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Table of Contents
OVX
c, o Introduction .............. .. [[[ . ......................... jjj
/
Milestone 1: Planning the Records Assessment Process .................... 1
Preparing the Assessment Plan Determining Budgetary Resources
Obtaining Approval of the Assessment Plan Communicating Assessment
Initiatives
Milestone 2: Conducting the Walkthrough Inventory ....... ................... 17
Meeting with Office Contacts Selecting the Inventory Team Training
the Inventory Team Developing the Walkthrough Matrix Scheduling
the Walkthrough Inventories Conducting the Walkthrough Inventories
Finalizing the Walkthrough Matrix Briefing Office Management
Milestone 3: Conducting the Series Inventory ... .................................. 29
Planning the Series Inventory Meeting with Office Contacts
Developing Interview and Inventory Materials Conducting the Staff
Interviews Conducting the Inventories Developing the Series Summaries
Milestone 4: Revising the Records Control Schedule ......................... 45
Revising the Series Summaries Preparing the Series for Scheduling Team
Review Selecting the Scheduling Team Coordinating Scheduling Team
Reviews Submitting the Series to OIRMfor Review
Recognizing Opportunities for Improvements ..................... . ............... 57
Glossary of Key Terms [[[ 61
-**
-------
List of Tools
Milestone 1: Planning the Records Assessment Process
Tool l-A: Milestone 1 Worksheet 9
Tool 1-B: Records Management Baseline Assessment Plan 10
Tool 3-C: Memorandum 12
Tool 3-D: Memorandum 13
Tool 1-E: Flyer 14
Milestone 2: Conducting the Walkthrough Inventory
Too/2-A- Milestone 2 Worksheet 25
TooJ2-B: Walkthrough Matrix 27
Tool 2-C: Walkthrough Inventory Guide 28
Milestone 3: Conducting the Series Inventory
Too/3-A Milestone 3 Worksheet 39
Tool 3-B: Interview Schedule 40
Tool3-C: Interview Guide 41
Tool 3-D: Series Summary 42
Tool 3-E: Record Series List 43
Milestone 4: Revising the Records Control Schedule
Tbo/4-A Milestone 4 Worksheet 51
Tool 4-B: Records Control Schedule Submission Format 52
Tool 4-C: Series Matrix 54
Tool4-D: Scheduling Team Training Aid 55
Page ii
Draft 4/21/94
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Introduction
The purpose of this guide is to help Environmental
Protection Agency (EPA) staff comply with the
National Archives and Records Administration
(MARA) requirements for dispositioning records. It
provides information on how to conduct records
inventories and develop current disposition schedules
properly. This guide supports federal and EPA
guidance on inventorying and scheduling records by
incorporating tasks and procedures which have been
successfully used or recommended by EPA staff. This
guide can be used by EPA staff in all headquarters or
regional offices, and pertains to both administrative
and program records.
Overview of the Records Management
Baseline Assessment
The process that EPA has developed for effectively
inventorying and scheduling records is referred to as
Records Management Baseline Assessment. The
assessment process provides offices with the
opportunity to identify and document their record
holdings, update dispositions, and prepare for the
dispositioning process.
The assessment is divided into four (4) distinct phases,
or 'milestones' of accomplishment. These four
milestones are regarded by EPA as the minimal
requirements necessary for inventorying and
scheduling records according to federal requirements.
The milestones are:
Planning the Records Assessment Process
Conducting the Walkthrough Inventory
Conducting the Series Inventory
Revising the Records Control Schedules
The exhibit on the following pages provides an
overview of the Records Management Baseline
Assessment process at EPA. Each milestone and its
key tasks are illustrated on the following page.
How To Use This Guide
Although this guide can be reviewed in its entirety, it
is designed to be used as a quick and easy reference
material. The first page of each milestone section
provides an overview of the milestone, a description
of its key tasks, and the final output required from
the milestone. Specifically, it designates:
WHAT activities the milestone encompasses
WHY the milestone is necessary
WHO is responsible for carrying out tasks
under the milestone
HOW the milestone is to be accomplished
The folder icon identifies the detailed task
within a specific milestone. The numbered
task sections provide detailed descriptions of each task
under the Milestone.
The document icon identifies the final output
of the milestone.
Following each milestone overview page is a section
entitled, "Before you start..." This section identifies
documents that should be reviewed and preliminary
tasks that should be completed prior to beginning
work under the milestone.
The key icon identifies 'tools' that can be used
during the process. The tools for a milestone,
which may consist of sample memos, blank
worksheets, or tips for success, immediately
follow that milestone's numbered task
descriptions. They can easily be copied and
distributed to individuals who are completing task
work, or incorporated into training sessions conducted
for the assessment process.
The final section of this guide is entitled, "Recognizing
Opportunities for Improvement." This section
identifies some ways offices may be able to improve
their records management practices. Suggestions for
implementation and the benefits the office may realize
in each area are provided.
Draft 4/21/94
Page Hi
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Records Managemen
MILESTONES
KEY TASKS
1 Prepare
Plan
1 '
._ Conduct
2 Walkthrough
Inventory
' '
Conduct
3 Series
Inventory
i t
4 Revise
Schedules
Preparing thป
Assessment Plan
Meeting with
Office Contacts
Sปrtes Inventory
Sซriซs Summaries
Determining
Budgetary
Resources
Obtaining
Approval of the
Assessment Plan
Communicating
Assessment
Initiatives
1
Selecting the
Inventory Team
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Page iv
Draft 4/21/94
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Baseline Assessment
KEY TASKS
OUTPUT
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tnv*ntorl*s
Conducting tha
Wikthrough
ImtntoriM
Finalizing thซ
Walkthrough
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Brtefing Office
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Draft 4/21/94
Pagev
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2
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3
Milestone 1:
Planning the Records
Assessment Process
WHAT
The Records Management Baseline
Assessment Plan is drafted during
Milestone 1. The Records Management
Baseline Assessment Plan documents how each office,
organization or facility undertaking the assessment
will staff, schedule, and define completion for all
subsequent milestones.
After the plan is drafted, it must be approved by the
appropriate Assistant Administrator, Associate
Administrator, Regional Administrator, Laboratory
Director, General Counsel or Inspector General. This
approved draft is then submitted to the National
Records Management Program (NRMP) Manager
whose formal approval is required before work on any
other milestone can be started.
The purpose of planning the records
assessment process is to successfully and
efficiently guide the records inventory
and disposition process.
WHY
WHO
The Planning Lead prepares the Records
Management Baseline Assessment Plan.
The lead is usually selected by the office's
Senior Information Resources Management (IRM)
Officer (SIRMO).
HOW
Milestone 1 is comprised of four key
tasks and one output. They are as
follows:
Preparing the Assessment Plan
(page 3)
Determining Budgetary Resources
(page 7)
Obtaining Approval of the
Assessment Plan (page 7)
Communicating Assessment
Initiatives (page 8)
OUTPUT
Records Management Baseline
Assessment Plan
Draft 4/21/94
Pagel
-------
Before you start...
Before beginning work under Milestone 1, the Planning Lead should:
5- Review NRMP Letter
Read the letter distributed by the
NRMP Manager that documents the
requirements of the development
and submission of a Records
Management Baseline Assessment
Plan. This will provide the Planning
Lead with background information
about their responsibilities.
w Review Milestone
Documentation
Review the milestone and task
information in this guide. These
descriptions will provide the
Planning Lead with a broad over-
view of the assessment process and
how their work will impact the
success of the entire initiative.
ซs* Contact NRMP
Contact the NRMP Manager,
Mike Miller, at (202) 260-5911, or
Email: Miller.Michael-OIRM, for
additional guidance about
completing the Records Manage-
ment Baseline Assessment Plan.
See Tool 1-A on page 9 for the Milestone 1 Worksheet. This will help the Planning Lead successfully
complete all steps taken under Milestone 1.
Page 2
Draft 4/21/94
-------
Preparing the Assessment Plan
When completed, the Records Management Baseline
Assessment Plan will be at least two pages long and
will include an Assessment Schedule. Although the
actual format of the written Assessments may vary,
the plan must include the following eight sections:
1. Agency Goals
2. Off ice Goals
3. Statement of Accomplishment
4. Milestone Process Description
5. Milestone Personnel
6. Training Opportunity Statement
7. Office Contacts
8. Assessment Schedule
The sections are described in detailed below.
See Tool 1-B on pages 10-12 for an example of
a completed Records Management Baseline
Assessment Plan and attached Assessment
Schedule.
1. Agency Goals
Section 1 states that the Records Management Baseline
Assessments in EPAare being conducted to document
the record holdings within the Agency and to schedule
these records for disposition. Although the Agency-
wide goal will not vary, it must be stated in each plan
to ensure that office staff are aware of the reasons for
the assessment process.
2. Office Goals
Section 2 documents what the office hopes to
accomplish through the assessment process. The of flee
goals should be listed either in order of importance,
or in the order they hope to be accomplished. These
goals should be specific to the office itself, in regards
to the way it creates, organizes, and maintains files
and information.
Section 2 must also state that the office will identify
other records management goals as the inventory and
scheduling processes progress. Administrative staff,
program staff, and management should be able to help
identify the key records goals within the office.
Refer to the highlighted box on this page for examples of
office goals.
3. Statement of Accomplishment
Section 3 states that the assessment will be
accomplished in four separate phases, or milestones,
and that each milestone will have a final output.
4. Milestone Process Description
Section 4 lists the key tasks of each milestone. If
desired, the milestone tasks described in this guide
can be used. If the assessment process described in
this guide will be modified for a particular office, those
changes should be reflected in this section.
Most tasks within the milestones will not require
detailed descriptions. Exceptions include:
Under Milestone 1, the method(s) that will be
used to inform staff of the assessment process
and the approximate timeframe that will take
to complete should be specified.
Under Milestone 2, the order in which main
offices or divisions will be inventoried should
be specified.
Examples of Office Goals
Create a central file system.
Perform records security review.
Locate records that belong in a collection.
Eliminate the problem of overcrowded
files.
Increase the use of electronic technology
In the office.
Provide better access to the office's
current files through new equipment.
Train staff to Improve how they manage
their information resources.
Improve the overall management of
Information within the office.
Draft 4/21/94
Page 3
-------
5. Milestone Personnel
Section 5 lists the individuals assuming primary
responsibility for the completion of each milestone.
Each person's name, office, title, phone number, Email
number, and address should be included.
When choosing individuals to lead each milestone,
follow the guidelines below.
Milestone 1 Lead (Planning Lead)
The lead for Milestone 1 is called the Planning Lead.
This individual is usually assigned by NRMP. The
primary responsibility of the Planning Lead is to
oversee the completion of the Records Management
Baseline Assessment Plan.
Milestones 2 and 3 (Inventory Lead)
The lead for Milestones 2 and 3 is called the Inventory
Lead, The primary responsibility of the Inventory
Lead is to oversee both the Walkthrough Inventory
and the Series Inventory. The candidate's supervisor
must approve their participation in the assessment
process before they are approached by the planning
team. Once the Inventory Lead is approved, the
Planning Lead should meet with the individual to
explain their responsibilities during the upcoming
assessment.
Choosing an Inventory Lead
To be effective, the Inventory Lead should be expected
to dedicate approximately 45 percent of their time to
the inventory process. Additionally, the Inventory
Lead must have the appropriate experience and
qualifications pertaining to records inventorying.
Minimum qualifications for the Inventory Lead
include:
Grade of GS12 or above
No less than four years continuing and direct
experience in information management,
preferably records management
Employment with EPA for at least five years
Previous supervisory or management
experience.
Milestone 4 Lead (Scheduling Lead)
The lead for Milestone 4 is called the Scheduling Lead.
The primary responsibility of the Scheduling Lead is
to revise the EPA Records Control Schedules. If the
individual selected as Inventory Lead has experience
in records disposi tioning, he or she may also be a good
candidate for the Scheduling Lead.
The candidate's supervisor must approve their
participation in the assessment process before they are
approached by the Planning Lead. Once the
Scheduling Lead is approved, the Planning Lead
should meet with the individual to explain their
upcoming responsibilities during the assessment.
Choosing a Scheduling Lead
To be effective, the Scheduling Lead should be
expected to dedicate approximately 55 percent of their
time to the scheduling process. Additionally, the
Scheduling Lead must have the appropriate
experience and qualifications pertaining to records
management and records dispositioning. Minimum
qualifications for the Scheduling Lead include:
Grade of GS 12 or above
No less than four years continuing and
direct experience in records management
Previous experience in scheduling records
Employment with EPA for at least five years
Previous supervisory or management
experience.
6. Training Opportunity Statement
Section 6 includes a statement acknowledging that
opportunities for records management training will
be provided to the individuals assigned to lead and
support the completion of each milestone.
The level of training needed will vary depending on
the knowledge and amount of records management
or scheduling records experience the leads have.
However, it is important to ensure that these
individuals are fully informed of EPA's current records
management practices and understand what is
required to successfully implement them. All
milestone leads should contact the NRMP Manager
to discuss individual training needs and opportunities.
Page 4
Draft 4/21/94
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7. Office Contacts
Section 7 lists the individuals assigned as contacts for
the assessment. Each person's name, title, phone
number, and Email number should be included. The
Planning Lead, with input from office management,
should select the office contacts.
Identifying Office Contacts
Office contacts will assist with the inventorying and
scheduling process by providing information and
answering questions. Senior IRM Officers, directors,
and senior administrative staff should be assigned as
contacts. It is highly recommended to select
individuals from at least three different
organizational levels within the office as contacts.
This will disperse the burden of participating in the
process, and will provide several different
perspectives on how the office operates.
Once the office contacts are selected, and their
participation in the process is approved, the Planning
Lead should meet with them to explain their
upcoming responsibilities during the assessment.
Refer to the highlighted boxes on this page for descriptions
of the contact's responsibilities.
Senior IRM Officer Responsibilities
Provide materials, such as documents,
plans, reports, guidance, or reference
materials that describe the main functions
or programs of the office.
Identify the key types of Information or
materials collected, generated, and
maintained by the office.
Provide a list of all major databases used
by the office and the name of the system
administrator for each.
Answer questions as needed.
Director Responsibilities
Provide program specific materials that
Identify what the program offices are
responsible for accomplishing.
Identify the roles of staff members In the
division.
Assign Individuals who can escort the lead
and team through the offices during the
Inventories under Milestone 2 and 3.
Act as main coordinator and contact with
the leads under Milestone 2 and 3.
Answer questions as needed.
Senior Administrative Staff Responsibilities
Provide copies of organization charts,
staff rosters, file plans, and floor charts.
Describe the organization of flies
throughout the office and location of key
file stations.
Answer questions as needed.
Draft 4/21/94
PageS
-------
8. Assessment Schedule
The Assessment Schedule specifies the approximate
timeframes for completing each milestone and the
entire assessment. It is usually included as an
attachment to the plan. At a minimum, the
Assessment Schedule must include:
Start date, month and week, the office will
begin the assessment process
Approximate timeframe, by months, that
each milestone will take to complete
End date, month and week, the assessment
process will be completed.
Refer to the highlighted box below for guidance on
estimating milestone timeframes.
The entire assessment should take about two years
for each office to complete. It is EPA's goal to complete
a comprehensive inventory and disposition initiative
in all EPA offices by October 1995 to comply with the
schedule presented to the National Archives and
Records Administration (NARA).
The Assessment Schedule can list the estimated
number of months required to completed each
milestone or it can list how longit will take to complete
a milestone, from the time the previous one has ended
(e.g., Milestone 2 will be completed within three
months following the completion of Milestone 1). If
desired, this schedule can be completed in a graphic
form such as a timeline.
Because this task involves effort and cooperation from
each office and division within the whole organization,
information should be solicited from management
level staff when preparing the schedule. Because of
the planning required, and the need to coordinate with
other individuals, preparing a working draft schedule
is advised. This will save time resolving issues that
may arise in the future.
MILESTONE 1
Estimating Time to Complete Milestones
Allow 3 weeks
MILESTONE 2
Allow 10 minutes per area to be inventoried
Add additional time as needed for more tasks
MILESTONE 3
Allow 3 weeks to schedule Interviews
Allow 45 minutes per interview
Allow 1 to 2 hours to inventory a staff office
Allow 8 to 16 hours to inventory a secretary's area
Allow 32 to 40 hours to Inventory a central file room
Add additional time as needed for other tasks
MILESTONE 4
Allow 3 to 4 weeks to analyze Inventory findings and compile
results
Allow 2 weeks to select and train team
Allow 2 to 3 months for team to review the schedules
Add additional time as needed for other tasks
Page 6
Draft 4/21/94
-------
Determining Budgetary Resources
The Planning Lead may also need to consider the
resources that will be required for completing this
assessment. If outside contractors are used to support
the assessment process, the lead should estimate the
financial resources required to complete each
milestone. This can be accomplished by multiplying
the number of contractors needed for each milestone
by the duration of the milestone, in terms of weeks or
days.
Additionally, the lead should explore the potential
impact on office resources if key staff are devoted to
this work and unavailable to carry out other duties.
Contact Mike Miller at (202) 260-5911, or Email: Miller.
Michael-OIRM for guidance on determining
budgetary resources required for the assessment effort.
Formula to Determine Required Resources
Contractors
needed for
milestone
days to
X complete =
milestone
total
contractor days
lor milestone
Obtaining Approval of
the Assessment Plan
Following its completion, the Planning Lead should
submit the plan to either the office's Assistant
Administrator, Associate Administrator, Regional
Administrator, Laboratory Director, General Counsel,
or Inspector General, for their approval and signature.
The plan should then be submitted to the NRMP
Manager for final approval. Once final approval has
been obtained, Milestone 2 tasks can begin.
Draft 4/21/94
Page?
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{ *<,- ' .
Communicating Assessment
Initiatives
While the Records Management Baseline Assessment
Plan is awaiting approval by the NRMP Manager, the
Planning Lead should begin informing office staff
about the upcoming assessment. The lead should
inform office management that the assessment process
will soon be underway and ensure that they effectively
communicate the upcoming assessment initiatives to
their staff. All office personnel should know that their
participation and cooperation may be needed as the
assessment progresses.
Tools for Informing Office Management
Memo
Staff meetings
Flyers
Email
Voice mall
The most common method of informing office
management about the assessment is through a
memorandum. The memo should briefly describe the
assessment, its milestones, and how staff members
might be involved in the process. The assessment can
also be announced at staff meetings, through Email,
or even as a flyer on a bulletin board. Although the
Planning Lead must determine how best to inform
office management of the assessment process,
management determines how to inform their staff.
Remember to describe the communication strategy in
the Records Management Baseline Assessment Plan.
See Tools 1-C, 1-D, and 1-E on pages 13,14,
and 15 for examples of memos and a flyer.
Paged
Draft 4/21/94
-------
Tool 1-A
MILESTONE 1 WORKSHEET
Estimated Dale
Of Completion
Date
Completed
Preparing the Assessment Plan
Determining Budgetary Resources
Obtaining Approval of the Assessment Plan
Communicating Assessment Initiatives
Phone Number/
Location
Milestone 2 Lead:
Milestone 3 Lead:
Milestone 4 Lead:
Name/Position:
Phone:
Comments:
Draft 4/21/94
Pages
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Tool 1-B
RECORDS MANAGEMENT BASELINE ASSESSMENT PLAN
EXAMPLE
Records Management Baseline Assessment Plan
Office of Administration and Resources Management
June 30,1994
1. The Records Management Baseline Assessment is being conducted within OARM for the purpose of
documenting the record holdings within EPA and properly scheduling records for disposition.
2. Goals OARM will accomplish as a result of the assessment
1. Establish a central file system
2. Eliminate the problem of overcrowded files
3. Perform a records security review
OARM will also identify other records management needs that arise after the office completes the inventory
portion of the assessment.
3. The assessment will be accomplished by completing four separate milestones of achievement.
1. Planning the Records Assessment Process
2. Conducting the Walkthrough Inventory
3 Conducting the Series Inventory
4. Revising the EPA Records Control Schedules
Each milestone will have a final output
4. The following steps will be taken to complete each milestone:
Milestone 1
I. Prepare the Assessment Plan
2. Determine budgetary resources
3. Obtain approval of the Assessment Plan
4. Communicate assessment initiatives
OARM will notify all staff about the assessment by distributing memos two weeks after completion of the
assessment. Directors will also discuss the assessment process with their staff during regularly scheduled
meetings prior to the start of the walkthroughs. Flyers will be placed on bulletin boards two weeks before
the stan of Milestone 2 and a Email message will be sent to OARM staff the week the actual assessment
takes place.
Milestone 2
1. Meet with office contacts
2. Select inventory team
3. Train inventory team
4. Develop Walkthrough Matrix
5. Schedule Walkthrough Inventories
OARM will be inventoried in the following sequence: OARM front office, OA, M&O, GSD, FMSD,
PCMD, OC, RMD, BD, FMD, HRM, EPCD, ERSPD, FOESD, HOCSD, HRDD,
PRDD, OIRM, ASD, IMSD, PSD
6. Conduct Walkthrough Inventories
7. Finalize the Walkthrough Matrix
8. Brief office management
Page 10
Draft 4/21/94
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Tool 1-B (continued)
RECORDS MANAGEMENT BASELINE ASSESSMENT PLAN (continued)
EXAMPLE
Milestone 3
1. Plan the Series Inventory
2. Meet with office contacts
3. Develop interview and inventory materials
4. Conduct the staff interviews
5. Conduct the inventories
6. Develop the Series Summaries
Milestone 4
1. Review the Series Summaries
2. Prepare the series for scheduling team review
3. Select the scheduling team
4. Coordinate scheduling team reviews
5. Submit the series to OIRM for review
5. The following personnel have been assigned as the primary lead to complete the milestones:
Milestone 1 Milestone 2, Milestone 3, Milestone 4
Steve Brown - SJRMO, OERM/IMDS
Mailstop 3G, Washington, DC
(202) 260-1234, Brown.Steve-OIRM
Mary Potter - Records Officer, OIRM/ASD
Mailstop 4G, Washington, DC
(202) 260-5678, Potter.Mary-OIRM
6. OARM encourages individuals who are participating in the assessment to receive records management
training so that they can conduct the assessment in the most efficient and effective manner possible.
7. The following individuals will be assigned as contacts for OARM throughout the assessment:
Gary Holden, Records Officer- OA
(202) 260-0101, Dmail: HoIden.Gary-OA
Gail Smith, Records Officer - OC
(202) 260-0202, Dmail: Smith.Gail-OC
8. See attachment for Assessment Schedule.
Signatures
AA for Admin. & Resources Mgmt.
Bill Freed, Records Officer - OHRM
(202) 260-0303, Dmail: Freed.Bill-OHRM
Kelly Brooks, Records Officer - OIRM
(202) 260-0404, Dmail: Brooks.Kelly-OIRM
NRMP Manager
Draft 4/21/94
Page 11
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Tool 1-B (continued)
ASSESSMENT SCHEDULE
EXAMPLE
Start week
of 7/1/94
Milestone
1
Milestone
2
Milestone
3
Milestone
4
End week
of 1/1/96
OARM
Records Management Baseline Assessment Schedule
1994
July
ft^
I
Aug.
Sept.
Od.
Nov.
Dec.
'":;;?:^V;.
? *" ^y . "* " 3 ^ "*
5 - '-* - \ '*\ , -s
1995
Jan.
Feb.
Mar.
Apr.
May
June
July
Aug.
Sept.
' * ""< <. ff f ' f
Oct.
Nov.
Dec.
1996
Jan.
-!'. V'-T
5' '-..,'" *' :, *',"
,;"/ !,,Vi',v "1^;i"
Page 12
Draft 4/21/94
-------
Tool 1-C
MEMORANDUM
EXAMPLE
MEMORANDUM
SUBJECT: Records Management Assessment - File Inventory
FROM: Office Director
TO: All Division Employees
Starting February 1,1994, Your Contractors Inc. (YCI) will conduct an inventory of
all files within the Region. They will be working in this Division starting February
16. Although they will be conducting formal interviews with key program staff, they
will also ask you some questions while measuring and inventorying files in and
around desks, including files stored in boxes. This inventory will be conducted
whether or not staff members are at their desks. Each branch will provide a guide to
assist and escort the Your Contractors representative through the branch.
Please give them your assistance. We apologize for the inconvenience, but are certain
that the resulting improvements will make this effort worthwhile.
Inventory Lead is the liaison between the Agency and the contractors and has asked
that you contact her at 123-4567 with your comments, questions, ideas and concerns.
Draft 4/21/94
Page 13
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Tool 1-D
MEMORANDUM
EXAMPLE
MEMORANDUM
SUBJECT: Records Management Assessment - Program Contacts
FROM: Director
TO:
Your Contractor Representative
As requested, the following is a list of Branch contacts. It is understood that you may
be contacting these individuals directly to set up interviews relative to the file
inventory.
Compliance Division
Jim Kammer, Branch Chief (phone number)
Kara Leonard, Compliance Section (phone number)
Harry Gold, Planning Section (phone number)
Susan Mink, Management Section (phone number)
Quality Branch
Garret House, Branch Chief (phone number)
Mary Summer, Planning (phone number)
Stan Felding, Standards (phone number)
Page 14
Draft 4/21/94
-------
Tool 1-E
FLYER
EXAMPLE
COMING SOON...
TO A FILE CABINET NEAR YOU!
Hi
GET INVOLVED
GET ORGANIZED
GET INVENTORIED!
STARTS FEBRUARY 1
Stay tuned for more information....
Draft 4/21/94
Page 15
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3
PMIIIIII
7
Milestone 2:
Conducting the
Walkthrough Inventory
WHAT
The Walkthrough Inventory is
conducted during Milestone 2. The
Walkthrough Inventory is a quick
examination of an office for the purpose of gaining a
general understanding of the physical location,
approximate volume, and overall content of the office's
major record holdings. Information documented
during a Walkthrough Inventory is minimal but
critical for carrying out following milestones
effectively.
During the Walkthrough Inventory, the inventory
team completes a matrix that identifies the major types
of records found within the office and their location.
The inventory team also determines the extent to
which an office's records are already scheduled on
EPA's Records Control Schedules.
HOW
WHY
The Walkthrough Inventory provides a
quick overview of the main record
holdings of an office. It helps the
inventory team organize and prepare for the detailed
Series Inventory.
WHO
The Walkthrough Inventory is
conducted by the Inventory Lead with
support from the inventory team.
Milestone 2 is comprised of eight key
tasks and one output. They are as
follows:
Meeting with Office Contacts
{page 19)
Selecting the Inventory Team
(page 19)
Training the Inventory Team
(page 20)
Developing the Walkthrough Matrix
(page 21)
Scheduling the Walkthrough
Inventories (page 22)
Conducting the Walkthrough
Inventories (page 23)
Finalizing the Walkthrough Matrix
(page 24)
Briefing Office Management
(page 24)
OUTPUT
Walkthrough Matrix
Draft 4/21/94
Page 17
-------
Before you start...
Before beginning work under Milestone 2, the Inventory Lead should:
s* Review Assessment Plan
The Inventory Lead should review the Records
Management Baseline Assessment submitted under
Milestone 1. This plan describes each milestone,
provides a schedule for completion, and designates
assessment personnel and office contacts. It will
provide an overview of the entire assessment process.
*s* Review Records Management
Requirements and Practices
The Inventory Lead should be familiar with both
federal and EPA records management requirements
and practices prior to starting the Walkthrough
Inventory. Because of the Lead's visible role during
the assessment, he or she must have a basic
understanding of the current records management
arena in order to train the inventory team, respond to
questions, and make sound decisions during the
inventory process.
Refer to the highlighted box on this page for Federal and
EPA records management resources.
Federal records management resources describe
generally what each agency must do to manage its
records. These requirements include establishing a
records management program, adequately
documenting activities, and properly disposing of
records no longer needed for current business.
EPA records management resources describe how the
Agency will comply with the federal requirements.
They come in the form of Agency-wide policy,
guidance, or procedures.
See Tool 2-A on pages 25-26 for the Milestone 2
Worksheet. This will help the Inventory Lead
successfully complete all tasks under Mile-
stone 2.
Federal Records Management Resources
NARA Disposition of Federal Records:
A Records Management Handbook
Federal Records Management Laws and
Regulations
NARA: General Records Schedules
Personnel Papers and other Guides
EPA Records Management Resources
Model Regional Records Management
Operating Procedures Manual
EPA Records Management Manual
EPA Records Management Policy
EPA Disposition Schedules
For Information on how to obtain these and additional sources, contact the NRMP Manager,
Mike Miller, at (202) 260-5911.
Page 18
Draft 4/21/94
-------
Meeting with Office Contacts
Prior to starting the Walkthrough Inventory process,
the Inventory Lead should meet with the office
contacts identified in the Records Management
Baseline Assessment Plan. It is important to involve
the office contacts as early as possible in the process
to create a climate of cooperation and to begin
scheduling the inventories. During the initial meeting,
the Inventory Lead should explain the purpose of the
inventory and the general process of activities. Each
contact should be given a copy of their office's Records
Management Baseline Assessment Plan. It is also
important to stress that the inventory should not
interfere greatly with the day-to-day work of the office
staff.
Refer to the highlighted box on this page for ideas on how to
involve the office contacts in the inventory process.
Requesting Office Materials
The Inventory Lead should ask the office contacts for
program materials which describe the functions,
activities, mission and goals of the office. These
materials will be used to train the inventory team.
Refer to the highlight box on this page for a list of materials
thelnventory Lead should request from the office contacts.
Involving the Office Contacts
in the Inventory Process
Ask the contact to propose specific dates
and times for conducting the Walkthrough
Inventory
Suggest that the contact Identify a staff
member, such as a secretary or file room
manager, to be an inventory guide and
escort the team through the office
Ask the contact to describe the main types
of files created or used by the office that
will be encountered during the Inventory
Materials to Request
Descriptions of files and file plans
Organizational Structure Charts
Floor plans
Five-Year Plans
Relevant Management Documents
Organizational Studies
Office Brochures
Office or Program Legislation/Policy
E=3-
'*,./"'
Selecting the Inventory Team
Although the Inventory Lead manages the
Walkthrough Inventory process and is ultimately
responsible for the successful completion of
Milestones 2 and 3, the inventory team will do most
of the work. Inventory team members should
understand the basics about records management and
disposiHoning, in order to work efficiently and within
the allotted timeframes. Ideally, the same team
members will participate in both the Walkthrough and
Series Inventories. Since the inventory team will be
responsible for the time-consuming tasks of
interviewing office personnel, reviewing files, and
documenting inventory findings, they should be able
to dedicate 100 percent of their time to the inventory
process.
Using Contractors as Team Members
Contractors are often selected as team members since
they can provide dedicated staff and may already be
knowledgeable about federal records management
and disposition. Two-to-four contractors can usually
provide an adequate amount of support during the
inventory process. Although the Inventory Lead is
responsible for the overall management of the
inventory effort, it is recommended that a contractor
be selected as a co-lead to ensure proper supervision
of tasks. The NRMP Manager can be contacted for
more information on how to select an inventory team.
Draft 4/21/94
Page 19
-------
>{'' -,' ,
Training the Inventory Team
Once the inventory team has been selected, the
Inventory Lead should provide them with basic
training on records management and inventorying
practices at the EPA. Alternately, an internal training
program can be selected. Training alternatives should
be discussed wi th the NRMP Manager before any final
decisions are reached. The records management
training should include both federal and EPA
requirements. In addition, the inventory team should
become familiar with the office's mission, functions,
and major activities. The level of training needed will
vary depending on the experience levels of the team
members.
Refer to the highlighted box on this page to review the
benefits provided by training the inventory team.
Benefits of Training the Inventory Team
Ensures that the team has a clear
understanding of their role and EPA's
expectations for the Inventory process
Provides a common understanding of
generally accepted records management
terminology
Establishes a familiarity with EPA
disposition schedules
Records Management Training
The training program should include an overview of
relevant federal and EPA records management
requirements and practices. The team should also be
introduced to the basic legal requirements, policies,
and guidelines that require the records inventory in
which they will participate. The training should also
include instruction on the EPA Records Control
Schedules so that the inventory team will be able to
identify an office's records by their series. This will
also help the team focus on identifying groups of
records, rather than individual files or documents.
Office Mission and Functions Training
Inventory team training should also include
information on the activities, operations, mission,
goals, and functions of the office to be inventoried.
Team members should review the program
documents provided by the office contacts to gain an
understanding of what the office does and how it
accomplishes its mission. This will help the team
understand what information the office values and
what documents it creates or maintains.
Page 20
Draft 4/21/94
-------
Developing the Walkthrough
Matrix
The inventory team should draft a matrix that will
display the summary of their findings from the
Walkthrough Inventory. This matrix will also serve
as a collection tool during the inventory. It will be
partially completed by the team prior to the start of
the Walkthrough Inventory to reflect those file series
the team expects to find during the inventories. After
all Walkthrough Inventories within an office are
complete, the information recorded by team members
on separate copies of the matrix will be combined and
summarized on one Walkthrough Matrix. When
completed, this matrix will serve as the primary input
for the team completing the Series Inventory and
Series Summaries required under Milestone 3.
The Walkthrough Matrix should be created in
electronic format so that it is easy to read, maintain,
and update.
Refer to the highlighted box on this page for a list of the
categories that should be included on the Walkthrough
Matrix,
See Tool 2-B on page 27 for a blank
Walkthrough Matrix.
Partially Completing the Walkthrough
Matrix
The Inventory Lead, with input from the inventory
team, should partially complete the matrix prior to
conducting the Walkthrough Inventory by hypo-
thesizing about the file series they will find within the
office. The office's mission and function reference
materials, as well as the current EPA Records Control
Schedules, will provide the team with good inputs to
this exercise. Remember that the EPA Records Control
Schedules includes both records and non-records, so
both types of series should be included on the matrix.
Information under the first three columns, 'Series
Title', TDisposal Authority*, and 'Series Type', should
be completed prior to the walkthrough. Follow these
six steps to fill in the first three columns of the matrix:
Step 1; Read the series descriptions on the
current EPA Records Control
Schedules
Step 2: Select specific series from the
schedules that might be found
during the walkthrough
Step 3: Identify the Series Title, EPA Series
No., NARA Schedules No., and
Type of records/non-records as
indicated on the schedules
Step 4: Enter this data for each series onto
the draft matrix
Step 5: Identify any series of records and
non-records that the Inventory
Lead or team expects to find in the
office, but cannot identify on the
current schedules
Step 6: For these unscheduled records,
enter UNIQUE' and a descriptive
title in the first column of the
matrix, enter 'N/A' in the second
column, and enter type of record /
non-record in the third column
^H
Series Title
obtained from the
current EPA
Records Control
Schedules;
or labeled 'UNIQUE'
with a
descriptive name,
if unscheduled
Walkthrough Matrix Categories
Disposal Authority/
Series number
both found on the
current EPA
Records Control
Schedules
Series Type
either program,
administrative, reference,
working, guidance, case,
correspondence,
chronological, etc., series
type is listed on the current
EPA Records Control
schedules
Total Linear Feet
a measurement is
taken in linear feet,
for each different
group of related
files found during
the walkthrough
m
Custodian
identifies the
owners of
particularities,
byname
i^H
Office and
Location
identifies a
specific off ice/
divisionfcranch
and room
number
Draft 4/21/94
Page 21
-------
It will not be possible to fully complete this matrix
prior to the Walkthrough Inventory. However, the
partially-completed matrix will save the inventory
team valuable time and effort during the inventory.
During the Walkthrough Inventory, the draft
information will be confirmed and additional
information will be collected.
Refer to the highlighted box on this page for an example of
a partially completed Walkthrough Matrix.
To obtain guidance material on the EPA Records
Control Schedules, contact the NRMP Manager,
Mike Miller, at (202) 260-260-5911, or Email:
Miller.Michael-OIRM.
Example of a Partially-Completed Walkthrough Matrix
Series Title
Contract Fies
(Contracting
Officer)
PoBcy Guidance
Documents
Program
Development
Documents
Reports to
Congress and
President
Speeches by
Director and Staff
'UNIQUE Permits
Disposal Authority/
Series Number
NC1-412-85-
7/8(202)
NC1 -412-85-
7/22(253}
NC1 -412-85-
7/31 (143)
NC-1-412-85-
7/21A(155)
NC1-412-85-
712A(184)
N/A
Series Type
Program
Guidance
Reference
Program
Administrative
Case files
Total Linear Feet
to be collected
during inventory
4
ft
ซ
*
Custodian
to be collected
during inventory
*
Office and
Location
Division/
Branch
Roomt
ซ
ซ
Scheduling the Walkthrough
Inventories
The Walkthrough Inventories should be scheduled as
early as possible to allow adequate time for the office
personnel to prepare. The first office scheduled for
an inventory should be conducted by the inventory
team as a pilot. A pilot inventory will provide the
team with an opportunity to test and evaluate their
inventory strategy and to make any necessary changes
prior to continuing the inventory process.
The Inventory Lead should confirm the Walkthrough
Inventory schedule with the office contact. Final
arrangements should also be confirmed with other
office personnel, such as escorts, whose assistance may
be required during the walkthrough. It is always
advisable to schedule other offices as backups in case
unforeseen circumstances prevent the team from
conducting an inventory.
Page 22
Draft 4/21/94
-------
Conducting the Walkthrough
Inventories
Since the objective of the Walkthrough Inventories is
to determine, generally, what records exist in the office,
and where they are located, it should not be a very
time-consuming or labor-intensive process. Collecting
detailed information during the Walkthrough
Inventory will minimize the effectiveness of the
inventory and will cause the team to run behind the
schedule documented in the Records Management
Baseline Assessment Plan. Because of the fast pace of
the Walkthrough Inventory, the team should not
require workspace in the office.
Assigning Roles
All team members should know how to collect data
about the files, measure the files, and ask questions
regarding the files. However, prior to each inventory,
each team member should be assigned a specific role.
This will help the team save time and minimize
duplication of their efforts.
For example, if a three-person team inventories an
office's file room, one person should take
measurements of record volumes, another should
document informa-tion about the records, and another
should ask key questions about the files.
Getting Started
The team should bring as few materials as possible
when conducting an inventory. Useful items to bring
include measuring tape, pencils, a clipboard, blank
paper, and the partially-completed Walkthrough
Matrix. Each inventory should begin by either
meeting the office escort, or by going to the first office
scheduled to be inventoried.
The partially-completed Walkthrough Matrix will help
the inventory team collect the necessary information
about the records and non-records an office maintains.
One collection matrix should be completed for each
work area being inventoried. The team should plan
on surveying the main file stations of an office (e.g.,
secretary areas, central file rooms) first since the
majority of files will be there. Other areas of the office
that house important files should also be included in
the inventory.
When a team first enters an office or file room, they
should quickly survey the physical layout of the room
and determine whether files are located in cabinets,
shelves, boxes, etc. The team should review the file
folder labels for a general idea of the record series
housed in each location. Usually, the majority of file
series found will already be listed on the Walkthrough
Matrix.
The inventory team should ask the office escort, or
program contact, questions to determine the types of
files housed in each key area of the office.
Refer to the highlighted box on this page for a list of questions
to ask during the Walkthrough Inventory.
Files described by office staff as "important", "used
routinely", "significant", "vital", or "cannot live
without" should be included on the Walkthrough
Matrix as a series. The team should also document
any factors they identify during the walkthrough
inventory that may affect the success of the Series
Inventory in Milestone 4. They should inform the
Inventory Lead about these problem or strength areas.
See Tool 2-C on page 28 for a Walkthrough
Inventory Guide.
Walkthrough Inventory Questions
Is there a file plan for these files?
How are these files organized?
What do these files contain?
How are these files used (reference, reader,
guidance, case, etc.)?
Are these files used by administrative or
program staff or both?
Who Is responsible for maintaining these
files?
Are these files related? How are they related?
Is there a generic name the office uses for
this group of flies?
Non-Paper Materials
Generally, materials of media other man paper, such
as electronic and audiovisual materials, are not
included in the Walkthrough Inventory. However, if
the office to be inventoried uses a media other man
paper as their primary form of documentation, then
the non-paper materials should be documented
during the Walkthrough Inventory.
Draft 4/21/94
Page 23
-------
Finalizing the Walkthrough Matrix
After all Walkthrough Inventories within an office
have been completed, all of the information collected
must be combined into one Walkthrough Matrix. The
final matrix should be completed by the Inventory
Lead because it will become part of the offices' official
records disposition file, and will be a key input to
Milestones 3 and 4 activities.
The final Walkthrough Matrix will summarize the
findings of all of the Walkthrough Inventories. Files
that appear to be very similar as identified on the
different matrices should be combined into one series
on the summary version of the matrix. The linear feet
of each series should be totaled. Instead of listing
individual names under the 'Custodian' column.
substitute either 'Program' or 'Administrative' to
indicate the area of responsibility of the individuals
primarily maintaining the files. It may also be
necessary to add additional office numbers or units
to the 'Location' column, if there are multiple locations
of related files.
When finalizing the matrix, it may be necessary to add
or delete entire series from the original series list
identified by the team prior to conducting the
Walkthrough Inventories.
Refer to the highlighted box on this page for an example of
a completed Walkthrough Matrix.
Completed Walkthrough Matrix
Series Tide
Contract Res
(Contracting Officer)
Policy Guidance
Documents
Program Development
Documents
Reports to Congress
and President
Speeches by Director
and Staff
'UNIQUE Permits
Disposal Authority/
Series Number
NC1-412-85-
7/8(202}
NC1 -412-85-
7/22(253)
NC1-412-85-
7/31 (143)
NC-1-412-85-
7/21A(155)
NCM12-85-
712A(184)
N/A
Series Type
Program
Guidance
Reference
Program
Administrative
Case files
Total Linear Feet
20 feet
10 feet
3 feet
2 feet
10 feet
15
Custodian
Administrative staff
Program staff
Program staff
Administrative staff
Program staff
Program staff
Office and
Location
OIRM/1MB
2003,2001
OIRM/1MB
2001
OIRM/IM8
2001
OIRM/IMB
2002,2003
OIRM/IMB
2003,2002
OIRM/IMB
2001,2002
Briefing Office Management
Once the Walkthrough Inventory process is complete,
the inventory team should provide office manage-
ment with an overview of the team's findings. The
Inventory Lead, with assistance from the office contact,
should schedule and lead this meeting. Office
management should be briefed on the progress to date
in the assessment process, any issues that have been
identified, and any other relevant findings. During
this meeting, the Inventory Lead should confirm the
information that was collected about the office's files
and thank the office for its cooperation throughout
the Walkthrough Inventory. The next steps in the
assessment effort should also be discussed.
Page 24
Draft 4/21/94
-------
Tool 2-A
MILESTONE 2 WORKSHEET
Meeting with Office Contacts
Selecting the Inventory Team
Training the Inventory Team
Developing the Walkthrough Matrix
Scheduling the Walkthrough Inventories
Conducting the Walkthrough Inventories
Finalizing the Walkthrough Matrix
Briefing Office Management
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Team Member:
Team Member:
Team Member:
Team Member:
Estimated Date
Of Completion
Date
Completed
Phone Number/
Location
iCjCWTACTS^^^^^^
Name, Office, Phone
Date contacted:
Comments
Draft 4/21/94
Page 25
-------
Too! 2-A (continued)
Name, Office, Phone
Date contacted:
Comments
Page 26
Draft 4/21/94
-------
Tool 2-B
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Tool 2-C
WALKTHROUGH INVENTORY GUIDE
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Measuring Tape
Clipboard
Pencils
Blank Paper (for extra
notes)
Walkthrough Matrix
Date & Time
Contact/Escort
>,>'-"" -T WHATTODO ; V'" 'C\^r ^
Look for file/record series throughout all offices
Document all key/major record series
Use matrix as a guide for specific data to capture
Measure all key record series within an office
Move quickly and efficiently it is not necessary to note
extensive details
"*,-*:- - '"' \ | QUESTIONS TO ASK " .: ^:r ' , \
Is there a file plan for these files?
How are these files organized?
What do these files contain?
How are these files used? (reference, reader, guidance, case, etc.)
Arc these files used by administrative or program staff or both?
Who is responsible for maintaining the files?
Are these files related? How are these files related?
Is there a generic name the office uses for this group of files?
Page 28
Draft 4/21/94
-------
Milestone 3:
Conducting the Series Inventory
WHAT
The team confirms the preliminary
information collected during the
Walkthrough Inventory and collects even
more detailed information about the offices' files
during the Series Inventory in Milestone 3. Record
and non-record series that were identified during the
Walkthrough Inventory and are scheduled on the EPA
Records Control Schedules do not need to be re-
inventoried during the Series Inventory. Rather, the
Series Inventory should focus on collecting detailed
information about those unscheduled record and non-
record series the office creates, uses, or maintains.
The final result of the Series Inventory are Series
Summaries. A Series Summary is developed for each
scheduled and unscheduled series found in the office.
WHY
The purpose of a Series Inventory is to
identify the records and non-records in
an office by their series so that clear and
current records disposition schedules can be
developed.
WHO
The Inventory Lead, supported by the
inventory team, conducts the Series
Inventory.
HOW
Milestone 3 is comprised of six key tasks
and one output. They are as follows:
Planning the Series Inventory
(page 31)
Meeting with Office Contacts
(page 32)
Developing Interview and
Inventory Materials (page 33)
Conducting the Staff Interviews
(page 34)
Conducting the Inventories
(page 35)
Developing the Series Summaries
(page 38)
OUTPUT
Series Summaries
Draft 4/21/94
Page 29
-------
Before you start...
Before beginning work under Milestone 3, the inventory team should:
Review Walkthrough Matrix
Review the completed Walkthrough Inventory Matrix
developed under Milestone 2 to determine the record
and non-record series found in the office during the
Walkthrough Inventory. This matrix will provide the
team with an overview of what unscheduled series
they will most likely find during the detailed Series
Inventory.
Review Records Management
Terminology
Since the inventory team will speak extensively with
office staff during the Series Inventory, it is important
that they are familiar with common records
management terminology. They should understand
the technical terminology well enough to explain it to
staff in terms that they will understand. Refer to
glossaries provided in NARA guidance (e.g.,
Disposition of Federal Records: A Records Manage-
ment Handbook, Managing Electronic Records,
Managing Audiovisual Records) for definitions of
records management terms.
Review Office Mission and Functions
The Inventory Lead and team should again review
the office's mission and functions to understand what
information the office values. Although the team
should already be quite familiar with this information,
details about the office's program, the paperflow and
workflow or the roles of staff members may be more
meaningful at this time.
Review Inventory Procedures
The Lead and team should already have a strong
understanding about how to inventory records.
Sources to review for suggestions and ideas about how
to effectively inventory records include:
EPA's 6 Months to Better Files - Step 2:
Conducting a Records Inventory
NARA's Disposition of Federal Records -
Chapter III: The Records Inventory
EPA Model Regional Records Management
Operating Procedures Manual: Chapter III -
Section 1, Records Inventory.
The Inventory Lead should confirm that the team is
using the latest edition of all materials, including all
changes issued by NARA.
Additionally, the Inventory Lead and team should talk
to other Agency staff who have previously conducted
inventories. This will provide experienced
perspectives on the process, as well as information
about the successes and obstacles encountered in a
particular office. To identify personnel who have
conducted Series Inventories in the past, contact the
NRMP Manager, Mike Miller, at (202) 260-5911 or
Email: Miller.Michael.
Review Assessment Plan
Review the Records Management Baseline Assess-
ment Plan for an overview of the records assessment
process within the office. The team should be familiar
with the activities conducted under each milestone
and the assessment schedule.
See Tool 3-Aon page 39 for the Milestone 3 Worksheet. This will help the Inventory Lead successfully
complete all tasks under Milestone 3.
Page 30
Draft 4/21/94
-------
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Planning the Series Inventory
It is the responsibility of the Inventory Lead to plan
the Series Inventory process. This helps ensure that
all key tasks occur and the effort is completed on time.
The Inventory Lead should confirm the roles and
continued availability of the inventory team members
with office management. It may be necessary to
provide follow-up inventory training to the inventory
team. The Lead should make sure that any new team
members are aware of progress to date in the
assessment process.
Selecting Office Staff To Interview
Staff interviews should be scheduled early in the Series
Inventory process. The goal of these interviews is to
verify the list of series identified during the
Walkthrough Inventory and maintained by the office.
These interviews also provide an opportunity to gain
a more comprehensive understanding of what
information the office values, how the office operates,
and how the office creates and maintains records.
By the time the Walkthrough Inventory has been
completed, the Inventory Lead should have a strong
understanding of the office organization, number of
staff, and volume of the offices' records. The Lead
should obtain a staff directory that lists names, titles,
room numbers, phone numbers, and divisions,
branches, sections, units, etc. for each staff member.
The directory should provide insight on staff roles and
can be used to determine how many people within
the office should be interviewed.
It is important to choose a mix of staff with different
functions (e.g., administrative, program, manage-
ment) and at different levels within the office. The
office contacts will be able to help determine who
should be interviewed. At a minimum, the team
should plan to interview every custodian of
unscheduled record series identified during the
Walkthrough Inventory. An interview should also be
scheduled with the office's system administrator/
database manager to identify electronic records.
The sequence of interviews should follow the
inventorying sequence recommended in the Records
Management Baseline Assessment Plan. The
Inventory Lead should be prepared to discuss the list
of potential interviewees and the proposed interview
schedule with the office contacts.
See Tool 3-B on page 40 for a blank Interview
Schedule.
Draft 4/21/94
Page 31
-------
"4 -', ป'J
Meeting with Office Contacts
The Inventory Lead should meet with the office
contacts identified in the Records Management
Baseline Assessment Plan to explain the Series
Inventory process and to answer any questions they
may have at this point in the assessment process. The
Lead should tell the contacts that prior to the detailed
Series Inventories, the inventory team will interview
office staff to determine what information is used,
valued, maintained, and created within the office.
During the meeting, the Lead should propose staff to
be interviewed. It is also important to discuss the
schedule and sequence of inventories.
Meeting with Office Contacts
Explain Series Inventory process
Propose office staff to be interviewed
Schedule Interviews and Inventories
Request working space for Inventory team
Ask that office escorts be assigned
Confirm that all office staff are aware of
Series Inventory process
Answer questions
The Inventory Lead should request working space
with a table and chairs that can be used by the team
when sorting through files during the inventory. The
Inventory Lead should also request that some office
personnel be assigned to escort the team during the
interviews. The escort's role will consist of guiding
the inventory team into different parts of the office,
introducing them to staff, and showing them the
location and organization of all major file stations.
The Inventory Lead should confirm that office staff
know about the upcoming Series Inventory activities.
The Lead should reiterate the importance of
communicating this to office personnel so that they
will cooperate and help the team gather adequate
information about the offices' files. The Lead may
want to offer to brief staff about the Series Inventory
process during an office meeting. The Lead can also
offer to draft a memo directed to either management
or staff to announce the inventory.
Refer to the highlighted box on this page for a review of
what topics to address with office contacts.
Page 32
Draft 4/21/94
-------
Developing Interview and
Inventory Materials
The inventory team should prepare and gather the
necessary materials for the interviews and Series
Inventories as early as possible.
Interview Guide
An interview guide for the team to use during the
interviews must be developed. Questions should
focus on determining how information is created, used
and organized by the office. The team should gather
information on as many unscheduled series as
possible during the interviews as well as confirm
findings on the scheduled series. Thorough interviews
will help ensure the efficiency of the Series Inventories.
See Tool 3-C on page41 for a sample Interview
Guide.
Series Summary Form
Series Summaries are developed for each record and
non-record series in the office. They are a required
output of Milestone 3. The blank Series Summary
form should be used as a collection tool during the
Series Inventories to ensure that the appropriate
information about each series is collected. A checklist
format is recommended so that detailed information
on each series can be captured quickly. This checklist
should provide options of criteria used to describe any
record or non-record series.
EPA requires that the following information be
included on the Series Summaries:
Series name
Series description
Series volume
Series location(s) (e.g., office/division/
branch)
Series custodian(s) (i.e., individual's name
and office)
Series type (e.g., program, administrative,
working, etc.)
Date span of series
Access restrictions on series
Medium of series
For scheduled series identified during the
Walkthrough Inventory, information can be pulled
from the Walkthrough Matrix onto the Series
Summary forms prior to the inventory.
See Tool 3-D on page 42 for a sample Series
Summary form.
Additional sample formats for Series Inventories are
also available from the NRMP Manager, or in NARA's
publication, "Disposition of Federal Records: A
Records Management Handbook."
Draft 4/21/94
Page 33
-------
Conducting the Staff Interviews
Interviews with selected office staff are an essential
part of the Series Inventory process. The purpose of
the interviews are for the inventory team to gather
information about the records and non-records they
will need to include on the Series Summaries. If the
inventory team is large, the Inventory Lead may want
to divide team members into two or more sub-teams
so that the interviews and Series Inventories can be
conducted simultaneously.
Scheduling and Confirming Interviews
Because office personnel have busy work schedules,
the process of contacting staff and scheduling
interviews can take up to several weeks. To accommo-
date staff schedules, the team should be as flexible as
possible when scheduling the interviews. To complete
the interview process within the designated timeframe
and still allow an appropriate amount of flexibility,
the team may want to have interviewees choose a time
and date for their interview within a pre-set time
period (e.g., one week).
Refer to the highlighted box on this page for a list of key
areas to discuss with each interviewee when scheduling the
interview.
Confirming the Interviews
Schedule date and time for Interview
Provide them with the following
information:
interviewer's name
Name of the Inventory Lead with whom
they are working
Purpose of the assignment
Purpose of Interview
Estimated time to complete Interview
(approx. 30 minutes to 1 hour)
Answer questions
What to Bring to the Interviews
The inventory team should bring the following
materials to each interview:
Interview Schedule
Interview Guide
Completed Walkthrough Matrix
Additional materials as needed
During the Interviews
The interviewer should explain that the purpose of
the interviews is to gather information about the
offices' files. The interviewer should ask them the
questions on the Interview Guide. If the interviewee
is scheduled to have their office/area inventoried, the
interviewer should inform interviewees that the
inventory team will not alter the condition, location,
or arrangement of their files. The interviewer should
ask if there are any file drawers containing personal
papers that should not be disturbed during the
inventory. The interviewer should also tell the
interviewee that they may choose whether or not to
be present during the inventory. The interviewer
should always end the interview by asking the
interviewee if it would be possible to contact them
with additional questions if necessary.
Refer to the highlighted box on the next page for a list of
tips to remember during the interview.
After the Interviews
Following the interview, the team should review notes
for completeness and clarify and summarize key
points. If databases were discovered during any
interviews, the Inventory Lead should contact the
NRMP Manager. He/she will determine what
information should be documented about the
database. At this point, the team should use the EPA
Records Control Schedules, the completed
Walkthrough Matrix, and the interview notes to
prepare a Record Series List. This is a summary list of
all of the unscheduled file series organized by location
within the office. During the inventories, the
inventory team will use the Record Series List to
quickly reference what unscheduled record series are
known to exist in a particular location.
Refer to the highlighted box on the next page for an example
of a completed Record Series List,
See Tool 3-E on page 43 for a blank Record
Series List.
Page 34
Draft 4/21/94
-------
Speak In familiar
terms
Remember the goal
of the Interview
Ask about electronic/
computer files
Remain In control of
the discussion
Project a positive and
confident Image
Know when to end
the Interview
Although familiar to the team members, records management terminology may
be foreign to the interviewee. Use common words Instead of records
management phrases. Insert words such as 'files', 'documents' or 'official
copies' into questions and discussion where the word 'record* might otherwise
be used so that the Interviewee will understand how to answer questions.
Since the purpose of the Inventory Is to locate all of the office's record series,
each Interview should focus on Identifying as many record series as possible
and learning as much about each one as is necessary to Identify, categorize,
and manage It successfully.
Do not expect that the interviewee will offer Information about the computer
flies they use and create. Everyone does not know that electronic information
can be official records.
The Interviewer should focus the discussion back to the Interview Guide If
conversation strays to a different topic. Similarly, If the Interviewee brings out
points that are not Included on the Interview Guide, but appear to be valuable,
ft is the Interviewer's responsibility to probe for more Information.
the Interviewer should be knowledgeable enough about records management
so that the Interviewee recognizes them as the 'expert'.
The Interviewer should not take any more of the Interviewee's time than is
absolutely necessary.
i Example of a Completed Record Series List
Office/Division: OIRM
Branch/Unit/Section: Management Branch
; LOCATION' ?\
* t f
Room 2003 - File Room
Room 2003 - Office 11
Room 3003 -Office 12
Room 3003 - Cubicle 1
Room 2003 - Front Hallway
SERIES NAME : -',
A Series
B Series
C Series
D Series
E Series
F Series
G Series
H Series
I Series
J Series
K Series
DESCRIPTION-
A Description
B Description
C Description
D Description
E Description
F Description
G Description
H Description
1 Description
J Description
K Description
Draft 4/21/94
Page 35
-------
Conducting the Inventories
As in the Walkthrough Inventory, team members
should be assigned specific roles for the Series
Inventories. For example, one team member should
take measurements, one .should document
information on the Series Summary forms, and one
should be available to locate office contacts and staff
for questioning if necessary. Regardless of any specific
duties assigned to team members, it is important that
all team members know that they will each spend the
majority of their time sorting through files.
The team can kickoff the Series Inventory process by
meeting with the assigned escort to establish the
location of their work area. If office space is at a
premium, it may be difficult to locate a completely
separate work area for the team. At times, the team
could even be temporarily located in offices of those
staff who are away on travel or vacation. Regardless
of its size, location, or physical appearance, the work
area will be used as the main location where the Team
reviews the office's files.
What to Bring to the Inventories
The inventory team should bring the following
materials to each inventory:
Clipboards
Measuring Tape
Notepaper
Pencils/pens
Staff Directory
EPA Records Control Schedules
Interview Notes
Completed Walkthrough Inventory Matrix
File Series List
Series Summary forms
Getting Started
Before the team begins to inventory files in a specific
office location, they should agree upon the most
efficient way to divide their responsibilities. The team
should reference the Record Series List to determine
what series they already know exist in that particular
location. The team should then start to review files to
determine their content, dates covered, etc.
Refer to the highlighted box on this page for a list of different
type of office areas and how to inventory them.
Inventorying Office Areas
Secretary's Area
With assistance from the secretary, Identify all of
the file cabinets and begin pulling files starting
with the first drawer. Obtain any file plans that
may help the team understand file organization.
Central File Room
With assistance from the file room manager,
Identify the shelf or cabinet where the files start
and begin pulling files from this point. Obtain
any file plans that may help the team understand
file organization.
Staff Offices
Flies In a staff office are usually contained In
several pieces of furniture, and sometimes in
boxes, on floors, or on wlndowsllls. Because
the bulk of files will probably be found in file
cabinets, the team should start there. The team
should remember that most of the files In staff
offices are not records, but are convenience
copies of documents, letters, memos and
reports. These can probably be documented by
location and volume on one of several series
summaries for non-records. It Is not usually
necessary to remove files from a staff office.
What to Look for When Reviewing Files
Because this is a Series Inventory, and the team is only
interested in locating records and non-records by their
series, information will not be recorded about every
single file in the office. The Series Summary form will
help streamline the process of reviewing files and
summarizing the information contained within them.
When an unexpected group of files is found, the team
should check to see if it is scheduled. If it is, the
appropriate information should be documented on a
Series Summary form. If the series is not scheduled,
the appropriate information should be recorded on
the Series Summary form with the series designated
as UNIQUE'.
Refer to the exhibit on the next page for a graphical
representation of this process.
Page 36
Draft 4/21/94
-------
Series Inventory Process
Find an
unscheduled/
unexpected III*
to this file
part of a
NO
YES
Wash documented
during the Walkthrough
Inventory?
NO
fc.
Record appropriate
Information on a new
Serie* Summary form
YES
Locate SeriM
Summary form with
this series name
Provide any missing
Information on Series
SumrnEvy Ionu
Inventorying Non-Paper Files
The team should already be aware of the non-paper
files the offices uses from information collected during
the interviews. Some non-paper files require the
collection of additional information in order to
understand which are significant enough to be defined
as a record.
Refer to the highlighted boxon this page for a list of common
non-paper files and directions on how to inventory them.
Inventorying Files that are Easy to
Overlook
When inventorying, it can be easy to overlook files
that are less accessible and not as organized as those
in cabinets, book cases, or shelves. Files can be found
anywhere within an office and their location does not
necessarily signify their importance. The Inventory
Team may encounter stacks of boxes filled with files,
files placed in unorganized piles on floors or
windowsills, and files without labels. Although the
team must eventually inventory these files, to save
time, the escort can look through the boxes or files to
determine what they contain.
Non-Paper Files
Microform
Cabinets of microfiche should be treated similar to
paper files. Rather than using a reader to review the
contents of the cards, the team should speak to the
custodian to collect necessary information. The team
should determine whether or not the microfiche are the
'official' copies of the documentation from which they
were made. If they are the 'official' copy, they should
be documented on the Series Summary forms.
Photographs
Most photographs are not considered to be part of a
record series. To be considered a series, photographs
should constitute a measurable volume of approx-
imately half a linear foot. If a photograph is a copy of
an original, it is not considered a record.
Video Tapes
Not all video tapes should be considered part of a
series. Some tapes will be copies of originals and
others will not be considered record material based on
their content or purpose. Random tapes should not be
documented as a record series. Offices that produce
videos, such as communications and media offices,
are likely to maintain record copies and will have a
large enough group of related tapes to be documented
as a record series on the Series Summaries.
Electronic Files/Databases
All offices inventoried will use electronic media for
storing documents and information. The team will find
many files maintained on personal computers and
diskettes created and used by individual staff. These
should not be considered a series and documented
on a Series Summary form unless, through the
interview process, they were specifically identified as
records.
Databases should be discussed during the interview
process with a database manager/system
administrator. In general, there are three kinds of
records that are normally associated with a single
database: records used exclusively for inputting data,
electronic files that contain the system files and code,
and record copies of output, such as reports produced
by the system. Databases cannot be adequately
documented using the Series Summaries because of
the amount of information needed to accurately
describe their characteristics, operations, and
associated files. Please contact the NRMP Manager,
Mike Miller, at (202) 260-5911 or Email: Mitler.Michael
for specific requirements for documenting databases.
Refer to the Information System Inventory for a list of
the Agency's main databases, as well as to the
scheduled databases found on the records control
schedules for the names of specific databases.
Draft 4/21/94
Page 37
-------
Inventorying FOIA and Confidential Files
Freedom of Information Act (FOIA) files are easy to
inventory because they are usually already scheduled
in the EPA Records Control Schedules. The inventory
team should be aware of the office's FOIA files from
information gathered during the interviews. During
the inventory, the team should ask the office escort
where the office's FOIA files are located. FOIA files
should be labeled as TOIA' on the Series Summaries
and treated as any other record series.
The inventory team may not be given permission to
inspect certain confidential files, due to the sensitive
nature of the material they contain. In these
circumstances, the inventory team should ask the
custodian of the files questions to determine the
general content of the files, the types of documents,
how they are used, and their approximate volume.
The team should gather as much information as
necessary to complete a Series Summary form.
Confidential files should be labeled as 'Confidential'
on the Series Summaries.
Developing the Series
Summaries
A Series Summary must be created for each record
and non-record series the office creates, uses, or
maintains. This includes those scheduled series
identified during the Walkthrough Inventory and all
series identified during the Series Inventory.
All of the non-records in the office can probably be
grouped under just a few different Series Summaries
(e.g., Technical Reference, Reader Files). Minimal
information (e.g., approximate volume, location,
general description) is required for non-records.
Series Summaries must provide the following
information for each series:
Series name
Series description
Series volume
Series location(s)
(e.g., office/division/branch)
Series custodian(s)
(i.e., individual's name and office)
Series type
(e.g., program administrative, working, etc.)
Dates of series
Access restrictions on series
Medium of series
The Inventory Lead should review each Series
Summary for completeness. If any part is incomplete
or unclear, the team will need to either review the files
again or speak with the file custodian to obtain the
necessary information. A complete set of Series
Summaries will not only provide the required
documentation of the office's record series, but will
also facilitate the records control schedules revision
process.
Page 38
Draft 4/21/94
-------
Tool 3-A
MILESTONE 3 WORKSHEET
H-* &$ **\5*ซ&1*-'>y*>','
V> f' ซ"/" */%s''ฐ"*
tf;4v*A&f< ;$../%,, > ,fa-
ซ?&"'* "J" /%'> <*xป
Planning the Series Inventory
Meeting with Office Contacts
Developing Interview and Inventory Materials
Conducting the Staff Interviews
Conducting the Inventories
Developing the Series Summaries
ltStPlPNi.Qi?y,TEAM.r;*^,v;-;t
Team Member:
Team Member:
Team Member:
Team Member:
Estimated Dale Date
Of Completion Completed
Role(s)
teA*Af*.jgtyffs&fysssฃF.f-f s 4 *'&&*&&**?&*''* ^'"'^SMX^-.'-). tfff.w.*, MBrt "- ' *'.ฅ.* *m~A*S>*- S.V'^*^ป*'*-*fiy'v. <$&.&& _* -c,vf mv*fSi&&Avf*. 3&.f y^t&>f&jf&x&';%,lfฃ
|^|lfjg|^^
Contact NRMP Manager
Schedule interviews
Obtain staff roster
Propose staff to interview
Propose sequence of inventories
Determine how team will be used for
interviewing and inventorying
Meet with office contacts
Update status of assessment
Confirm sequence of inventories
Request work space for team
Discuss role of office escort(s)
Confirm that staff are aware of
inventory
Brief staff during scheduled meeting
Draft memo announcing inventory
Suggest using flyers and Email
Draft 4/21/94
Page 39
-------
Tool 3-B
INTERVIEW SCHEDULE
J$$&&S!88R%S%& %%^$&'&i'/%f<:ฎ$yS'tiLV''t*V'*f%\ flf*!*!
$fฅ&&^$'$fo'ff'iฃff >M'^v''f'??%%i>Miv CS^S" *> *<*^Pw&'^A>*0'*^ ^.-''kv4*o/4ซ.(> o> *"'> *
Date Name
Office
Phone/Room
Date Name
Office
Phone/Room
Date Name
Office
Phono/Room
Date Name
Office
Phone/Room
Date Name
Office
Phone/Room
Date Name
Office
Phone/Room
Date Name
Office
Phone/Room <
Date Name
Office
Phone/Room
Date Name
Office
Phone/Room
\J*'-sJ' ' ' '< 'i*' '7*' l^ * ซซ V ^3f^t9rf^S.fS^g'S^V^^VttgVft
Date Name
Office
Phone/Room
Date Name
Office
Phone/Room
Date Name
Office
Phone/Room
Date Name
Office
Phone/Room
Date Name
Office
Phone/Room
Date Name
Office
Phone/Room
Date Name
Office
Phone/Room
Date Name
Office
Phone/Room
Date Name
Office
Phone/Room
Page 40
Draft 4/21/94
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Tool 3-C
INTERVIEW GUIDE
EXAMPLE
What is your role within this section/unit/branch, etc.?
What kinds of documents/files do you need to access in order to perform this job?
What are the most important files/documents to you and why? Please describe them.
Do you know of any other sets of these files or documents? Where? How are they used?
Do you handle any kind of sensitive information? If so, please describe.
What types of files do you use and create?
Can you describe how these documents are used after you create them?
What kinds of files (e.g., by subject) are in this office/area/room/cabinet/shelf, etc.?
Who creates these files?
Can you describe how these files are organized? (e.g., by subject)
Are there any breaks in the files? (e.g., files may be arranged in groups of two years)
What are the contents of these files?
How are these files used (e.g. as program, working, reference, guidance files, etc.)?
Do these files contain any originals or 'official copies' of documentation?
What dates do these files cover?
Are you aware of any other copies of the files/documents?
What kind of work do you do on the computer?
Are you responsible for any "corporate" computerized information? (e.g., major EPA
systems, branch list of mailing labels, furniture inventory)
Do you ever access any databases? If so, which one(s)?
Why do you use the database and what information does it contain?
Do you ever print out reports from this database? If so, please describe them.
Do you know who is responsible for managing or maintaining this database?
Draft 4/21/94
Page 41
-------
Tool 3-D
SERIES SUMMARY
Person Doing Inventory: Date:
Division/ Section/
Branch: Unit:
Room Number: Custodian:
(5rcteo2e)Area: Office Cubicle HaU Space File Room Other
,A -'-,/* v ^0.V^^"<ปvrSinปiBiB3tฃaieckll(lv/ - , ./ '!v"s'L /is;' >;>V,< "VJ
$?:.&,*" .. ^-: ;;?,5>->V-X '(for related file groups/record leife^-:-, * "- ' v'^ Vv^:rvV'
Location of files
File Cabinet
Vert (# drawers)
Lat(# shelves)
Desk: Drawers/Top
Credenza: Drawers/Top
Shelves: (#)
Boxes: (#)
Other:
Document Type
with Volume
Program
Admin
Working
Personal
Guidance
Reference
Case
Chron/Reader
Other
Medium
Paper
Publications
Audio Recording
Microform
Maps/Drawings
Motion Pictures/Film
Electronic
Photographs
Forms
Access
Restrictions
Privacy Act
Confidential
Business
Information
Enforcement
Sensitive
Information
FOIA
Other
Series Title:
Series Description:
Dates of files: Scheduled? Yes No
EPA Series Number:
v^:p ,!-v ฐ *>::',;
Location of files
File Cabinet
Vert (# drawers)
Lat (# shelves)
Desk: Drawers/Top
Credenza: Drawers/Top
Shelves: (#)
Boxes: (#)
Other
--;">V Summary Checklist- /; > -> '-:-''/ *-- *- --' '-",.
> \tfor retated file groups/record defies) -/," <' -'ซ
Document Type
with Volume
Program
Admin
Working
Personal
Guidance
Reference
Case
Chron/Reader
Other
Medium
Paper
Publications
Audio Recording
Microform
Maps/Drawings
Motion Piciures/Film
Electronic
Photographs
Forms
Access
Restrictions
Privacy Act
Confidential
Business
Information
Enforcement
Sensitive
Information
FOIA
Other
Series Title:
Series Description:
Dates of files: Scheduled? Yes No
EPA Series Number:
Page 42
Draft 4/21/94
-------
Tool 3-E
RECORD SERIES LIST
Office/Division:
Branch/Unit/Section :
Dratt 4/21/94
Page 43
-------
-------
Milestone 4:
Revising the Records
Control Schedules
WHAT
The EPA Records Control Schedules are
updated during Milestone 4. These
schedules describe and provide disposi-
tion instructions for each active and inactive record
and many non-record series held by EPA. Records
disposition instructions include information about
how long to keep records, where to keep records, and
when/if to destroy records. As offices reorganize and
programs begin or terminate, records series are
continually added and deleted from the schedules to
reflect current organizational responsibilities. Internal
policies and external agency regulations or laws may
also necessitate revisions to disposition instructions.
All recommended revisions to the EPA Records
Control Schedules must be submitted to the NRMP
Manger to begin the review process.
WHO
WHY
The EPA Records Control Schedules
should always be revised to reflect
current record values or uses. Since a
great deal of information on an office's record holdings
is collected during the Series Inventory, this is the most
appropriate time to revise the records control
schedules.
The Scheduling Lead, supported by the
scheduling team and sometimes by the
inventory team, ensures that appro-
priate revisions are made to the schedules and that
they are submitted for internal review and approval.
HOW
Milestone 4 is comprised of five key tasks
and one output. They are as follows:
Reviewing the Series Summaries
(page 47)
Preparing the Series for Scheduling
Team Review (page 48)
Selecting the Scheduling Team
(page 49)
Coordinating Scheduling Team
Reviews (page 50)
Submitting the Series to OIRM for
Review (page 51)
OUTPUT
Corrections and additions to the EPA
Records Control Schedules
Draft 4/21/94
Page 45
-------
Before you start...
Before beginning work under Milestone 4, the Scheduling Lead should:
3* Review Series Summaries
Review the Series Summaries developed under
Milestone 3 for an overview of the records and non-
records found in the office during the Series Inventory.
"3* Review Records Management
Terminology
The Scheduling Lead should understand records
management terminology well enough to communi-
cate with office staff, NRMP, and others involved with
the assessment process. Refer to glossaries provided
in NARA guidance for definitions of records
management terms.
ซr Review Office Mission and
Functions
The Scheduling Lead should know the office's mission
and functions to understand what information the
office values.
B3* Review Schedule Revision
Procedures
The Scheduling Lead should have a strong
understanding about how to review and revise records
schedules. Sources to review include:
Current EPA Records Controls Schedules
Records Control Schedule Submission
Format
SF115
Guidance for Completing SF115
EPA Technical Leaflet #2 - A Practical Guide
to Developing Records Disposition
Schedules
Additionally, the Scheduling Lead should contact the
NRMP Manager for information about scheduling
records.
*& Review Records Management
Baseline Assessment Plan
Review the Records Management Baseline Assess-
ment Plan for an overview of the records assessment
process within the office. The Scheduling Lead should
be familiar with the activities conducted under each
milestone and the assessment schedule.
See Tool 4-A on page 51 for the Milestone 4 Worksheet. This will help the Scheduling Lead successfully
complete all tasks under Milestone 4.
Page 46
Draft 4/21/94
-------
Reviewing the Series Summaries
Each Series Summary created during the Series
Inventory process should be reviewed by the
Scheduling Lead to facilitate the revision of EPA's
record schedules. Refer to the exhibit on this page for
an overview of the Series Summary review process.
Review for Duplicates and Fragments
Summaries should be reviewed for
duplicates and fragments. Duplicates are
copies of the same series found in more than
one location. Duplicates should be docu-
mented on one Series Summary listing each
location of the duplicates. A note should be
made in the Series Description section
indicating that the series is duplicated.
Fragments are different parts of the same
series found in several locations. A frag-
mented series should be documented on one
Series Summary listing each fragment's
location. Anote should be made in the Series
Description section indicating that the series
is fragmented. Combining duplicates and
fragments onto Series Summaries will
reduce the amount of paper the scheduling
team must review.
Series Summary
Review Process
Review for
Duplicates
and
Fragments
Review for Similarities
The Series Summaries should be reviewed
for content similarities. Those summaries
which describe similar types of records
should be grouped together (e.g., admin-
istrative, program, case, working, guidance,
personal, reading, etc.). It is easier to analyze
inventory findings when the summaries
have been organized according to the content
or use of the record series they are describing.
Grouping by content similarity will also guide the
scheduling process since one records schedule may
apply to several individual, but similar, series.
Determine if Record/Non-Record
The Scheduling Lead must determine whether series
identified as unscheduled, or "UNIQUE/ during the
Series Inventory are records or non-records. It is
possible that series originally believed to be records
are actually significant technical reference. It is
Contact
NRMP
important to be certain of the value of information, in
order to properly schedule it as a record. New
schedules do not need to be developed for non-
records. Refer to the Glossary for standard NARA
definitions of a record and non-record
Determine if Scheduled
Although the Series Summaries should
indicate valid schedule numbers for all
scheduled series identified during the
Walkthrough Inventory, these should be
reviewed to ensure accuracy. All remaining
Series Summaries without an EPA schedule
number will probably be unscheduled,
'UNIQUE' records. These should also be
reviewed again to verify that they are not
already scheduled. To determine if a
particular series is already scheduled, the
Scheduling Lead should review EPA's
schedules to see if any scheduled series
descriptions match the descriptions on the
Series Summaries. If a match is found, the
Lead should write the EPA series number and
title in the margin of the Series Summary. If a
match is not found, the Lead should ensure
that the word 'UNIQUE' is written in the
margin to indicate that the series may be
unscheduled. Usually, the administrative and
generic program records will already be
scheduled. Scheduled records account for 50
to 80 percent of records in most offices. Those
records identified as UNIQUE' will most
likely be program records.
The Scheduling Lead can quickly find matches
between the Series Summaries and EPA
records schedules by doing a full text search
of key words on an electronic version of the records
schedule. Contact the NRMP Manager for a
computerized version of EPA's records schedules and
for more information about how to do an on-line text
search.
Contact NRMP
When all Series Summaries have been reviewed, the
Scheduling Lead should contact the NRMP Manger
to discuss the results. The NRMP Manager will
provide advice on how to proceed from this point.
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Page 47
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Preparing the Series for
Scheduling Team Review
Using information collected during the interview and
inventory process, the Scheduling Lead should make
the initial decision about whether a scheduling action
should be recommended for each series. This decision
serves as the first review loop and will facilitate the
scheduling team's review process. To properly prepare
the series for scheduling team review, the Lead should
have a strong understanding of how office staff use
and value each series. The Lead should be equally
familiar with program requirements and know
whether there have been any changes to them that
may necessitate altering the retention of particular
records.
Recommending Scheduling Action for
Each Series
For each series, the Scheduling Lead must determine
whether:
It is scheduled and does not necessitate
revisions to EPA's schedules.
It is scheduled but will probably necessitate
revisions to EPA's schedules.
* It is not scheduled and should be added to
EPA's schedules.
Compiling Scheduling Action
Recommendations
The Scheduling Lead should separate the series into
three separate groups based upon the recommended
scheduling action. For series that are scheduled and
do not necessitate revisions to EPA's schedules, the
Lead should attach the individual Series Summaries
to copies of their corresponding EPA records schedule.
The team can review the Series Summary with its
corresponding schedule and confirm that no changes
need to be made to the schedule.
For series that are scheduled but will probably
necessitate some kind of change to the schedules, the
Lead should attach the individual Series Summaries
to copies of their corresponding EPA records schedule
and write the recommended changes on the schedule
copy. The team can review the Series Summary with
its corresponding schedule and recommended
changes and confirm or revise the changes that need
to be made.
For series that have not been scheduled and should
be added to EPA's schedules, the Lead should attach
a partially completed Records Control Schedule
Submission Format to the individual Series
Summaries. The Scheduling Lead will probably be
able to complete the series title, medium, restrictions,
and custodial data sections for each series. If the Lead
understands how the office uses or values the series,
a general description and disposition instructions can
be proposed. Contact the NRMP Manager for a copy
of "Guidance for Completing the Records Control
Schedules" and to discuss what additional informa-
tion is needed for unscheduled series.
See Tool 4-B on pages 52-53 for a copy of the
Records Control Schedule Submission Format.
Series Matrix
The Scheduling Lead may also want to create a
three-column matrix to summarize the recommended
scheduling actions. The matrix should include series
title and number, series description, and current
disposition instructions. For unscheduled series, the
series description and proposed disposition
instructions sections should be completed during the
schedule review process.
See Tool 4-C on page 54 for an example of a
Series Matrix.
Page 48
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"3
Selecting the Scheduling Team
The Scheduling Lead should select a team of staff to
review revisions to the records schedules. The team
should have the following characteristics:
Consist of three-to-ten people, depending on
the office size
Include managerial and nonmanagerial staff
Contain a mix of program, technical (GS 12
and above) and senior administrative staff
Involve different staff for each phase of the
review process
Involve staff who are significantly active in
creating and /or using records
Involve staff who have previously been
interviewed during the inventory
* Involve staff who have requested to
participate or have shown enthusiasm and
cooperation throughout the assessment
process
The Scheduling Lead should discuss potential team
members with the office contacts and Inventory Lead
and team since they have had extensive contact with
office staff. A finalized list of staff selected should be
submitted to office management for their review and
approval. Appropriate office communication vehicles
should be used to announce the selection of the
scheduling team.
Scheduling Team Training
The Scheduling Lead should provide training to the
scheduling team. Training should be brief and direct,
and address the needs of an audience with an
'intermediate' understanding of records management.
Training should include information and instructions
on how to review and revise records schedules.
Refer to the highlighted box on this page for a list of
recommended training topics.
Scheduling Team Training Topics
Description of the difference between
permanent and temporary records
Federal records center archival process
Discussion of how long records should be
kept
Discussion of how to review schedules
and series
Discussion of how to revise records
schedules
See Tool 4-D on page 55 for a sample
Scheduling Team Training Aid.
Draft 4/21/94
Page 49
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Coordinating Scheduling Team
Reviews
The Scheduling Lead must carefully schedule and
coordinate the team review process so that all series
are adequately reviewed and the activities are
completed within the established timeframe. Team
meetings to discuss proposed changes to the schedules
should be communicated early in the review process
to ensure participation by all team members. During
these meetings, team members will present their
corrections and additions to the records schedules to
the rest of the group. The group will then collectively
decide what action to recommend for each series.
If the scheduling team is large, the Scheduling Lead
may want to divide team members into several sub-
teams. For example, one group may consist of non-
management program staff, and another of manage-
ment level staff. The Lead can incorporate the results
of one sub-team's recommendations into a revised
draft schedule format for another sub-team to review.
Throughout the entire review process, the Scheduling
Lead should be in constant communication with the
NRMP Manager. The Scheduling Lead should always
contact the NRMP Manager if the team recommends
that a series be added to EPA's schedules. Since the
NRMP Manager always completes a SF115 for NARA
to request changes to EPA's records, schedule, he or
she will know what information must be collected in
these circumstances.
After all series have been reviewed, the individual
ultimately responsible for the records, such as a
program staff or branch chief, must approve the
corrected or new series description and disposition.
The program attorney should also review the
schedules to ensure that they comply with federal
regulations.
: * J v 71
;,;'<;;>* ^*\
; ^"v-\*> ;' ,- - :
Submitting the Series to OIRM
for Review
The Scheduling Lead should submit all revised and
new series to the NRMP Manager once they are
approved by responsible program staff. Revised
schedules can be submitted in either paper or
electronic format. OIRM will then forward the
schedules to the Inspector General and General
Counsel. The schedules will eventually be returned
to the responsible office as part of the formal review
process. Schedules receive final approval through the
EPA Green Border review, and by NARA. Final
approved schedules will be issued throughout EPA
as a directive.
Page 50
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MILESTONE 4 WORKSHEET
Too! 4-A
cฃL,
Reviewing the Series Summaries
Preparing the Series for Scheduling Team Review
Selecting the Scheduling Team
Coordinating Scheduling Team Reviews
Submitting the Series to OIRM for Review
:
Draft 4/21/94
Page 51
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Tool 4-B
RECORDS CONTROL SCHEDULE SUBMISSION FORMAT
DRAFT OF 2/27/91
RECORDS CONTROL SCHEDULE SUBMISSION FORMAT
SERIES TITLE:
GENERAL DESCRIPTION OF RECORDS:
MEDIUM (Circle all that apply):
Paper Microfilm
Publications Maps/Drawings
Sound Recordings Motion Pictures/File
RESTRICTIONS (Circle yes or no):
Privacy Act:
Confidential Business Information:
Enforcement Sensitive Information:
Other: (if yes, please describe)
Electronic
Photographs
Forms
YES
YES
YES
YES
NO
NO
NO
NO
LEGISLATION MANDATING THE CREATION OF THE RECORDS AND / OR
PROGRAM SUPPORTED:
PROGRAM OR PROGRAMS MAINTAINING THESE RECORDS:
RELATIONSHIP TO OTHER RECORDS:
Page 52
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Tool 4-B (continued)
RECORDS CONTROL SCHEDULE SUBMISSION FORMAT
DRAFT OF 2/27/91
CURRENT DISPOSITION AUTHORITY (if any):
PROPOSED DISPOSITION:
Final Disposition:
File Breaks:
Retirement to the FRC (Check one):
Retirement to the FRC is permitted
Retirement to the FRC is not permitted
APPLICATION GUIDANCE
CUSTODIAL INFORMATION
Program Contact:
Approximate volume on hand:
Approximate annual accumulation:
Location:
SUBMITTED BY (Name, Telephone, Office, and Mail Code):
THIS SECTION TO BE COMPLETED BY
NATIONAL PROGRAM OFFICE
PREVIOUS DISPOSITION AUTHORITY:
EPA ITEM CONTROL NUMBER:
REVIEWED BY: DATE
Draft 4/21/94
Page 53
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Tool 4-C
SERIES MATRIX
EXAMPLE
OFFICE OF ADMINISTRATION AND RESOURCES MANAGEMENT
OIRM
*;-'',EPA Series Tltlep^
^f PA Series Number}:
Description
' f'
' y f*f S
f 6t*f5f, f
Disposition
FOIA Files and Reports
031A
Records relating to the
Agency implementation
of the Freedom of
Information Act
Destroy in office when
two years old or sooner
if no longer needed for
administrative use
Title 2
Number XX
This is a general
description of the
series
This describes where
the series should be
housed, and for how
long
Title 3
unscheduled
This is a general
description of the
series
This describes where
the series should be
housed, and for how
long
Title 4
unscheduled
This is a general
description of the
series
This describes where
the series should be
housed, and for how
long
Titles
Number XX
This is a general
description of the
series
This describes where
the series should be
housed, and for how
long
Page 54
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Tool 4-D
SCHEDULING TEAM TRAINING AID
Temporary records...
Records that will be retained for a specified period of time, before they are destroyed. Temporary
records may be retained for example, from as short a time as two years, to a length of 75 years. These
records may be held in the Agency for a specified period of time before they are destroyed right in
the office. Temporary records may otherwise be transferred from the Agency to a federal records
center, where they are retained for a period of time before they are destroyed by the records center.
Permanent records...
Records that will be retained forever in the National Archives.
When to destroy records...
Records should be destroyed when they become obsolete and are no longer needed for any kind of
future business within an office.
When to keep records in the office...
Records should be kept in the office when they are actively used for current business in the office.
When to send records to a federal records center...
Records should be sent to a federal records center when they are no longer needed for current
business in the office, but may be needed in the future. Inactive records are moved to a records center
because they have decreased in use, or value and take up space that is needed for more active
records.
When to archive records...
Records should be archived when it is determined that the information they contain has permanent
value, and represents significant decisions and actions taken by the Agency.
NOTE:
After records are transferred to temporary or permanent storage, they can
easily be retrieved by the office when needed.
THEY ARE NOT GONE FOREVER!
Draft 4/21/94 Page 55
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Recognizing Opportunities
for Improvement
upon the way it manages records. Record
management improvements may increase an office'
workflow efficiency, paperwork organization, an<
management improvements may increase an office s
workflow efficiency, paperwork organization, and
space allocation.
Identifying Opportunities
To identify potential areas for improvement, review
the 'Office Goals' section of the Records Management
Baseline Assessment Flan. This section identifies and
prioritizes the goals the office hoped to accomplish as
a result of the assessment. It may highlight a records
management area upon which office management
hopes to improve. Another valuable source of
information are the individuals who participated in
the assessment process. This includes the Leads, team
members, office contacts, and inventory interviewees.
They may be able to identify specific ways in which
the office can improve its records management
practices.
Sample Opportunity Areas:
The following areas may present significant
opportunities for improvement in an office's records
management processes:
Office File Plans
Centralized File Areas
Technology and Equipment
Records Cleanup
Records Management Training
Suggestions for implementation and the benefits an
office may realize in these areas are discussed on the
following pages. For more information about any of
these areas, contact the NRMP Manager, Mike Miller
at (202) 260-5911, or Email: Miller.Michael.
Opportunity Area: Office File Plans
During the Series Inventory in Milestone 3, offices may
want to develop or revise file plans.
Suggestions for Implementation:
To develop a file plan, the office should develop a
standardized file coding system to organize its files.
Files can be organized by type, such as program or
administrative, and/or in chronological order.
Common file codes should be communicated
throughout the office. Logical codes use letters based
on an abbreviation corresponding to the subject of the
files and numbers from the EPA records control
schedules. Series numbers from the records control
schedules that match the content or documents found
within the file should be used to identify its contents.
For example, the code TOIA-034' could represent
FOIA Request/Response Records that are found
under EPA series number 034 in the records control
schedules.
For additional information on developing file systems,
refer to the following:
Emergency Response Division File
Guidance Manual, or other similar program
documents
Six Months to Better Files, Step 3:
Developing the Filing System - The File
Structure and File Plan
Model Regional Records Management
Operating Procedures Manual, Chapter III,
Section 2 - Records Classification/File Plans
Draft File Plan, EPA 1994
Benefits to the Office:
Developing or revising file plans will save office
personnel valuable time when trying to locate existing
files or store new files. Updated file plans will also
help conserve office resources during future records
assessment initiatives.
Draft 4/21/94
Page 57
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Opportunity Area: Centralized File Areas
'1 , ป ,vi X *>*ป..*',* ' " * , ' . l-t
"V
/'*,'
Offices may want to use information gained during
the assessment process to reallocate office space and
create a centralized file area.
Suggestions for Implementation
To create a central file area, the office should identify
a space in the office that is accessible to most office
personnel. This may require reallocating space
currently being used for other purposes. Files that
are used by many individuals in the office should be
housed in the central location. These files may
currently be individually maintained by various office
staff. Important office records should always be
placed in the centralized file area and assigned a file
custodian. The file custodian will be ultimately
responsible for maintaining the files and applying the
appropriate disposition instructions.
Benefits to the Office
Centralized file areas make files easier to manage and
help offices efficiently use limited space. Office
personnel can quickly access important files because
they are located in a convenient and consistent place
and are organized by a common file coding system.
File custodians help ensure that important records are
maintained in accordance with the instructions on the
EPA Records Control Schedules.
Opportunity;Area: Jechnblbgy& Equipment
Offices may want to use the records assessment
process as an opportunity to acquire or update certain
technology or equipment.
Suggestions for implementation
The records assessment will provide the office with a
good understanding of the volume and type of records
it maintains. An office may find that it could benefit
from implementing either an automated or manual
system to track the creation, maintenance, and
disposition of documents within the office. Some
technologies (e.g., CD ROM) are capable of storing
large amounts of data and may reduce the amount of
on-site storage space the office requires. The office
may also determine that it needs more equipment (e.g.,
file cabinets, bookshelves) to adequately store the files
it maintains.
Benefits to the Office
A new or updated computer system may increase an
office's efficiency by reducing paperwork and filing
activities, and may reduce the amount of storage space
an office requires. New office storage equipment may
help an office use its space more efficiently.
Page 58
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ea:, Records Cleanup
. ^..:
ป r
Offices may want to use the newly approved
disposition schedules to cleanup their records
holdings. A records cleanup is a federally recognized
activity that allows agencies to use approved records
control schedules to dispose of records and files by
either throwing them away or sending them to a
federal records center for long term storage.
Suggestions for Implementation:
To initiate a records cleanup initiative, office
management should aggressively communicate the
benefits of properly disposing of materials that have
limited use or have become obsolete. Records
disposition instructions should be clearly explained
so that personnel understand that records that are
transferred to temporary or permanent storage area
can be easily retrieved by the office if they are needed.
Office personnel should also be encouraged to
evaluate their personal materials and retain only those
items that are necessary for effective job performance.
Benefits to the Office
A successful records cleanup campaign should result
in a more organized and efficient office. Properly
disposing of obsolete or rarely used files makes
valuable office space available to store files that are
critical to the effective daily performance of the office.
pppotturilty Area: Records MahageiWenjTralnlng:
Offices may want to institute a training program to
maintain the positive momentum and general records
management awareness created by the recent records
assessment
Suggestions for Implementation
Records management training should address how
records should be created, used, maintained, and
disposed of. Training should be delivered to all levels
of program and administrative staff who are
significantly involved with the creation, maintenance,
use, or disposition of office records and information.
Benefits to the Office
An effective records management training program
will increase awareness within the office about how
to properly manage files and information. Trained
personnel will also help ensure that the office complies
with federal regulations and program requirements
related to records management.
Draft 4/21/94
Page 59
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Page 60
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Glossary
Administrative files: files relating to the budget,
personnel, supply, and similar functions common to
most federal agencies in carrying out their specific
program mission.
Case files: files that document a specific action, event,
person, place, project, or other matter.
Chronological/Reader flies: outgoing correspon-
dence arranged chronologically.
Correspondence files: letters, postcards, memo-
randums, notes, telecommunications, and any other
form of addressed, written communications that are
sent and received.
Custodian: individual or office that has control of
records, including both physical possession and legal
custody.
Disposition Instructions: directions for cutting off
records and carrying out their disposition in
compliance withNARA's regulations. Directions for
screening nonrecord materials and carrying out their
disposal when no longer needed by the agency.
Federal Records Center: a Federal Records Center
holds records when they are no longer needed for
current business in the office, but may be needed in
the future. Inactive records are moved to a records
center because they have decreased in use or value
and take up space that is needed for more active
records.
Guidance: files or documents that provide
instructions, or describe how to accomplish.
Inventory Lead: leads the Walkthrough Inventory
of Milestone 2 and Series Inventory of Milestone 3.
Nonrecord materials: U.S. Government-owned
informational materials excluded from the legal
definition of records or not meeting the requirements
of that definition. Include extra copies of documents
kept only for convenience of reference, stocks of
publications and of processed documents, and library
or museum materials intended solely for reference or
exhibits. Also called nonrecords.
Permanent records: records that will be retained
forever in the National Archives.
Personal papers: documentary materials belonging
to an individual that are not used to conduct agency
business. Related solely to an individual's own affairs
or used exclusively for that individual's convenience.
Must be dearly designated as such and kept separate
from the agency's records. Also called personal files
or personal records.
Planning Lead: leads the Records Management
Baseline Assessment Plan development process of
Milestone 1.
Program files: files documenting the unique,
substantive functions for which the Agency is
responsible; such as files documenting goals,
objectives or mission of a program.
Record/Official record: any final product related to
administration, management, enforcement, regulation
or other Agency function and all documentation
necessary to support that document, the decision trail
leading up to it and the actions that result from it.
Record Serles/serles/flle series: file groups or
documents that relate to a particular subject of
function, result from the same activity, document a
specific type of transaction, take a particular physical
form, or have some other relationship arising out of
their creation, receipt, maintenance or use.
Recordkeeplng requirements: statements in
statutes, regulations, or agency directives providing
general and specific guidance on particular records
to be created and maintained by an agency. Since each
agency is legally obligated to create and maintain
adequate and proper documentation of its
organization, functions, and activities, it needs to issue
recordkeeping requirements for all activities at all
levels and for all media, and to distinguish records
form nonrecord materials and personal papers.
Records creation: the first stage of the records life
cycle in which records are made (or received) by an
office.
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Page 61
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Records maintenance and t/serany action involving
the storage, retrieval, and handling of records kept in
offices by, or for, a Federal agency. This is the second
stage of the records life cycle.
Records Management Baseline Assessment Plan:
plan of the entire assessment process, includes the
following sections: Agency Goals, Office Goals,
Statement of Accomplishment, Milestone Process
Description, Milestone Personnel, Training
Opportunity Statement, Office Contacts, and
Milestone Schedule.
Records schedule: a document providing
mandatory instructions for what to do with records
(and nonrecord materials) no longer needed for
current Government business, with provision of
authority for the final disposition of recurring or
nonrecurring records. Also called records disposition
schedule, records control schedule, records retention
schedule, or schedule. Includes the SF115, the General
Records Schedules, and the agency records schedule,
which when completed becomes a comprehensive
records schedule that also contains agency disposition
instructions for nonrecord materials.
Reference files: nonrecord files or documents used
by individuals and offices that are interested, but not
acting on the subject matter.
Scheduling: the process of developing a document
that provides mandatory instructions for what to do
with records (and nonrecord materials) no longer
needed for current Government business.
Scheduling Lead: leads the scheduling review and
revision process of Milestone 4.
Series: file units or documents arranged according
to a filing system or kept together because they relate
to a particular subject or function, result from the same
activity, document a specific kind of transaction, take
a particular physical form, or have some other
relationship arising out of their creation, receipt, or
use, such as a restriction on access and use. Also called
a record series. Generally handled as a unit for
disposition purposes.
Temporary records: records that will be retained for
a specified period of time, before they are destroyed.
Temporary records may be retained for example, from
as short a time as two years, to a length of 75 years.
These records may be held in the Agency for a
specified period of time before that are destroyed right
in the office. Temporary records may otherwise by
transferred from the Agency to a federal records center,
where they are retained for a period of time before
they are destroyed by the records center.
Unscheduled records: records whose final
disposition has not been approved by NARA.
Working files: documents that do not fit the
definition of a record, such as rough notes,
calculations, or drafts assembled or created and used
to prepare or analyze other documents.
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