United States
                        Environmental Protection
                     Information Resources
     f/EPA    INFO   ACCESS
                EPA 220-N-95-009
                Issue Number 54
[Records Network  Communications
 by Michael L. Miller, Agency Records Officer
                                                                      IN THIS ISSUE
' How many times have we been told in
I records management texts, that to be
I successful, a records management
1 program must have the support of
 upper management? But how to get
 upper management support is not
 always so clearly articulated. Most
 programs that have it, at least the ones I
 know, either have always had it to
 some extent or have gotten it the hard
 way—through some organizational
 records disaster.
   This article is meant to be a primer
 on how we can get the support we need
 from upper management. I hope that
 other records managers (and anyone
 else with pertinent experience) will
   The National Archives and
   Records Administration (NARA)
   issued new revised regulations
   concerning vital records. The
   regulations appeared in the June
   7, 1995, issue of the Federal
   Register. For more on vital
   records see the article "Vital
   Records: Part II" on page 9.
offer additional suggestions that we can
print in future issues.

For the purposes of this discussion,
upper management is defined as Office
Director rank (and their deputies) and
higher in Headquarters; Regional
Administrators and their Deputy or
Assistant Regional Administrators,
Laboratory Directors in the Office of
Research and Development, and others
of equivalent rank. Before looking at
what we want them to do for us let's
look at what we can do for them.
  Your initial reaction might be that
people at this level have more important
things on their minds than records
management. The answer is maybe yes
and maybe no. Upper management has
a number of vital responsibilities,
• Planning and directing the overall
* Budget management; and
* Preventing or putting out major fires.
  To the extent that records
management fits into one of these areas,

        KM TALKS continued on pages 2-3
THE 1995
                                                                               i Printed on Recycled Paper

JUNE 1995
  The following scenario^ uses some basic records management "hidden costs"
  to illustrate what we are paying out each week to have people file and
  retrieve their own documents.
     According to one recent survey, the average person spends about 40
  minutes a day looking for information he or she can't find. If this same
  person spends another 40 minutes per week filing documents (a low
  average based on research at EPA) that works out to 4 hours per week filing
  and locating information. That's ten percent of a person's time.
     If you use the standard $70,000 a year per employee (salary and benefits)
  that means that $7,000 per person is spent on records management, or
  $42,000,000 for the 6,000 employees at headquarters. Even if we estimate
  the cost per person is only half that figure (in other words EPA is twice as
  efficient as the private sector) and even if improved records management
  could eliminate only half of the lost time, a savings of over $10,000,000
  annually could be achieved through better records management. In terms of
  FTE, it could mean a savings of 150 at Headquarters alone.
records management is an upper
management concern. Some examples
of how records could interest upper
management are:
» Records management supports other
  programmatic priorities such as
  moving offices, improving customer
  service, or providing public  access.
» The potential for significant cost
  savings. Before promising savings
  you need hard facts. Getting these
  figures usually requires conducting
  a baseline analysis so that you have
  some idea of the basic costs
  involved in records mismanagement.
  These costs are usually hidden in
  general operating costs.
» Avoiding potential vulnerabilities.
  Some programs have identified poor
  records management as a
  vulnerability under the Federal
                      Managers Financial Integrity Act
                      (FMFIA). Other programs, such as
                      Superfund, have invested heavily in
                      records management because they
                      realize that program effectiveness is
   directly related to the effectiveness
   of its recordkeeping.

Records managers need to be able to
illustrate specific examples of
problems  or vulnerabilities that result
from poor records management. Here
are some examples where poor records
management can affect your program
*  Failure to locate evidence of
   activities or transactions that EPA
   was supposed to have done.
»  Inability to  find information that is
   critical for decisionmaking.
»  Loss of proof of ownership,
   obligations  owed and due, or of
*  Failure to document what the
   Agency knew about an issue at a
   given time.
»  Inability to  demonstrate  a pattern of
   records management procedures that
                      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.

                                                                                  INFO ACCESS
                                                              JUNE 1995
  would support the legal
  admissibility of records.
» Inability to follow through on
  enforcement and compliance
* Rulemaking problems caused by
  lack of documentation.
* Inability to manage records
  electronically due to lack of policies.
  These potential vulnerabilities need
to be brought to the attention of upper
management before larger problems
occur. Conversely, when resources can
be saved and risks avoided through
improved records management, upper
management should also be informed.

What records officers most often ask
for from upper management is
"support," which usually translates into
having them go "on record" as
supporting the records management
program. This can be done via an "all
hands" memo, promotion of the
program at staff meetings, or agreeing
to a specific request for a certain
action, for example, conducting an
inventory. The more specific we can be
about our needs, the better chance we
stand of actually getting management
support. The best way to get support is
to point out the benefits. For example,
conducting an inventory will free up
space, eliminate potential risk of
incomplete files, and provide better
public access.
  "Hot buttons" vary  from program to
program so you need to be aware of
what your management considers
important at any given time. The basic
records management principles and
tools (life cycle management of
records, good filing practices, an
inventory of records and information
resources, and a solid disposition
program) will support  most
management goals.
» Do try to join forces with other
  programs in making your pitch to
  upper management.
* Don't say or act as though records
  management is dull or unimportant.
  People may believe you.
» Don't just ask for general "support"
  for records  management—ask for
  support for a specific project that
  promises specific benefits.
» Do have specific proposals or
  examples illustrating the problems
  and/or opportunities you wish to
  bring to upper management's
  attention. (This could take a
  significant amount of work, but the
  benefits are worth it.)
» Do recognize that, from upper
  management's point of view, the
  records program may, in fact,
  be working better than other
  programs that demand more of
  their attention. *
                                      HEADQUARTERS UPDATE
  Maps, videos, and other non-paper records continue to surface throughout Agency files. If you run into such materials
  and have questions about how to manage them, please contact Mike Miller at (202) 260-5911 or miller.michael-oirm
  or the National Records Management Program (NRMP) Support Desk at (202) 260-5272.
     Headquarters has been working very hard on the records management support services contract. The NRMP hopes
  to be back to other issues soon.
     The NRMP is currently beginning a revision of the records management manual chapter on disposition. An early
  draft has been developed and a second  one is underway. Anyone who would like to review and comment on the draft
  should contact Sandy York (contractor) on (303) 840-0464 or york.sandy. The draft will only be sent out via E-mail at
  this point to keep down paper costs.

   Should EPA records management staff consider
   becoming Certified Records Managers (CRM)?
   The short answer is yes. I have sent in my application to
   take the first five exams this fall (we'll see if they feel I
   have enough experience). In my case, I do not expect it to
   result in any more money in my pocket, but I am firmly
   convinced that it will force me to learn a lot more about
   records management, and that will help me do my job
   better. If you are interested in a career as a records
   professional, I recommend becoming a CRM. I can
   provide you with the necessary information.  I would note
   that among the contract staff doing records, I know at
   least four current CRMs and a number of others are
   taking the exams. However, there is only one other EPA
                     person I know of who has started the process (Kathy
                     Calvo in Toxics). We'd love some company!
                     Why doesn't the NRMP just put out all of its material
                     electronically and forget about paper copies?
                     We're moving in that direction, albeit slowly. Right now
                     the biggest holdup is that not all records managers have
                     equal access to electronic dissemination tools. We expect
                     that to change. Part of the problem is that we need to
                     ensure that everyone gets the information they need and
                     that means dissemination in a variety of formats. Look for
                     more electronic dissemination (including electronic
                     dissemination of INFO ACCESS) in the coming fiscal
                     year. •*
So what does it mean to be a records
custodian? We took an informal poll
recently on E-mail asking about the
responsibilities of records custodians
and we received some very good
responses. The following are some
» Keep up-to-date the maintenance
  and archiving of records.
» Answer staff questions and discuss
  issues with the Records Liaison
  Officer (RLO).
* Enforce file room and NARA
* Coordinate records management
  activities with the Division records
  manager or RMO.
» Oversee day-to-day management
  and maintenance of records.
» Know record retention periods,
  recordkeeping requirements, and file
  cutoff instructions.
* Properly handle and guard
  confidential and sensitive
» Maintain an accurate file plan.
» Be knowledgeable about electronic
  records.  .
» Schedule and conduct file cleanups.
» Assist with review and updates to
  records disposition  schedules and
  file plans.
  These are all great answers! And
there are more than we can show here.
  The questions speak to one of the
biggest challenges in records
management at EPA, or at any
organization for that matter: that is that
every person who works for the
Agency is a records custodian. Some
people just spend more time being
custodians than others.
  If you create a document in word
processing, enter information  into a
database, file a document in a folder,
answer an inquiry from the public,
respond to a FOIA request, or do
anything else that documents your
activities for EPA, you are a records
custodian. You are responsible for
ensuring the safety, timely availability,
and proper retention and/or transfer of
the information in your custody.
  In some cases, people have
additional custodial responsibilities.
For example, someone in your office
may have been designated a RLO or a

                                                                                   INFO ACCESS
                                                               JUNE 1995
The National Archives and Records
Administration (NARA) held its
seventh annual Records Administration
Conference (RACO) on May 24. The
theme of the conference was
"Transitions in Records Management:
Expectations vs. Realities". The
keynote speaker was Mike Miller of
EPA, who talked about how to go
about revitalizing a records
management program suffering from
the "blahs." Mike's speech was entitled
CPR4RM: Breathing New Life into
Your Records Program.
   Mike's presentation was followed
by a demonstration of a working
records management tracking system
by Ed Barrese, Records Officer for the
Resolution Trust Corporation (RTC).
RTC's REMATS software is used to
control records at the box, folder, and
document level. The software allows
for entries at the box level for
retirement to the Federal Records
Center, but also allows users to enter
folder title information within the box
and even to identify specific
documents within folders when
necessary. The software is available
free from RTC to anyone who would
like a copy.
   The final morning session
concerned electronic records and their
impact on Agency recordkeeping. The
two most interesting presentations were
by records officers from the Bureau of
Land Management (BLM) and the
Army Corps of Engineers (ACE). The
BLM presentation was a case study on
how records managers were involved
in the development of ALMRS, the
BLM's legal system for tracking land
use and ownership. ACE presented its
vision of how  it plans  to manage large
volumes of information,  in multiple
media, on a national basis using
document imaging.
  The principal  afternoon session of
interest to EPA was a panel on
downsizing  and the implications for
records managers. All of the panelists
spoke of the need to remember that,
while records managers may  have to
worry about records, most everyone
else is worrying about what will
happen to them personally. This may
create unexpected tensions in the
workplace and may critically
undermine a records manager's plans.
A key piece of advice was to check
whether records contacts would be
leaving early, either for retirement or
new jobs. If so, plan for the additional
training needs of the replacements.
  NARA presented an overview of
what is ahead concerning electronic
mail regulations and other publications.
The E-mail regulations are due out
sometime in July. NARA also has a
number of other publications planned.
There will be more details when
publication dates are firmer.
  The final session was on the
Government Information Locator
Service (GILS) services offered
through Fedworld. (Note: EPA will be
running its own GILS program and
will not be using Fedworld.)
  If you are interested in additional
information on any of the sessions,
contact Susan Sallaway (contractor) on
(202) 260-5272 or at sallaway.susan
on All-in-1. *
records clerk. This means that person
has additional duties related to records
management such as maintaining
centralized files, retiring records to the
Federal Records Center, establishing •
and organizing file plans, or ensuring
records are retained for the appropriate
amount of time.
  According to the law, we are
required to "create and preserve
Federal records containing adequate
and proper documentation of the
organization, functions, policies,
decisions, procedures, and essential
transactions of the agency, and records
necessary to protect the legal and
financial rights of the government and
of persons directly affected by the
agency's activities." (44 U.S.C. 3101)
  With apologies to Walt Kelly and
his Pogo comic—"We have met the
records custodian and he is us!" *

JUNE 1995
This past month, the National Records Management Program (NRMP) staff
reviewed a February 1994 report entitled Federal Government Business Process
Reengineering: Lessons Learned. The report was prepared by the General
Services Administration's (GSA) Office of Federal Information Resources
Management, Planning, and Development staff to assist managers in all agencies
as they undertake business process reengineering (BPR) and business process
improvement programs (BPI).
   We saw direct comparisons with improvement efforts being made here at the
EPA in the records management area. The critical success factors identified in
the report are comparable to the success factors that are required in EPA to
effectively implement records management initiatives and  improvement
   The following is a brief overview of some of the more important points in the
report. The larger context is also interesting. The work you are doing to
streamline the records systems and improve access to EPA records enhances the
government-wide movement to improve service to the citizens of the United
There is increasing pressure on Federal
agencies to reexamine how they do
business and make changes to improve
the service they provide to their clients
and customers. Federal managers
expressed interest in reviewing the
lessons learned in other agencies to
                    help them in their efforts. The results
                    were published in the 1994 GSA
                    report, Federal Government Business
                    Process Reengineering: Lessons
                      The lessons learned were developed
                    by studying examples of client-oriented
                    initiatives underway in various Federal
                    agencies. The following factors were
                       SOME DEFINITIONS
   There have been many books written in the past several years defining and
   outlining the reengineering and reinvention concepts being implemented
   in Federal agencies and private businesses today. Records management
   initiatives at the EPA fall generally under the definition of business process
   improvement (BPI). BPI focuses on how to improve an existing process or
   service, whereas reengineering deals with radical change or redesign in an
     EPA records initiatives focus on developing recordkeeping requirements
   and streamlining processes in order to more effectively and efficiently care
   for and manage records created by our programs and entrusted to our care.
identified as critical to the success of
the projects. These critical success
factors are the key to any successful
project or change in management. We
feel that they directly apply to records
management (RM) projects at the EPA.

Top management support in the
Federal government is seen as even
more crucial than in the private sector
because  of the need to defend programs
both within the Executive Branch and
also to Congress. Mike Miller, EPA
Agency  Records Officer, understands
the importance of this point so well that
this is the topic for the lead  articles in
four issues of INFO ACCESS this year.
Of all the critical success factors in this
list, the question of how to solicit
consistent top management  support to
champion records management
initiatives is the one that NRMP hears
most often.
   In a summary of her file plan
development work in Region IV that
appeared in the April issue of
INFO ACCESS, Jessica Ruiz
(contractor) noted, "there is no
substitute for regular contact with
managers. Their support is crucial for
successful implementation of a
Records Management Plan."

Another problem unique to the Federal
government is being able to sustain
top-level support, as changes in
management occur more frequently in
Federal  agencies than within
companies in the private sector. As

                                                                                     INFO ACCESS •  JUNE 1995
 outlined in the "Lessons Learned in
 OSWER" article in the February issue
 of INFO ACCESS, implementation of a
 file plan is not accomplished overnight.
 Many other factors, such as the size
 and complexity of the organization, the
 number of records and records series,
 and the current condition of the files
 and filing systems can all affect the
 length of time that it takes to
 implement this project at the EPA.
 Everyone needs to develop a long-term
 commitment to RM projects.

 The experiences of Federal managers
 echo the literature requiring the "best
 and the brightest" to lead the BPR/BPI
 initiatives in the Federal government.
 The importance of keeping committed,
 well-trained Records Liaison Officers
 (RLO's) and records contacts in each
 program, and  the increasing emphasis
 on training and understanding of
 records management principles is
 taking root at  the EPA. This direction
 will assist all future efforts at
 implementing RM initiatives efficiently
 and effectively.

 The function and mission of the
 organization must drive the direction of
 the project. EPA programs and offices
 are developing their own inventories
 and file plans  and manuals tailored to
fit their mission, the functions of the
office, and philosophy of their own

Look at the process from the
customer's viewpoint; what do they
need? Customer satisfaction surveys
are being conducted by the Air, Water
and OSWER Dockets to learn how to
better serve their customers. EPA is
conducting customer service initiatives
in many other areas to fulfill this goal.
Additionally, each employee of the
Agency is better served if the EPA's
records are well organized.

Be aware of the links with other
programs, agencies and people who
can assist in your efforts. The Records
Management Network and the Docket
Workgroup Network have made major
strides in the past few years by helping
each other, setting standards, sharing
information, and learning from each
other. The NRMP is also coordinating
with NARA and other Federal agencies
to identify best practices that might
work well at EPA.

The appropriate use of technology is
key to achieving the best results. As in
EPA records management initiatives,
 technology is an enabler, a tool to
 assist in the effective management of
 records. Well thought-out applications
 can greatly improve information
 management efforts.

 Good planning can ensure proper
 involvement, anticipate bottlenecks,
 and help identify the ramifications of
 project management upfront. The two
 previous issues of INFO ACCESS
 outlined lessons learned in OSWER
 and in Region IV. Both articles
 stressed the importance of good
 upfront planning; obtaining feedback;
 understanding the processes being
 implemented; acquiring management
 buy-in; and deciding how to set up the
 file structure. These activities all
 increase chances of a successful

People and organizations are resistant
to change. Many in the Federal
Government are undergoing changes in

       LCSSONS LEARNED continued on page 8
                         NRMP UPDATE
   The Office of Information Resource Management (OIRM) has developed
   two excellent references for IRM Authorities. The first outlines the pertinent
   IRM Laws, Regulations, Executive Orders, and OMB Policy Circulars
   affecting IRM at EPA. A scope note is included for each entry, outlining the
   purpose and intent of the legislation. The second reference provides a short.
   description of the contents of each chapter in the EPA IRM Policy Manual.
     For more information, or if you would like copies of these items,
   please contact Susan Sallaway at (202) 260-5272 or sallaway.susan on

JUNE 1995
Region 1—Margo Palmer reports that
the Region has successfully loaded the
records disposition schedules onto their
LAN so everyone can access them. The
schedules are in their own directory
and accessible through the regional
help news menu. Users can do a search
either by word or schedule series
number. Plans are being made to
organize the schedules by group so it
will be easier to find items applicable
to specific programs.
  Region 2—Region 2 has recently
distributed a new records management
manual developed for non-technical
staff. The manual includes information
on identifying records (and
nonrecords),  how to prepare records for
                    transfer to the FRC, commonly used
                    records disposition schedules, and
                    other pertinent information. For more
                    information, contact Maria Mendoza.
                       Region 3—As part of Records
                    Management Day activities, Region 3
                    put an electronic version of their
                    Records Management Program
                    Handbook on their regional LAN. The
                    handbook includes sections on the
                    purpose and objectives of the records
                    management program; records,
                    nonrecords, and personal papers;
                    records management life cycle; records
                    inventory, records schedules, records
                    disposition procedures; and individual
                    divisional records management
                    programs. More information on the
handbook can be obtained from
Barbara Brown.
  Region 5—The Region 5 Superfund
program has instituted a new policy
requiring all patrons to leave their
personal belongings, such as briefcases
and bags, at the circulation desk while
they view files. Unfortunately, all
reading and research rooms need to
seriously consider the level of security
necessary to ensure the integrity of
their files.
  Region 10 RCRA, Region 8's
Montana office, and AWBERC in
Cincinnati all reported special
activities for Records Management
  AROUND THE Afewowrcontinued on page TO
 LESSONS LIABNID from pages 6-7
their jobs and work habits. Records
management at EPA hasn't always had
the attention that it deserved or the
focus that it enjoys today. Now that
information is increasingly viewed as a
strategic asset, we all need to inspire
our fellow employees to treat
information resources at the EPA with
the level of respect we apply to other
agency resources such as people,
equipment and property. The bottom
line is that our jobs will be easier and
we will be more productive when we
can find better information faster.
   There were several other important
points made in the report that are
relevant to the EPA:
»  "The biggest challenge to business
   process reengineering is the
                       implementation. It requires a special
                       set of leadership skills sustained
                       over a long period of time in order
                       to see the process through to
                       successful implementation to reap
                       the rewards of BPR" (p. 2). The
                       same concept holds true for the
                       implementation of a new file plan.
                       Bette Drury (contractor) of OSWER
                       made many of these points in her
                       "Lessons Learned" interview in the
                       February issue of INFO ACCESS.
                     *  "...experiences have shown that
                       dramatic results from some large-
                       scale reengineering efforts may not
                       be seen for three to five years" (p. 4,
                       John P. McPartlin, "Why
                       Reengineering Runs Aground",
                       Information Week, October, 25,
   1993, p. 74). Patience is required for
   success, as well as continued efforts
   during implementation of the new
   EPA file plan and other records
   management initiatives. EPA will
   reap the benefits of better file
   organization and the ability to locate
   needed information in a timely
   manner, though results may show
»  Lack of good communication is one
   of the top four reasons why projects
   fail. By using all the vehicles and
   networks available to us to share
   records management information
   and experiences, we can help EPA
   become a better-organized
   workplace and a more efficient
   source of information. •*

                                                                                    INFO ACCESS
                                                               JUNE 1995
NARA's revised regulation
"Management of Vital Records" was
published in the June 7 Federal
Register as a final rule effective
immediately. NARA revised the scope
of the regulation to limit its application
to vital records responsibilities in the
context of the larger emergency
management program function. The
new rule is high-level and direct, and
empowers each Federal agency to
design a Vital Records Program to
match their own needs and missions,
within the framework of the definitions
in the rule.
  There are several revised definitions
worth noting:
» Vital Records mean essential
  agency records that are needed to
  meet the operational responsibilities
  under national security emergencies
  or other disaster conditions
  (emergency operating records) or to
  protect the legal or financial rights
  of the Government and those
  affected by Government activities
  (legal and financial records).
» Emergency operating records are
  vital records essential to the
  continued functioning or
  reconstitution of an organization
  during and after an emergency.
  Included are emergency plans and
  directive(s), orders of succession,
  delegations of authority, staffing
  assignments, and selected program
  records needed to make the most
  critical agency operations, as well as
     The ARMA vital records guideline suggests that approximately 3 to 5
   percent of an organization's total records might be considered vital
   (Association of Records Managers and Administrators, 1984). The fourth
   edition of Robek, Brown and Stephens' Information and Records
   Management, (1995) indicates a range of 2 to 7 percent.
     One rule of thumb says the longer you have to retain a record, the more
   likely it is to be vital, yet there are some vital records that have a very  short
   shelf life, such as current payroll records. These may be classed as vital for
   two or three weeks, and then be replaced or become obsolete information.
   Vital records may be either active or inactive records, though many records
   lose their vital quality when they become inactive.
   related policy or procedural records
   that assist agency staff in conducting
   staff operations under emergency
   conditions and for resuming normal
   operations after an emergency.
»  Legal and financial rights records
   are vital records essential to protect
   the legal and financial rights of the
   Government and the individuals
   directly affected by its activities.
   These records were formerly
   defined as "rights-and-interests"
   records and NARA changed the
   term to be more precise. Examples
   could include social security
   records, payroll records, and
   retirement records.
   Several other points in the new rule
should also be noted:
»  NARA modified the regulation to
   clarify that it is the informational
   content, not the form, of the records
   that must be considered. Where is
   the needed information most readily
   available in the event of an
   emergency? Vital records can be
   maintained on a variety of media.
*  NARA modified this rule to allow
   agencies to store emergency
   operating records at FRCs under
   certain conditions. Procedures are
   outlined in Section 1236.36,
   Protection of vital records.
»  NARA advised that instructional
   guides will be  prepared for those
   agencies that want more detail on
   how to develop a vital records plan
   that fits individual agency needs.
   The future publication dates of these
   guides will be  announced as they are
*  The new rule addresses disposition
   and cycling of vital records. The
   length of the retention period does
   not always indicate that a record is
   vital. And once a record becomes
   vital, it does not necessarily stay
   After you have had a chance to read
the new rule, please feel free to contact
Mike Miller, Agency Records Officer,
(202) 260-5911 or E-mail miller.
michael-oirm with questions or
comments. +

JUNE 1995
The History Office staff has been busy
surveying historical document
collections and periodicals. Finding
aids, featuring a scope and content note
and a container list, have been prepared
for the collections listed below. Other
collections will continue to be
surveyed and finding aids will be
provided periodically to the
Headquarters Library. For further
information on any of these collections,
contact Kathy Kelly (contractor), at
(202) 260-2675 or kelly.kathy on E-
»  Air Pollution and Air Quality
   Management, 1963-1992
                      Earth Day/EPA 20th Anniversary
                      [1990], 1970-1991
                      EPA Employees Recreation
                      Association Newsletter, 1976-1993
                      EPA Headquarters Telephone
                      Directories, 1971-Ongoing
                      EPA Journal, 1975-Ongoing
                      EPA Management and
                      Organization: Budget and
                      Administrative Information, 1970-
                      EPA Office of Research and
                      Development (ORD), Organization
                      and Functions, 1971-1993
                      EPA TIMES,  1982-1986
                      Inside EPA, 1989-Ongoing
  Oil and the Energy Crisis: The
  Federal Investigations, 1974-85
  Pollution: Major Sources for
  Research,  1800-1950
  State Water Reports through 1940,
  15 Titles from 8 States
  Noise Control, 1969-1992
  Press Releases, 1970-Ongoing
  Ruckelshaus Papers, 1970-1984
  Toxics Integration, 1977-1993
  Transition '89, 1989
  Transition '93, 1992-1993
  U.N. Conference on Environment
  and Development [3-14 June 1992],
  1990-1993. +
   Region 10—The Region has started
inventorying their records. The ARA
sent out a memo to regional staff
announcing the inventory. Inventory
teams have been established and
trained on how to conduct the walk
through and how to fill out the
inventory matrix. Kate Browder
(contractor) prepared information on
the records disposition schedules in a
tabular format for each division. Some
briefings have been done and
procedures have been written. The
Hazardous Waste Division has almost
completed their walk through. The
Manchester Lab has also accomplished
a great deal.
   Region 10 RCRA—Region 10's
RCRA records management program
celebrated Records Management Day
                                        LET'S HEAR IT FOR  .  ..
                         The Superfund Document Management System crew doing the Region 9
                         pilot. They received a Bronze Medal for their work.
                         Region 1's Records Program which received NARA's Boston Federal
                         Records Center's Annual Achievement Award for their consistently fine
                         work over the past few years and their care of records scheduled for
                         permanent retention.
                         OARM at Headquarters which has completed its inventory of its eight
                         miles of paper.
                         The AWBERC Records Management Program which has turned out a
                         really nifty brochure advertising their services. The brochure uses color
                         preprinted trifolded heavy paper stock to which the records program
                         added text and graphics. Color makes a lot of difference!
                    by inviting RCRA staff to a "Jeopardy-
                    style Quiz to Test Your Records
                    Management Awareness and
                    Perspicacity".  Answers and questions
                    for the contest were formulated from
                    the regional RCRA Records
Management Guidance and Glossary
and hosted by the LABAT DOPO,
Mike Slater. Winners were members of
the Resources and Analysis Section
(first place) and the Compliance
Section (second place). •*

                                                                                   INFO ACCESS
                                                               JUNE 1995
Throughout EPA, Offices and
Programs are planning and
implementing the inventory process.
Audiovisual records should not be
overlooked during the walk-through
and should be identified in the physical
inventory process.

Examples of audiovisual records that
may be found in your program or
office are:
*  photographs, portraits, slides, and
*  sound recordings (meetings, news
»  videos (scientific, presentations,
   press conferences);
*  motion pictures and films;
*  audiovisual finding aids and related

One of the NARA recommendations
addresses inventorying audiovisual
records in the custody of EPA, with a
special emphasis on locating all series
of permanent records. Guidance for
identifying permanent (as opposed to
temporary records) can be found in
NARA's handbook Managing
Audiovisual Records, 1990, (part of
NARA's Instructional Guide series.
Call NRMP if you need a copy). The
Code of Federal Regulations (36 CFR,
Part 1232) provides guidance on how
to effectively manage an audiovisual
   Specific dispositions for each
audiovisual series have already been
identified in the EPA Record Control
Schedules (RCS). There are more than
twenty RCS for audiovisual records
that are found throughout the EPA. The
records series (EPA agency codes or
numbers) applicable to audiovisual
records are all found in the low 700's
of the RCS list.
   Records that are at least ten years
old should all be reviewed for transfer
to the Archives as soon as possible.

   Once older permanent audiovisual
records have been transferred to the
National Archives, the next agency
priorities will be to:
*  establish appropriate storage and
   environmental controls for
   permanent records remaining in
   EPA custody in order to ensure their
   long term preservation;
»  implement a program of regular
   transfers; and
•»  develop a program for managing
   audiovisual records across the
   An evaluation of audiovisual
records management across the Federal
Government and recommendations for
improving management of audiovisual
records can be found in NARA's The
Management of Audiovisual Records in
Federal Agencies: A General Report.
Audio and videotape records have been
discussed often recently on listservs, in
Ask Dr. Records, among the Records
Network, and at the NRMP. We called
Bill Murphy, one of NARA's
specialists in audiovisual records, to
find out the latest NARA guidelines,
For now, he advises records managers
to continue to follow the Federal
Records General Schedules and the
applicable sections in the Code of
Federal Regulations (36 CFR, Part
1232 and 1228.184).
   Mr. Murphy stressed that EPA
offices and programs should convert
any records that have not already been
transferred onto professional formats
(e.g., BetaCam, Super VHS, Dl, or
High 8). The commercial consumer
formats (like audio cassettes and VHS)
limit the ability to preserve the
information for any sufficient  length of
time. His advice is to "make wise
choices up-front, as you are creating
the records. For example, whenever
possible use open-reel for audio
recordings that will become records."
   Murphy mentioned that NARA is in
the process of revising two sections of
the CFR. 36 CFR, Part 1228.184
identifies items for transfer to  the
National Archives and 36 CFR, Part
1232 provides guidance on how to
manage  audiovisual records and
describes good audiovisual records
management procedures.
   Look for these revisions to  be
published for comments in the Federal
Register by the end of next quarter. *

JUNE 1995
The Office of Pesticide Programs
(OPP) celebrated the first anniversary
of its new LAN-based regulatory file
tracking system on April 21. This new
system, "JACKETS," has resulted in
enormous savings for OPP, especially
in terms of staff time and in increased
efficiency in the management of OPP's
regulatory files. OPP registers all
pesticide products used in the United
States. Each product has a regulatory
file, called a "jacket," containing the
history of that product, including
administrative documentation,
correspondence, Confidential
Statement of Formula, labeling, and
technical information. There are
currently over 50,000 jacket files.
Because the jacket contains the master
record for these products, including
confidential information, and is  the
only copy maintained, strict circulation
control and protection of each jacket is
  Prior to 1989, the jackets were
managed by nine individual product
teams in the Registration Division.
Each team had its own method for
managing its jackets. Most of the
jackets were located in one room and
security was a problem since access to
the files was not controlled. With this
decentralized system, files could not be
located in a timely manner and without
a tracking system in place, files were
easily misplaced when they were
circulated between different work
  In 1989, the Registration Division
consolidated management of the
                    collection into one OPP File Room.
                    Circulation control was achieved with
                    a computerized system based on
                    barcode technology. Barcodes were
                    assigned to the jackets, file room
                    shelves, and to the borrowers. This first
                    generation computerized system was a
                    significant step toward better tracking
                    of these jackets.
                       In 1990, the File Room was
                    transferred to the Document
                    Management Section in the
                    Information Services Branch Program
                    Management and Support Division,
                    where it remains today.
                       Since then, the scope of the
                    collection has been expanded from
                    product files to other types of
                    regulatory files. Services expanded
                    from simple location checks to
                    inventory  and management reports,
                    batch retrievals, courier services, and
                    more. Soon experience in the
                    management of this collection, coupled
                    with its expansion, pointed to the need
                    for an enhanced tracking system.
                       At the same time, OPP was
                    developing a growing reliance on its
                    LAN, making this  system a perfect
                    candidate  for migration to the LAN.
                       Since the system ran on one
                    standalone PC, with a second backup
                    PC, many hours were spent each day
                    backing up the primary files to the
                    second machine. A large portion of the
                    operation  was still manual: requests for
                    jackets were submitted in paper and
                    keyed in by File Room staff and
feedback to requesters was handled by
phone. Delays were the norm.
   As a first step, the primary system
files were moved to the LAN and made
accessible by the two File Room
computers. This was an overnight
success—automatic backup and
concurrent access by File Room staff.
Each staff member was provided his or
her own computer, increasing
productivity and the speed of customer
   Design of a new LAN-based system,
which would be available to all OPP
staff, began. On April 21,  1994, the
new "JACKETS" system was phased
in with the conversion of data from the
old system and staff began processing
transactions under the new system.
During the summer, product managers
in two separate buildings began testing
the system. Refinements were made
until September when the  system was
offered to all OPP staff.
   The new system can be accessed by
anyone on the OPP LAN.  Files can be
borrowed by those with CBI clearance
who are assigned a barcode. Borrowers
request jackets from their terminals and
automatically receive notice
electronically when the request is
   In addition to requesting jackets and
tracking their location—whether in the
File Room, at the Federal  Records
Center, or in the hands of a borrower—
this system is much more  flexible in
managing the jackets. Reports, which
were previously not possible, allow a

                                                                                 INFO ACCESS
                                                              JUNE 1995
much more refined level of
performance monitoring.
   Other aspects of records
management have been incorporated,
such as the capturing of information on
the retirement and disposition of
tracked files—date retired, accession
and box numbers, and destruction
information. Retired jackets can also be
requested and, once retrieved, their
circulation tracked, replacing the
paper-based system of the past.
   Data integrity has been improved
through a number of edit checks and
through a link to three major LAN-
based systems—one which verifies
CBI clearance and two which maintain
status of products and regulatory
   This link between the core systems
is a significant stride in the direction of
system integration, making reliable
information available easily and
quickly. These links provide an
authoritative method for verifying
borrowing privileges and instantly
verify product status, allowing early
discovery and reconciliation of
discrepancies between these systems.
   Since the introduction of this
system, paper requests have been
eliminated, staff time has been reduced
by half, accuracy and management
options have increased, and most
important, customer satisfaction has
soared. Enhancements will always be
on the drawing board as the system
  For more information contact Clare
Grubbs, Chief of the Document
Management Section, at (703) 305-
7460 or Donna Garner at (703) 305-
6474. +
             NARA's  NEW STRATEGIC  PLAN
  The May 1995 issue of NARA's newsletter, The Record, includes a good
  article outlining the goals and strategies of NARA's 1995 Strategic Plan.
  The challenges range from technology and access issues to process
  improvement. NARA is in their third year of strategic planning. The
  Strategic Plan has evolved. It includes a vision and provides a framework to
  ensure that NARA can accomplish its goals. The focus is on planning
  products, services and new ways to access the information contained in
  Federal records into the 21st century.
     NARA's mission statement is as follows:
          The National Archives and Records Administration serves the
       American people and their government by safeguarding their
       interests in Federal records and other documentary materials, by
       promoting  effectiveness and efficiency in the administration of
       those materials, and by advancing the knowledge of the history of
       the Nation.
At the May meeting, Darryl
Adams, OPPE, shared valuable
information about the Regulation
Writers training classes. Darryl
explained the process of
developing a regulation at the
EPA. He discussed where the
Docket comes into play in the
process, outlined the regulatory
workgroup's responsibilities, and
provided ideas about where to
most effectively insert
instructions for Regulation
Writers into the Docket
Guidance. The Docket
Workgroup is currently in the
process of rewriting the Uniform
Rulemaking Docket Guidance,
which will be included as a
section of the Regulation
Writers Training Manual.
                                       NRMP has begun to develop
                                       draft Agency File Guidance on
                                       the most commonly utilized EPA
                                       schedules. We would appreciate
                                       your feedback. Contact Susan
                                       Sallaway if you would like to
                                       review a copy. Call (202) 260-
                                       5272 or sallaway.susan via

JUNE 1995
More than 700 customers have given
up filling out the Optional Form 11
when requesting records from the
Federal Records Centers (FRC). Have
dire consequences resulted from this
willful disregard of proper procedure?
Not quite. In fact, these rebellious souls
receive their records more quickly,
with greater accuracy, and with less
paperwork than everyone else.
   No, they don't have relatives
working at the FRC, but they do have
access to the Centers Information
Processing System (CIPS). This
online, interactive electronic system
gives Federal agencies a link to the
NARS-5 database on the NARA
mainframe computer in St. Louis, MO.
The NARS-5 database contains the
                   most up-to-date location information
                   for all FRC holdings.
                     In addition to eliminating the need
                   to send requests by fax, courier, or
                   mail, CIPS automatically inserts
                   correct location information in the
                   electronic reference request when the
accession and box numbers of the
request are provided. This avoids many
of the negative replies that formerly
resulted from changed locations at the
  If you would like to turn in your
stack of OF-1 Is and sign on to CIPS,
you will need an IBM-compatible
computer with a modem and
communications software. Contact
your nearest Records Liaison Officer
(RLO) for the hardware and software
  Note: Harold Webster, HQ Records
Officer, demonstrated CIPS at the
1995 EPA Technology Showcase, held
May 2-4- in Washington, DC. *
   Electronic document filing systems help to stem the flood of paper that
   threatens to inundate many offices, but evidence suggests that paper
   documents constitute a tidal wave that has yet to crest. A study
   commissioned by the Association for Information and Image Management
   made some startling estimates of paper document production.
   On a daily basis, U.S.  companies create approximately:
   *  2.7 billion sheets of file folder contents
   »  234 million photocopies
   «  76 million letters
   •  21 million general  paper documents
                                                                        IN THE  AUGUST  ISSUE.
                                                         *  Selling RM to Management
                                                         *  Notes from the 1995 Records
                                                         *  Lessons Learned during the
                                                            OA Inventory.
                                                         -»  Vital Records (Part 3)
                                                         *  RM Collection
                                                         *  Contact List Update

                                                                                   INFO ACCESS
                                                               JUNE 1995
The acronym URL stands for Uniform
or Universal Resource Locator. URL is
a standard used by the World Wide
Web (WWW) to link information
located worldwide. The URL for
WWW documents contains four parts:
1. Protocol
2. Internet name and port
3. Document path
4. File name
   For example: http://ualvm.ua.edu/
   This is the URL for an HTTP-
accessible document called
crispen.html located on the
ualvm.ua.edu (University of
Alabama's computer) in the directory /
   Note: Do try this one at home!
This is a good address for Internet
lessons by E-mail. Patrick Crispen, an
economics student at Alabama,
developed an introductory Internet
training course consisting of 27 short,
plain-language tutorials that you get
via E-mail.
 Here's a note to those interested in the
 Recmgmt Listserv—the address has
 changed! If you would like to be added
 to the list, please send your request to
 listserv@listserv.syr.edu with the
 message: subscribe recmgmt (your
 name, omit parenthesis). If you would
 like to dropped from the list, please
 send your request to the address
 indicated above with the message:
 unsubscribe recmgmt.

 To search through the  current list of
 files for a specific name or text, press
 (F) Find, (4) Entire document. At the
 Word Pattern: prompt, type the text
 of your search. If you're searching for
 words that are next to each other in the
 document, type the text in quotes, such
 as "Cost Recovery Records." If you
don't use quotes, WP will find the
documents containing  those words
 anywhere—not necessarily next to
each other. Press (Enter) and WP
  The next Records Management
  Council Meeting will be held
  from 10:00 a.m. to  12:00 p.m.
  on July 13, 1995, in the IMSD
  Conference Room,  near Mike
  Miller's office.
  The following meeting will be held from 10:00 a.m. to 12:00 p.m. on
  Tuesday, August 29, in a location to be announced.
 searches through your files. When the
 search is complete, you are left with a
 directory listing of only those files
 containing the specified text. If the
 directory is empty, no files were found
 that matched search criteria. From this
 directory listing, you can look at a file,
 retrieve it, or press Exit (F7) to return
 to your document.

 How much disk storage would you
 guess the average manager of a large
 LAN is buying these days?
 A gigabyte every other week,
 according to consultant Michael
 Peterson of Strategic Research Corp.,
 Santa Barbara, California.
   He said that this represents a growth
 rate of about 35 percent a year, despite
 the fact that many of the sites that store
 inactive files report that "no more than
 2 percent of the repository ever gets
 looked at again."
   Additionally, it's a costly solution.
 Storage costs about $1 per megabyte to
configure and about $7 per gigabyte to
 support. Backing up each server on
tape costs an average of $75,000 a year
 and must be done properly to be
   Peterson's advice is to consider all
 solutions. Recentralize storage on a
dedicated server—PC, jukebox, or tape
library—but not on just one of
 anything. File catching, redundant disk
arrays, server and file mirroring, and
hierarchical storage management are
 all techniques that boost data
availability and cut down on waste and
human intervention. +