
Disposal: Maria Mendoza; (212) 637-
3335; Fax: (212) 637-3354; Dmail:
Mendoza.Maria
** RCRA RMO: Joseph Clore; (212) 637-
4163; Fax: (212) 637-4437; Dmail:
Clore.Joseph
«*> Water: Ari Harris; (212) 637-3763;
Dmail: Harris.Aristotle
DOCKET WORKGROUP AMENDS VISION STATEMENT
In a series of three meetings held at Crystal Station in Virginia, the Docket
Workgroup rewrote the Vision Statement, set new goals, and began to
prepare a Work Plan for the rest of FY95 and for FY96. The Workgroup
has also made major headway updating the Docket Guidance Manual. The
Vision Statement is a dynamic document that will be revised periodically,
as needed.
FINALIZED VISION STATEMENT:
"The Agency Docket Network will meet its dual mission of supporting the
Agency's regulatory process and providing high quality public access by
simplifying access to information across docket facilities, coordinating
policies, procedures, and operations; and utilizing advanced information
technology."
*• Water RMO: Delete Jo Taylor
Region 9
95 Hawthorne Street, Suite 403-S,
San Francisco, CA 94105-3901
°- Superfund Records Manager/Remedial
AR Coordinator: Add under Elaine
Chan
*>• Margaret Morkowski; (415) 744-2382;
Fax: (415) 744-1917; H-7^1; Dmail:
Morkowski.Margaret
*• Superfund Removal AR Coordinator:
Sandy Farber; (415) 744-2303; Fax:
(415) 744-1916
"'• Superfund Records Center Manager:
Diane White*; (415) 536-2036; Fax:
(415) 764-4963; H-7-4; Dmail:
White.Diane
Environmental Research
Laboratory/ORD
Athens, GA
^ Laboratory Records Manager: Janice
Sims; (706) 546-3302; Fax: (706) 546-
2018
Environmental Monitoring
Systems Laboratory (EMSL)
Cincinnati, OH
^ Records Support: Diana L. Irwin; (513)
569-7485; Fax: (513) 569-7424; Dmail:
Irwin.Diana
National Vehicle and Fuel
Emissions Laboratory (NVFEL)
Ann Arbor, Ml
**> Records Support: Delete Debra Talsma
^ Records Support: Cindy Livingston;
(313) 668-4311; Fax: (313) 668-4525;
Dmail: Livingston, Cindy
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