RECORDS MANAGEMENT
IN THE EPA
RECORDS MANAGEMENT
FUNDAMENTALS
d^
\
o NOVEMBER 30, 1988
AND
DECEMBER 1, 1988
4 OIRM - RECORDS MANAGEMENT V
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22OB88O11
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m
U. S. Environmental Protection Agenc
Environmental Science Center
701 Mapes Road
Ft. Meade, MD 20755-5350
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o
RECORDS MANAGEMENT
IN THE EPA
RECORDS MANAGEMENT
FUNDAMENTALS
U. S. Environmental Protection Agency
Environmental Science Center
g 701 Mapes Road NOVEMBER 30, 1988
Ft. Meade, MD 20755-5350 AND
\ r~.
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GOALS FOR
RECORDS MANAGEMENT
AVAILABILITY
INTEGRITY
OIRM - RECORDS MANAGEMENT
J-
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GOALS FOR THIS SEMINAR
v Introduce OIRM as a resource for getting
answers to records management questions
and help with local concerns
• Provide instructions for the proper handling
of EPA records
• Provide instructions for completing the main
forms required in records management
•f OIRM -RECORDS MANAGEMENT V
v. 1.0
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UNIQUE EPA REQUIREMENTS
• ENVIRONMENTAL LITIGATION REQUIRES
DOCUMENTS, NOT JUST DATA
• LONG ACTIVE LIFE
• SIGNIFICANT ANNUAL GROWTH
• ACCESS BY PUBLIC
f
OIRM - RECORDS MANAGEMENT
v. 1.0
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NARA'S DEFINITION OF A RECORD
Recorded information of continuing administrative, fiscal, legal,
historical, or informational value, including published materials,
papers, maps, photographs, microfilm, audiovisual,
machine-readable materials (ADP tapes/disks/optical disks)
or other documentary material, regardless of physical form
or characteristics, made or received by the agency that
evidences organization,, functions, policies, decisions,
procedures, operations, or other activities.
•f OIRM - RECORDS MANAGEMENT V
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OIRM GUIDANCE ON RECORDS
A record is any information, recorded on
any medium which may have enduring
value, be it for present operational or
future historical purposes.
4 OIRM - RECORDS MANAGEMENT J-
V. 1.2
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Administrative records,
e.g., personnel, travel
OFFICIAL
RECORDS
PERSONAL
PAPERS
Program records
e.g., Superfund site files,
state Implementation plans
OIRM - RECORDS MANAGEMENT
V1.1
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OFFICIAL RECORD
ANY FINAL PRODUCT RELATED TO
ADMINISTRATION, ENFORCEMENT OR REGULATION
AND ALL DOCUMENTATION THAT
SHOWS THE DECISION TRAIL
OIRM - RECORDS MANAGEMENT
V1.0
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NON-RECORDS
Informational materials excluded from the legal
definition of records.
Notable materials include: stocks of publications
and of processed documents, library materials and
working papers of fleeting value.
•j
OIRM - RECORDS MANAGEMENT
v. 1.0
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PERSONAL PAPERS
Personal papers are papers of a private or non-official
character which ordinarily pertain only to an individual's
affairs and will not affect the conduct of Agency business.
Examples:
Papers accumulated by an official before assuming office
Materials pertinent solely to an individual's private affairs
e.g., outside business pursuits or private political associations
Diaries, journals or other personal notes not prepared for
transacting government business
Convenience copies of official records kept for personal use
•f OIRM - RECORDS MANAGEMENT J-
V. 1.1
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RECORDS MANAGEMENT LIFE CYCLE
OIRM - RECORDS MANAGEMENT
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CREATION
OBJECTIVE: TO PROPERLY CLASSIFY AND FILE
RECORDS AT THE TIME OF CREATION
YOUR RESPONSIBILITY: TO FILE RECORDS ACCOR-
DING TO THEIR CLASSIFICATION
OIRM - RECORDS MANAGEMENT
J-
v. 1.1
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MAINTENANCE
OBJECTIVE: ASSURE THAT ALL NEEDED RECORDS
ARE AVAILABLE WHEN NEEDED
YOUR RESPONSIBILITY: TO KEEP RECORDS IN
WELL-ORGANIZED FILES AND TO KEEP TRACK
OF RECORDS WHEN THEY ARE NOT IN YOUR
FILES
4 OIRM - RECORDS MANAGEMENT ]-
v. 1.1
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HOUSE CLEANING
OBJECTIVE: TO REGULARLY ELIMINATE
OBSOLETE RECORDS THAT ARE NOT
THE OFFICIAL RECORDS
YOUR RESPONSIBILITY: TO MONITOR THE USAGE
OF THE FILES YOUR ARE MAINTAINING AND TO
THROW OUT THOSE WHICH ARE NO LONGER
NEEDED.
•f OIRM - RECORDS MANAGEMENT j-
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AGENCY 1.0. NUMBER (Official UK
LABOR SERVICES REQUEST only)
(NOTE: Your Admlnittretive Officer mutt tlgn thlt requett where Indicated before It can be procetted.)
NAME OF REQUESTOR
/FFICE
BUILDING ROOM NO. TELEPHONE NO. MAIL CODE
DATE
SERVICE REQUESTED
QPICK-UP [^DELIVERY Q
|~] OTHER (Specify):
MOVE (Attach relocation workiheet)
COMPLETE DESCRIPTION OF LABOR SERVICES TO BE ACCOMPLISHED
APPROVAL SIGNATURES
PROGRAM ADMINISTRATIVE OFFICER
PROPERTY MANAGEMENT
FUND CERTIFICATION FOR MOVES
APPROPRIATION CONTRO
/ certify that funds are available.
'"NO. ACCOUNT NUMBER °C?l?ASS DOLLAR AMOUNT
2526
SIGNATURE OF COMMITMENT CLERK
ACTION TAKEN
ACTION D
LABORERS DISPATCHED
LABORERS RETURNED
FOREMAN'S SIGNATURE
ATE TIME
ACTION DATE TIME
ARRIVED ON JOB
JOB COMPLETED
CUSTOMER'S SIGNATURE
EPA Hq Form 5100-2 (Rev. 12-80) PREVIOUS EDITION MAY BE USED
0. 8. OOVERHMEBI PBHTTIBO OmCE-198
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DISPOSITION
OBJECTIVE: TO DISPOSE OF OFFICIAL RECORDS
ACCORDING TO THE INSTRUCTIONS IN THE
APPROVED DISPOSITION SCHEDULES
YOUR RESPONSIBILITY: TO MONITOR ALL OFFICIAL
RECORDS IN YOUR OFFICE AND IDENTIFY THOSE
WHICH, ACCORDING TO THE DISPOSITION SCHED-
ULES, OUGHT TO BE RETIRED TO THE FRC OR
DESTROYED
•f
OIRM - RECORDS MANAGEMENT
v. 1.1
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Dcrnonc TDAMCKIITTAI AMI> ocfeurr Complete and send original and two copies of this form to the appropriate Federal Records Center for PAGE OF
KtUUKUa IKANdMII IAL ANU KtUtlM approval prior to shipment of records. See specific instructions on reverse. 1 PAGES
1. TO (Complete the addreu for thf appropriate record* etnter eerving your area)
Federal Archives and Records Center
General Services Administration
At thovm in ^^
FPUR 101-11.410-1 ^
2. AGENCY
TRANSFER
AUTHOR-
IZATION
3. AGENCY
CONTACT
4. RECORDS
CENTER
RECEIPT
TRANSFERRING AGENCY OFFICIAL (Signature and title)
DATE
TRANSFERRING AGENCY LIAISON OFFICIAL (None, office and telethon* No.)
RECORDS RECEIVED BY (Signature and title)
DATE
5. FROM (Enter the name and complete mailing addretit of the office retiring the record*. The tinned receipt
of thit form will be tent to thit addrett)
• •
Fold line
6.
RECORDS DATA
ACCESSION NUMBER
RG
(a)
FY
(6)
NUMBER
(e)
VOLUME
DISPOSAL
DATE
(i)
COMPLETED BY RECORDS CENTER
LOCATION
())
•
d5
5*
U)
££
st
in
da!
§-
ZO
(m)
135-106
Standard Form 135 (Rev. 6-76)
Prescribed by GSA
FPMR(41CFR) 101-11.4
-------
RECORDS MAXAGIHEKT
2160
7/13/84
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
CLASSIFIED/CONFIDENTIAL BUSINESS INFORMATION
MATERIAL RECEIPT
(SIGN AND RETURN TO ADDRESS BELOW — RETAIN DUPLICATE COPY)
EPA CONTROL NUMBER
DATE
ADDRESSEE:
RETURN TO:
DESCRIPTION (Avoid any identification which might necessitate classification of this receipt)
NUMBER OF fTEMS
I ACKNOWLEDGE RECEIPT OF MATERIAL DESCRIBED ABOVE
SIGNATURE
AGENCY
TITLE
DATE RECEIVED
EPA Form 1480-13 (Rev. 6-84)
Previous edition may be used until supply is exhausted
DISTRIBUTION: ORIGINAL Addnssee
SECOND Keeioient
THIKD Suspense File
Figure 3-6
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RECALL FROM FRC
OBJECTIVE: TO ASSIST THE LOCAL OFFICE WITH
OBTAINING RECORDS THAT WERE PREVIOUSLY
RETIRED TO THE FRC
YOUR RESPONSIBILITY: TO LOG SUCH REQUESTS,
COMPLETE FORM OF-11, MONITOR THE STATUS
OF THE REQUEST AND ENSURE RETURN TO FRC
4 OIRM - RECORDS MANAGEMENT ]•
v. 1.1
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REFERENCE REQUEST-FEDERAL RECORDS CENTERS
NOTE: Use a separate
form for each request.
SECTION 1— TO BE COMPLETED BY REQUESTING AGENCY
RECORD GROUP NO.
ACCESSION NO.
AGENCY BOX NUMBER
OF
RECORDS CENTER LOCATION NUMBER
DESCRIPTION OF RECORD(S) OR INFORMATION REQUESTED (Include file number and title.)
REMARKS
NATURE OF SERVICE
D FURNISH COPY OF ( — I PERMANENT I — 1 TEMPORARY I — I I — I OTHER
RECORDIS) ONLY 1 — 1 WITHDRAWAL 1 — 1 LOAN OF RECORD(S) 1 — 1 REVIEW . 1 — 1 (Specify/
NAME OF REQUESTER TELEPHONE NO. T~\ FTS DATE
NAME AND
ADDRESS
OF AGENCY
{Include «^L •
address . BHBIk
building EjE^^
foom no ^^^^t
Code/ r fln Washington. D.C. area also include STOP number 1
RECEIPT OF RECORDS
Requester please sign, date and return this form,
for file item(s) listed above. ONLY if the block to
right has been checked by the Records Center.
SIGNATURE
D
DATE
SECTION II-FOR USE BY RECORDS CENTER
| J RECORDS NOT IN CENTER CUSTODY L ' RECORDS DESTROYED
1 — 1 WRONG BOX NUMBER — PLEASE RECHECK
r— i ADDITIONAL INFORMATION REQUIRED TO IDENTIFY RECORDS
U REQUESTED
container(s) specified)
CH RECORDS PREVIOUSLY CHARGED OUT TO (Name . agency and
date):
REMARKS
DATE SERVICE TIME SEARCHER'S
DAIt SERVICE REQUIRED INITIALS
SECTION III—TO BE COMPLETED BY REQUESTING AGENCY
General Services Administration
Federal Records Center NARS
TO
(City)
(State)
(Zip Code/
NOTE: In Washington, D.C. area
send to STOP 386
5011—106
NSN 7540—00—682—6423
PREVIOUS EDITION USABLE
OPTIONAL FORM 11 (Rev. 9-79)
Prescribed by GSA. FPMR (41 CFR) 101-11O4
-------
DESTRUCTION
. OBJECTIVE: TO ASSURE THAT RECORDS WHICH
THE FRC HAS AND WHICH THEY WILL DESTROY
ACCORDING TO THE DISPOSITION SCHEDULE
ARE, INDEED, NO LONGER NEEDED
. YOUR RESPONSIBILITY: TO MAKE SURE THAT THE
FORMS 7015 RECEIVE PROPER ATTENTION AND
WITHIN THE TIME PERIOD PROVIDED FOR A
RESPONSE
4 OIRM - RECORDS MANAGEMENT V
v. 1.1
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NOTICE OF INTENT TO DESTROY RECORDS
DATE OF NOTICE
10/01/38
DISPOSAL DATE
193901
The records described in this notice appear eligible for disposal on the date shown. In
accordance with FPMR 101.11.410.8lb) they will be destroyed 90 days from the date of
this notice. You should annotate your SF 135 (all copies) to snow that the records have
been destroyed. No other action is required. If you do not concur in the scheduled
destruction of these records, you may request an extension of the retention period by
providing written justification (including a proposed new disposal date), within the
90 day period to the Director of the Federal records center indicated at the right.
REMARKS
LDCATION 14-33-52-6-2
RECORDS DESCRIPTION
ACCESSION NUMBER
412-7V-0073
DISPOSAL AUTHORITY
r.N28/C3/UBi
SUBGROUP
VOLUME
ICu. ft.)
SERIES DESCRIPTION
EMISSION CNTRL PROG
75-78
ADDRESS OF FEDERAL RECORDS CENTER
WASHINGTON NATIONAL RECORDS
CENTER
WASHINGTON, DC 21)409
NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
NA FORM 1301 (4.8S)
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ARCHIVING
OBJECTIVE: TO PROVIDE FOR THE TIMELY AND
PROPER TRANSFER OF RECORDS THAT HAVE
BEEN DETERMINED TO HAVE PERMANENT VALUE
YOUR RESPONSIBILITY: TO ASSIST THE LOCAL
RECORDS OFFICER, AS NECESSARY, WITH THE
PACKAGING AND CORRESPONDENCE THAT
ACCOMPANIES RECORDS BEING TRANSFERRED
TO THE NATIONAL ARCHIVES
•f OIRM - RECORDS MANAGEMENT j-
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SEVEN PHASES OF THE
RECORDS MANAGEMENT
LIFE CYCLE
CREATION
MAINTENANCE
HOUSE CLEANING
DISPOSITION
DESTRUCTION
ARCHIVING
RECALL
W/////////////////////A
OIRM - RECORDS MANAGEMENT
v. 1.1
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RECORDS MANAGEMENT
REFERENCES
ANNA BUTCH - Region 110 Records Officer - 597-78(54
TOM TASKER • Agency Records Management Officer - FTS 382-5911
HAROLD WEBSTER - HQ Records Management Staff - FTS 382-5912
SUZANNE ANNAND - HQ Records Management Staff - FTS 382-7820
OIRM - RECORDS MANAGEMENT
j-
V. 1.1
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POLICY/
OFFICIAL RECORDS
-------
&EPA
Classification No.
Approval Date:
88-1
9/12/88
Addressee
Safeguarding and Disposition of Official Record?
As we near the end of another Administration, I would like
to call attention to EPA policy relating to the disposition of
official Agency records, extra reference copies (non-record
material) and personal papers. EPA policies contained in the IRM
Policy Manual, Chapter 10, and the Records Management: Manual are
based on the provisions of 44 United States Code (U.S. Code),
Chapter 31, 36 Code of Federal Regulations, 1220, and 41 code of
Federal Regulations (CFR), 201-22.
All EPA employees should become familiar with the policies
in these manuals and the EPA Records Control Schedules to protect
official records in their areas from unauthorized removal and
premature destruction. EPA personnel should also be aware of
provisions in 18 U.S. Code 2071 which describe penalties for the
willful and unlawful destruction, removal from file and private
•use of official records.
Official records may be disposed of only in accordance with
the provisions of the EPA Records Control Schedules. The
Schedules contain authorized retention periods and instructions
for the disposition of official Agency records which have been
approved by the U.S. Archivist, National Archives and Records
Administration.
Originator
EPA Form 1315-11 (5-86)
Information Management and Services Division/Office of Information
Resources Management
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EPA ORDER 88-1
9/12/88
To ensure the safeguarding and disposition of official
records, employees should refer to Attachment A which describes
official records.- extra copies of documents preserved for
convenience and personal papers. Extra copies of documents are
commonly regarded as nonrecord materials. Although these
materials cannot be considered as personal papers, a Government
official may accumulate for convenience of reference extra copies
of papers and other materials which he or she has drafted,
reviewed or otherwise acted upon. Government officials may be
permitted to retain these extra copies, provided that retention
would not (1) diminish the official records of the Agency; (2)
violate confidentiality required by national security, privacy or
other interests provided by law; or (3) exceed normal
administrative economies.
Many Government officials maintain in their offices papers
pertaining to their personal affairs. Regulations contained in
36 CFR 1220.20 require that papers pertaining to an individual's
personal affairs be clearly designated as nonofficial. These
records must also be filed separately from the official records
of the Agency.
Questions relating to the safeguarding or disposition of
Agency records should be directed to your local Records
Management Officer or the Agency Records Management Officer
(382-5911) .
Attachment
Charles L. Grizzle
Assistant Administrator for
Administration and Resources
Management
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EPA NOTICE 88-1
9/12/88
Attachment A
Official Records
Official records are made or received in the conduct of Agency
business. They relate directly to the functions of an office and
they document those functions. They consist of recorded
information of continuing administrative, fiscal, legal,
historical or informational value, including published materials,
papers, maps, photographs, microfilm, audiovisual, optical disks,
electronic records (computer tapes, disks, floppy diskettes) or
other documentary material, regardless of physical form or
characteristics, made or received by the Agency that evidences
the organization, functions, policies, decisions, procedures,
operations or other activities of the Government.
Extra Reference COPV (Non-record Material)
Extra copies of documents maintained for convenience of reference
are commonly regarded as non-record materials and are disposable
without complying with the provisions of the EPA Records Control
Schedules.
Personal Papers
Personal papers are papers of a private or non-official character
which ordinarily pertain only to an individual's personal affairs
and will not affect the conduct of Agency business. Examples
include:
o Papers accumulated by an official before assuming office
o Materials pertaining solely to an individual's private
affairs, such as outside business pursuits or private
political associations
o Diaries, journals or other personal notes which are not
prepared for transacting Government business.
-------
DISPOSITION
-------
x-~->x
•m
REQUEST FOR RECORDS DISPOSITION AUTHORITY
(See Instructions on reverse)
T0: GENERAL SERVICES ADMINISTRATION
NATIONAL ARCHIVES AND |ECORDS SERVICE. WASHINGTON. DC 20408
1. FROM (Aitnty or «»taoiunm«nt> f
Environmental Protection Agency
2. MAJOR SUBDIVISION
(Agencyvide)
3. MINOR SUBDIVISION
4. NAME OF PERSON WITH WHOM TO CONFER 5. TELEPHONE EXT.
Harold Webster 382-5912
Thomas Tasker 332-5911
/Ifl^VOC*
f^
CTZ
LEAVE SLANK
JOB ^Oj
-4/7--3
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
TITLE OF SCHEDULE
-ilL
ICE
RECORDS
(.OVKMAGL OK SCHtUULL
ACKNCYW_IUE
ITCM
HO.
NA"E AND OISCRIPTION OP RECORD/PILE
RETENTION PERIOD AND DISPOSITION
Office Administrative Filea. Records accumulated by
individual offices that relate to the Internal
administration or housekeeping activities of the office
rather than the functions tor wnicn the otcice exists.
In general, these records relate to the off leu organi-
zation, atAtting, procedures and communications! the
expenditure of funds, Including budget papers, and
the use ot ottlce apace and utilities. They may
include copies of Internal activity and workload
reports (including work progress, statistical and
narrative reports which are prepared In the office
and torwarded to higher levels) and other materials
that do not serve as official documentation of the
programs ot the oft ice. Notes This schedule item
is not applicable to the record copies of organi-
zational charts, tunctlonal statements and related
records th.it document the essential organization,
stattlng and procedures of EPA.
Schedules of Dally Activities. Consist of calendars,
appointment books, schedules, logs, diaries and other
records documenting meetings, appointments, telephone
calls, trips, viMits and other activities of Federal
employees while serving In an official capacity.
Materials Determined to be "personal records" are
not covered by this item.
a. Records containing substantive Information
relating to the otticiai activities ot high level
officials, the srbstance of which has not been
incorporated into memoranda, reports, correspondence
or other records included in the official files.
(HidQ.-lflvet otticials include the Administrator,
Deputy Administrator, Assistant Administrators,
Associate Administrators, Regional Administrators,
Laboratory Directors, Office Directors, Staff
Directors and Stitf Assistant to the afore-
mentioned officials such as special assistants,
confidential assistants and administrative
assistants.)
Retention; See Disposition
Disposition; Destroy when 2 years old or
wnen no longer needed, whichever is sooner.
m
o
o
10
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z
>•
o
|
Retentloni See Disposition , _.„.
leaves office
Dispositloni Break file Whan official/1™1
otter records to the National Archives. If
the offer is not accepted, destroy the records
6 years after th e offer is rejected. *
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTHUL
I I 1 L t (Jl: S'JHI (Mil I
K MAMAC.I;MI:MT .
ovk IVAOL o^ v in 1'iu i
AC.KNCYWIUi:
NAME AND Ot SCRIP I ION OF RtCORO/FILC
lit IIMIION PI HIOO AND DISPOSITION
J.
h. Records ot. other than nigh level Federal employees
as defined in * a" above containing substantive infor-
mation 0'lJtlnc; to official activities, the substance
ot which has not been incorporated into official tiles.
c. Routine materials containing no substantive
intormation re'iarding the daily activities ot other
than high level officials as defined in "a" above
and records ot all Federal employees containing
substantive information, the substance of which
has been incorporated Into olticial files.
Privacy Act Requests Files. Files created in response
to requests tr'iin individuals to gain access to their
records or to <>ny Information in the records pertaining
to them, as provided for under S U.S.C. SS2a(d)(l).
Includes original request, copy of reply and all
related supporting documents, which may include a
copy of the records requested but does not contain the
otticial tile ot records requested.
a. Granting access to all the requested records.
b. Responding to requests tor nonexistent records,
to requesters who provide inadequate descriptions and
to those who tail to pay agency reproduction tees.
(1) Requests not appealed.
Requests appealed.
Retention; Retain 2 years.
Disposition! Break file at end of yojr. Keep
nn ottice tor I years, then destroy.
Retent ton; See Disposition.
Disposlt ton: Destroy when no longer nuodud.
Retention; Retain 2 years.
Disposition;
in of t ice for
Break tile at end ot year.
2 years, then destroy.
Keep
Retention! Retain 2 years.
Disposi tion:
in off ice for
Break tile at end ot year. Keep
2 years, then deutroy.
'Retention; See Disposition
Uisposition: Dispose of In accordance with
thu approved disposition instructions tor
roljted subject individual's record or J years
dtler tinal adjudication by courts, whichever
is I jter . . »..
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U.S. ENVIRONMENTAL PROTECTION AGtNtY-Httunua uunmUL „„....
I I I I.I. U« SCHL Olll L
•L MANAGKMLNT RiCUKDS
OVl KAl.l. 1)1 M III Illll I
AGKNCYWIDK
NAME ANO OC SCRIP T ION Of HICOHU/FILE
11 N I ION PE RIOO A NU OISPOM 1 ION
4.
c. Denying access to a^l 1 or part of the records
requested.
(1) Requests not appealed.
(2) Requor,ta appealed.
Privacy Act Amendment Case Files. Includes records
relating to an 'Individual'srequest to amend a record
pertaining to that individual as provided for under
•> U.S.C. 552a(1)(2), to the individual's request for
a review ot t>-.» Agency's refusal ot the individual's
request to amc'id a record as provided for under 5Sl>roven disposition instructions lor related
subject individual's record or 1 years after
tinal adjudication by courts, whichever is
later.
o
o
o
*
c-
rr
*
Retent ioni See Disposition
Disposit ion; Dispose of In accordance with
the approved disposition instructions tor the
related subject individual's record or 4
years alter agreement to amend, whichever is
later.
Retention; See Disposition
Disposition; Dispose of In accordance with
the approved disposition instructions tor the
related subject individual's record, 4 years
atter final determin.it ion or J years atter
tinjl adjudication by courts, whichever is
later.
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U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL
I ll LI'. Of SOU UUl-t
OrTICE MANAGKMKNT HKCOHDS
O.VI.HA(,I. O* '»' "I IMU.t
AC.KNCYWIDK
M*Mf AND OCiCHIPTION Or RtCORO/FILC
ML I I M flON PI RlOO »NO IIISPOSI f ION
7.
Privacy Act Account ing of Disclosure Files. Files
maintained under the provisions of 5 U.S.C. SSJ!a(2)
tor an accurate account In.j of the date, nature and
purpose ot each disclosure ot a record to any person
or to another agency> including forms for showing
tho subjiict indi v lOual's namo, rw'juostor's namu and
address, purpose ond dato of disclosure and proof
ot subject individual's consent when applicable.
Privacy Act Control Files. Includes records
maintained tor control purposes in responding to
requests, including Ions, registers and similar
records listing d/ite, nature of roiuust and
njme and address of requestor. ,
a• tog, Register or Listings.
b. Other Files.
Freedom of Information Act (FOIA) Request File.
Includes copies of incoming requests for information
under the Freedon of In) orm.it ion Act, copies of the
replies and copitn of any int ra-a-jency memoranda
concerning tho request. Files contain correspondence
and supporting document hut does not include copy of
tins document requested.
^ • • i . '
Rctent ion; See Disposition
Disposi t ion; Dispose of in accordance with
tuo .i|i|»nveii disposition instructions tor the
related subject individual's records or 5
yu.tr* attor lite disclosure tor which the
accountability was made, whichever is later.
Retention! Ketaln S years.
Dispos it ion; Break tiles at end ot y
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROl
SCHEDULES
'I'LL Of M.Hl Old I
t: MANAGEMENT KK''OHI)S
HOME. AND OC&CRIPTION or Rf CORD/FILE
I OVl KA< .1 Ol V
AC.KNCYWIDK
Ml ILNIION PI HlOO AND OISPOSM IOM
8.
a. Granting access to all the requested records.
to. Responding to requests tor nonoxistent records;
to requestors wlio provide inadequate descriptions and
to those who tail to pay agency reproduction fees.
(1) Request not appealed.
Reque.it appealed.
Other Copies.
I-'OIA Control files. Includes logbooks and other records
usid fur conti')! purposes which show the receipt 'Lite,
•late of reply, ottic« ot referral, payment, receipt,
nuture and pu-|iosu of request, name and address of
requestor ami oilier processing information concerning
f-'OlA requests.
a .""Tog Books, registers or listing.
h. Other Ft l.?s.
Retention; Retain 2 years.
Disposition; Break file at end of year. Keep
in olfice tor 2 ye.irs, then destroy.
Retentioni Retain 2 years.
Pisposit ion; Break tile at end of year.
in office for 2 years, then'destroy.
Hetention: See Disposition
Keep
Disposition; Destroy 4 years after final deter-
mination by agency or 3 years after final
adjudication by courts, whichever is later.
(See Appendix C, Schedule 4, Item 4).
Retention; Retain 1 year.
Pisposition; Break file at end of year. Keep
in ottice tor 1 ye.ir, then destroy.
o
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rr
C
f
r
Retention; Retain 5 years.
Disposit ion; Break tile at end of year.
in office for 5 years, then destroy.
Retent ion; See Disposition
Keep
Disposit ion; Destroy 5 years after final action
or ,itti-r t inal-Adjudication by courts, whichever
is later. •
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL CHEDULES
I IT l.t OF SCtll IIIILI
OKKICK MANMJKMKNT RECORDS
9.
10
11
13
14
NAME AND DtSCNIPtlON Of BtCOHO/HLE
Reading or Chron Klles.
all *
Includes unofficial copies of
cor res^onaciii.'.1 Jiul iiiffiiiui nnda prepare'* >»y *n at t tea, .
tiled chronologic-lily and Kept lor convenient ottice
reference. (Reference copies only.)
Travel Expense Files. Includes reference copies of travel
^records usiid to account for employees while on travel
travel tun.Is authorized. Records consist ol travel
authorization record, travel advance applications,
transportation requests, travel voucher copies,
reimbursement claim, copies, copies ol hotel, meal,
and other expense receipts and related correspondence.
(Koference copies only.)
Personnel Reference Files. Includes reference copies ot
ma int ainied at thn supervisory level.
iiu.ilifio
s ruonai
statements, position descriptions, personnel action
forms, performance evaluations, ami other related records
(Reference copies only.)
Employee Training Files. Includes reference copies of
employee training records,, maintained at the supervisory
-1 *' u..?.,.^. t ion forms, requests lor .lup 1 i cat i mj or
and
building/labor services, machine requests,
othor related records. (Reference copies only.)
Office Equipment Service Contracts File. Includes
I iff i.'l BULB I'optrn ofc ourMimt—aijiroeumnts -tot.-Office
equipment, maintenance, or other cont r^ct'ira I agreements
lor oMice services. (Reference copies only.)
(jVl I'AI .1 Ol J> I't
AC.KNCYMIDK
H( I I NT ION PCHIOO A NO DISPOSITION
Retent ion; Retain current plus 1 year
Uisposition; : Keep in ottice current plus
additional year, then destroy.
Retention; retain 2 years.
ot tice tor 2
ak tile each year. Keep in
years, then
Relent ion:
nation of em
loyment.
Oisposition? Keep in office until S^P-ir^r inn
or lei mi natron ot employment, then destroy.
Retent ion:
Retain current plus 1 year.
o
aj
o
o
n\
m
T.
Disposition^ Keep in office current plus 1
additional year,- then destroy* - •-
Retention:
Retain current plus 1 year.
Additional year, then destroy.
in nfflca current plus 1
Retention:
151 sjib's i 18or
or superset
Retain until obsoluto or superseded.
in errf i*jii until 'ii^4/
ed by new agreement, then destroy.
-------
US. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
1 I I I.I O' SCt'l (ll'l.f
UKKICE HANAGEHENT RtCURDS
NAMC AND OF SC
T ION OF RCCOHO/HLC
Ht TCNttOM PCWIOO AMD UlSPOSItlON
EPA Directives. Includes copies ot all issuances ot the
nil i. Ill u liiiLiI i3n oyoUon-r. •——' hv »r"»lr-'>t-in" noraonnel as
Retention: Retain until obsolete or superseded.
16
a reference to Agency policies and procedures. Includes
all orders, manuals, notices, and other official issuances.
(Reference copies only.)
Timekeeper's R-cords. Includes records maintained by time-
superviBory level to account.tor employees'
time for pay JT-VM iiTinT [Mil |i i inn• Barnrrta gonatst of copies
ot Time and Attendance Reports and copies or al
report forms, Including logs used to make original «*ntrii;s
ot hours worked and leave expended. (Reference copies only.
17
tor Employment -- Persons Not Hired.
personal qua I'. I ilcJ
Includes
Lew records, and
other t«cords used In recruitment and selection
considered tor employment. (Retcrence copies only.)
Disposition: Keep ctltTgnC' Tn ofTrcn u'nt 11
obsolete or superseded, then destory.
Retention! Retain current plus 1 additional
year.
u Keep in office current plus 1
ailili t iond I year,
Retention! Retain 2 years.
.Keep In office foe 2 years, then
ilcvstroy pnvidinij fi I I ltJpTTfT""^^lrtTrT*i ^ irppfir"
tunity requirements have been met.
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHED.NO
TITLE OF SCHEDULE
REGIONAL ADMINISTRATOR AND STAFF OFFICES
ITEM
NO
NAME AND DESCRIPTION OF RECORD/FILE
COVCRAGF. OP SCMEOLILK
REGIONAL OFFICES
RETENTION PERIOD AND DISPOSITION
1.
3.
4.
Regional Administrator's Program Development File, contains
information related to the development of Regional environ-
mental programs and policies. Records consist of reports
on Regional environmental projects, surveys, special
studies, position papers, legislation, enforcement actions,
and other program documents related to water, air,
pesticide, toxic, and hazardous materials, enforcement,
and environmental services programs. Records used by
Regional Administrator in policy evaluation and program
planning.
Regional Administrator's Correspondence File. Contains
copies of all program documents that the Regional Adminis-
trator is required to sign and approve. File arranged by
program division, then chronologically. Also includes
copies of correspondence originated by the Regional
Administrator himself.
Regional Administrator and Deputy Administrator's Program
Management File. Contains information used in the internal
administration and management of the Regional environmental
programs. Records consist of internal budget documents,
personnel planning records, program reports and statistics,
delegations of authority, and other related records.
Continuing Environmental Program Support Agreements Adminis-
tered by Regional Offices.
Regional Offices.
Agreements administered by
Public Affairs News Releases File. Contains copies of all
news releases from the Regional Office.
Retention; Permanent.
Disposition; Break file at end of year. Keep in
office for 3 years, then transfer to the FRC.
Keep in FRC for 10 years, then offer to the
Regional Archives.'
Retention; Retain 5 years.
Disposition; Break file at end of each year.
Keep in office current plus 1 additional year,
then transfer to the FRC. Destroy when 5 years
old.
Retention; Retain 10 years.
Disposition; Break file at end of year. Keep
in office 2 years, then transfer to the FRC.
Destroy when 10 years old.
Retention; Retain 4 years.
Disposition; Break file immediately after close-
out of the agreements, then transfer to the FRC.
Destroy when 4 years old.
Retention; Permanent.
Disposition; Break file at end of each year.
Keep in office 3 years, then transfer to the
FRC. Keep in FRC for 10 years, then offer to
the Regional Archives.
8
m
EPA Form 1340-7 (2-88)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHED.NO
TITLE OF SCHEDULE
REGIONAL ADMINISTRATOR AND STAFF OFFICES
COVERAGE OH SCHEDULE
REGIONAL OFFICES
ITEM
NO
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
6.
7.
8.
9.
Public Affairs Program Reference File. Contains records
used in the public information activities of the Regional
Office. Records consist of biographical information on
EPA officials, documents on program activities sent from
the program divisions, reports on major program and policy
developments, and other records used in formulating news
releases.
Congressional Inquiries File. Contains copies of congres-
sional correspondence received and referred to the program
offices for reply. Includes copies of response.
Regional Program Planning File. Contains records used in
organizational planning and management studies and surveys
related to the Regional Office. Records consist of manage-
ment surveys, organizational and functional statements,
program planning monthly and quarterly status reports,
resources management surveys and reports, and other
related records.
Environmental Impact Statement Preparation File. Contains
0.
information related to the in-house preparation of environ-
mental impact statements by the Regional Office staff.
Also, includes those statements prepared by consultants
for EPA. Records consist of manuscript drafts of state-
ments, notices of intent, correspondence with citizens
groups, news clips, comments on the draft made by all
interested parties, transmittal letters, manuscript for
final statement, and comments on final statement. May
also include copies of environmental assessments, special
studies, and other supplementary material created in the
course of statement preparation.
Environmental Impact Statement Coordination File.
Contains documents used in review and coordination of
Regional office comments on projects that may impact on
the environment. Project categories include transpor-
tation, urban renewal, water resources, energy develop-
ment, and Federal land use plans. Includes copies of
printed draft statement and printed final and correspon-
dence. May also include news clips or other materials
relating to the environmental impact statement.
Retention; Retain 3 years.
Disposition; Break file at end of each year.
Keep in office 3 years, then destroy.
Retention; Retain 5 years.
Disposition; Break file at end of Congressional
session. Keep in office 1 year, then transfer
to the FRC. Destroy when 5 years old.
Retention; Retain 3 years.
Disposition; Break file at end of each year.
Keep in office 3 years, then destroy.
Retention; Permanent.
Disposition; Break file upon preparation of final
statement and record of decision. Keep in office
4 years, then transfer to the FRC. Keep in FRC
for 10 years, then offer to the Regional Archives.
30
IT)
n
3
o
Retention; permanent.
Disposition; Break file upon preparation of
final statement. Keep in office 5 years or
until completion of project, whichever is
earlier, then transfer to the FRC. Keep in
FRC for 20 years, then offer to the Regional
Archives.
EPA Form 1340-7 (2-86)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHEO.NO
T ITLE OF SCHEDULE
REGIONAL ADMINISTRATOR AND STAFF OFFICES
COVFRAGE OF SCHEDULE
REGIONAL OFFICES
T6M
NO.
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
11.
12.
13.
14.
15.
Section X/404 Public Notices File. Contains information
concerning the potential environmental impact of proposed
projects. Projects involve disposal of fill material or
dredged material into the waters of the U.S. as well as
dredging and structure done in water declared navigable by
Corps of Engineers. Records consist of a copy of Notice, a
description of the project plans, EPA evaluation on the
environmental impact of the proposed project, and EPA com-
ments, recommendation, or denial of the project.
Federal Facilities Monitoring File. Contains information
used to monitor the environmental controls in use at in-
stallations and facilities operated by the Federal Govern-
ment, including military installations. Monitoring in-
cludes both air and water program areas. Records consist
of correspondence with the facilities, survey reports
showing inventory of pollution control equipment in use
at the facilities, nature and location of pollution
discharge, and other factors.
Federal Facilities NPDES Permit Working File. Contains
information used in granting permits to Federal facilities
permitting them to discharge pollutants into the water.
Permits issued under the National Pollution Discharge
Elimination System (NPDES). Records consist of permit
application, correspondence with Corps of Engineers
and applicant, copy of public notice, summary report and
permit copy.
Freedom of Information Response File. Includes copies of
incoming requests for information under the Freedom of
Information Act, copies of replies, and copies of any
interagency memoranda concerning the request. Note: This
file does not contain the Program's official record of
information being requested.
Speeches by Regional Administrator, Deputy Regional
Administrator, or Staff, speeches prepared for delivery
at civic functions and professional conferences and
meetings.
Retention; Retain 5 years.
Disposition; Break file upon completion of review
and comments. Keep in office for 5 years, then
destroy.
Retention; Retain 5 years.
Disposition; Break file each year,
office 5 years, then destroy.
Keep in
Retention; Destroy upon expiration and re- .
issuance of permit.
Disposition; Break file upon issuance of permit,
Keep in office until expiration of permit, then
destroy.
Retention; Retain 2 years.
Disposition; Break file at end of year. Keep in
office current plus 1 additional year. Destroy
when 2 years old.
Retention;
a. Record Copy. Permanent.
b. Information Copies. Retain 1 year.
m
n
S
1340-7 (2-88).
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHED.NO
T ITLE OP SCHEDULE
REGIONAL ADMINISTRATOR AND STAFF OFFICES
COVERAGE OF SCHEDULE
REGIONAL OFFICES
ITEM
NO.
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
Disposition:
a. Record Copy. Break file after presentation.
Keep in office 5 years, then transfer to the FRC.
Keep in FRC for 5 years, then offer to the
National Archives when 10 years old.
b. Information Copies. Destroy when 1 year old
or sooner if no longer needed.
m
S
I
i
EPA Form 1340-7 (2-88)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHED.NO
TITLE OF SCHEDULE
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
COVERAGE OF SCHEDULE:
REGIONAL OFFICES
ITEM
NO.
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
1.
State Implementation Plans File. Pecord copies of plans
developed by each Stake for the attainment and maintenance
of national ambient air quality standards, as required by
Section 110 of the Clean Air Act, as amended. Plans
approved by Regional offices. Records consist of plan
and amendments, public and industry comments, public
hearing documents, compliance schedules, status reports,
transportation control documents, Section 307 lawsuit
documents, contracts, program reports, and other related
records.
Continuing Environmental Program Support Agreements.
Agreements administered by Regional Offices.
• PAPER RECORD SYSTEM
Retention; Permanent.
Disposition; Break file as plans are revised or
superseded. Keep in office 1 year, then transfer
to the FRC. Keep in FRC 20 years, then offer to
the Regional Archives.
MICROGRAPHIC RFCORD SYSTEM
Retention;
a. Paper Records. Retain until conversion to
microform has been completed.
b. Microform Copy (Official Record Copy).
Permanent.
Disposit ion;
a. Paper Records. Keep in office until conver-
sion to microform has been completed and micro-
form is verified for completeness, then destroy.
b. Microform Copy (Offlcilal Record Copy).
Offer to NARA when 20 years old silver halide
microfilm plus one silvern diazo, or vesicular
duplicate. Transfer certified microfilm in
cubic foot blocks to FRC pending offer to NARA.
n
o
TO
o
vt
f.
O
Destroy when no
c. Other Microform Copleii.
longer needed.
PAPER RECORD SYSTEM
Retention; Retain 4 year».
Disposition; Break file (Immediately after
closeout of the agreement,, then transfer to
the FRC. Destroy when 4 years old.
EPA Form 1340-7 (2-88)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHED.NO
TITLE OF SCHEDULE
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
COVEI'AGI. Ol SCMFDULE
REGIONAL OFFICES
ITEM
NO
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
3.
Environmental Impact Statement Review and Comment File.
Contains information related to the potential impact of
proposed projects on the environment. Used by all air
and hazardous materials programs to prepare EPA comments
on the projects. Records consist of manuscript work
papers used as input to printed draft and final
statement, and other related records.
Air Quality Modeling Printouts. Printouts showing ambient
air quality data collected at air pollution monitoring
stations. Used as planning models to determine necessary
changes in State Implementation Plans or air quality
regulations.
MICROGPAPHIC RECORD SYSTEM
Retention;
a. Paper Records. Retain until convers-ion to
microform has been completed.
b. Microform Copy (Official Record Copy).
RetaTn3years.
Disposit iont
a. Paper Records. Keep in office until
conversion to microform has been completed
and microform is verified for completeness,
then destroy.
b. Microform Copy (Official Record Copy).
BreaEfile immediately after closeout of the
agreement, then transfer to the FRC. Destroy
when 4 years old.
c. Other Microform Copies.
longer needed.
Retent ion; Petain 5 years.
Destroy when no
n
s
o
>•
z
o
rn
m
Z
Disposition; Break file upon preparation of
final statement. Keep in office 1 year, then
transfer to FRC. Destroy when 5 years old.
Retention; Retain 5 years.
Disposition; Break file upon completion of
modeling study. Keep in office 5 years, then
destroy.
tPA Form 1340-7 (2-88|
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHED.NO
TITLE OF SCHEDULE
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
COVCRAGt. OF SCHEDULE
RF.r.inNAr. OFFICES
ITEM
NO.
NAME AND DESCRIPTION OP RECORD/FILE
RETENTION PERIOD AND DISPOSITION
5.
8.
9.
Safety Analysis Reports. Consist of nuclear plant
construction and process design reports received from
NRC and DOE and reviewed and approved by EPA. Reports
consist of preliminary or initial report, changes to
report,.and final report.
Technical Program Reference File. Contains information
on nuclear facilities and regulations. Used for
reference. Records consis.t of printed technical docu-
ments, work papers, and other reference materials
concerning nuclear power plants and facilities.
Pesticide Producing Establishments Registration File.
Contains records used to register companies that manu-
facture pesticides, as required by Section 7 of the
Federal Insecticide, Fungicide, and Rodenticide Act, as
amended. Records consist of applications for registra-
tion, reports submitted by pesticide producing establish-
ments, certified mail receipts, and related correspondence.
Pesticide Producing Establishments Printouts. Computer
printout reports showing pesticide establishments data
transferred from producers annual reports. Reports show
data concerning the kind and amount of pesticides being
manufactured by the establishments.
Pesticides Compliance File. Contains information used
to determine compliance of pesticide products with
regulations. Records consist of collection reports
submitted from field inspectors, notice of inspection,
receipt for sample, report of analysis, copy of sample
label, copy of accepted label, history of official
sample, and acceptance letters.
Retention;
a. Initial Report and Changes. Retain until
receipt of final report.
b. Final Report. See Disposition below.
Disposition;
a. Initial Report and Changes. Destroy upon
receipt offinalreport.
b. Final Report. Keep in office until super-
seded"^then destroy.
Retention; As below.
Disposition; Review in office every 2 years,
retaining files with continuing reference value
and disposing of other materials.
Retention; Retain 10 years.
Disposition; Break file upon termination of
registration. Keep in office for 3 years, then
transfer to the FRC. Destroy when 10 years old.
Retention; Retain 1 year.
Disposition; Keep in office 1 year after super-
seded by annual update, then destroy.
Retention; Retain 5 years.
Disposition; Break file at end of year. Keep
In office 1 year, then transfer to the FRC.
Destroy when 5 years old.
EPA Form 1340-7(2-88)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHEO.NO
I ITLE OF SCHEDULE
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
COvri'AGU O( SCHEDULE
REGIONAL OFFICES
ITEM
NO
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
10
11.
12.
13
14J
15
Pesticides Investigation Case File. Contains information
concerning the alleged misuse or accidental uses of pesti-
cides. Incidents of accident and misuse are investigated
by pesticides staff and referred to legal staff for legal
action if necessary. Records consist of pesticide accident
report or report of investigation, gross analytical diag-
nosis, hospital report and supporting papers, correspon-
dence, and other related records.
Pesticide Chemicals Reference File. Contains information
concerning the chemical properties and composition of
pesticide products. Used for reference. Includes techni-
cal data on the pesticides, testing methods, and other
related materials.
Pesticides State Agency Reference File. Contains informa-
tion concerning pesticides programs operated by State
agencies,, universities, agricultural extension services,
and other agencies. Records consist of correspondence,
copies of legislation, annual reports, technical docu-
ments, and other related records.
Transportation Control Plans Working File. Contains infor-
mation used in developing plans to achieve national ambient
air guality standards through a reduction of vehicle miles
of travel. Transportation Control Plans are incorporated
in the State Implementation Plans. Records consist of
systems planning information, work programs, studies,
employer incentive plans, strategy papers, copies of
emission standards, and other related records.
Section 109(j) Consistency Reports File.
reports used in determining the
Includes annual
consistency of long-range
transportation plans with State Implementation Plans, as
required by Section 109(j) of the Federal Aid Highway Act.
Records consist of consistency reports, correspondence,
staff comments, and revised reports.
Energy Coordination Program Reference File. Contains
information relative to the development and implementation
of Federal energy legislation and programs. Records
consist of copies of legislation, fuel availability data,
news articles, correspondence, technical documents, and
other related records.
Retention; Retain 5 years.
Disposition; Break file upon closing of case.
Keep in office 1 year, then transfer to the FPC.
Destroy when 5 years old.
Retention; As below.
Disposition; Review in office every 2 years,
retaining files with continuing reference value
and disposing of other materials.
Retent ion; Retain 5 years.
Disposition; Break file at end of year. Keep
in office 5 years, then destroy.
Retention; Retain 7 years.
Disposition; Break file upon completion of
plans.Keep in office 3 years, then transfer
to the FRC. Destroy when 7 years old.
Retention; Retain 10 years.
Disposition: Break file upon completion of
review and comments. Keep in office 5 years,
then transfer to the FRC. Destroy when 10
years old.
Retention; Retain 10 years.
Disposition; Break file every 5 years. Keep
in office 5 years, then transfer to the FRC.
Destroy when 10 years old.
a
m
CPA Form 134D-7 (2-88)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
1CHCD.NO
TITLE OP SCHEDULE
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
C.OVI IJACf; Of- SCHRIHlLt"
REGIONAL OFFICES
I TEM
NO.
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
16.
17.
IB.
19.
Special Studies File. Documents relating to the develop-
ment of special studies for all air and hazardous materials
programs. Includes studies and surveys done in-house as
well as those done on contract. Records consist of
contractor and grantee proposals, procurement reauests,
task orders, bid evaluation, award notices, payment
records, progress reports, and project work papers.
Final Reports Resulting from Special Studies. Includes
printed final reports of special studies and surveys for
all air and hazardous materials programs.
Program Management Files. Contains records pertaining
to policy and program development of all air, pesticide
and toxic, and hazardous materials programs. Records
consist of correspondence and reports relative to policy
and programs, interagency activity, research, manpower
planning, and other related materials.
State Hazardous Waste Program File. Includes records
that document a State operated hazardous waste program.
Records consist of application requests to operate the
State program in lieu of the Federal program (background
and supporting documentation), review and evaluation of
State application, authorization to State, evaluation
and oversight of State program and related correspondence
between EPA and the State, cooperative arrangement between
State and EPA where authorization has not been given to
a State, monitoring of grant expenditures by State,
guidance to State on Federal financial requirements, and
advice to State to add or delete a hazardous waste from
the list of hazardous wastes.
Retention; Retain 7 years.
Disposition; Break file upon completion of
study. Keep in office 1 year, then transfer to
the FRC. Destroy when 7 years old.
Retention;
a. Record Copy. Permanent.
b. Information Copies,. Retain 2 years.
Disposition;
a. Record Co
'F>y.
Tn
r__ Break file upon completion of
n office 1 year, then transfer to
the FRC for 20 years, then offer to the Regional
Archives.
b. Information Copies.. Destroy when 2 years
old or sooner if no longer needed for reference.
Retention; Retain 10 years.
Disposition; Break file at end of 2 years.
Keep in office 2 years, then transfer to the
FRC. Destroy when 10 years old.
Retention; Retain S years.
r
Disposition; Break file when program is dis-
continued.Keep in office 1 year, then transfer
to the FRC. Destroy when 5 years old.
m
n
S
o
o
m
m
tPA Form 1340-7 (2-00)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHEU.NC
H LE OF SCHEDULE
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
(.OVtPAGt; Ol SCHEDULE
REGIONAL OFFICES
ITEM
NO.
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
20.
21.
22
23
Hazardous Waste Technical Material. Contains technical
material relating to hazardous wastes, standards for
generators, transporters, and owners/operators of treat-
ment, storage, and disposal facilities, which are used
in technical evaluations. Records consist of technical
reference publications, manuals, and other technical
materials.
RCRA Training Material. Contains records used by Regional
personnel to conduct training programs for State personnel,
Records consist of instructional materials, participant
rosters, manuals, and other training aids and materials.
State Solid Waste Management Plans. Includes records
that document a State Solid Waste Management Plan for
closing existing or upgrading open dumps. Records
consist of a copy of the proposed State Solid Waste
Management Plan, review and evaluation of plan, corres-
pondence between the State and EPA, public notice
announcing receipt of plan, public comments, public
notice announcing approval of plan, copy of approved
plan, and other related records.
Hazardous Site File.
a. Contains documentation of policy and decision made
by Headquarters and Regional personnel concerning the
cleanup of uncontrolled hazardous waste sites. Records
include correspondence between the Region and Head-
quarters and other Federal agencies, priority list for
cleanup of hazardous waste sites, reports, approval of
design and engineering of waste containment/remedial
system, requests from Region for additional money to
continue cleanup operations, and other related records.
Includes index (paper and microform).
Retention; Retain until superseded.
Disposition; Break file when superseded. Keep
in office 1 year, then destroy.
Retention; Retain until superseded.
Disposition; Break file when material is super-
seded. Keep in office 1 year, then destroy.
Retention; Retain 5 years.
.Disposition; Break file when State program is
discontinued. Keep in office 1 year, then
transfer to the FRC. Destroy when 5 years old.
PAPER RECORD SYSTEM
Retention; Permanent.
Disposition; Break file upon completion of all
cost-recovery litigation. Keep in office 2
years, then transfer to the FRC. Offer in 5
year blocks to NARA when 20 years old.
EPA Form 1340-7 (2-B8)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHCD.NO
ITLE OF SCHEDULE:
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
COVI NAGt. Of SCHEDULE
REGIONAL OFFICES
ITEM
NO.
NAME AND DESCRIPTION OF RtCORD/FILE
RETENTION PERIOD AND DISPOSITION
b. Contains documentation and information concerning
the remedial investigations and feasibility studies of
uncontrolled hazardous waste (Superfund) sites. Records
include contractor notebooks of field observations,
calculations, maps, photographs, drawings, supporting
documentation, draft and final reports used in the
investigation and choice of a remedial action at a
Superfund site. Includes indexes (paper and microform).
HICROGRAPHIC RECORD SYSTEM
Retention;
a. Paper Records. Retain until conversion to
microform has been completed.
b. Microform Copy. Permanent.
Disposition;
a. Paper Records. Keep in office until conver-
sion to microform has been completed and micro-
form is verified for completeness, then destroy.
b. Microform Copy. Break file upon completion
of all cost-recovery litigation. Keep in office
2 years, then transfer to the FRC. When 20 years
old, offer to NARA in 5'year blocks.
Destroy when no
c. Other Microform Copies.
longor needed.
'PAPER RECORD SYSTEM
Retention: Permanent.
Disposition; Break file upon completion of'all
cost-recovery litigation. Keep in office 2
years, then transfer to the FRC. Offer in 5
year blocks when 20 years old.
MICROGRAPHIC RECORD SYSTEM
Retention;
a. Paper Records. Retain until conversion to
microform has been completed.
b. Microform Copy. Permanent.
EPA Form 1340-7 (2-B8)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
ITLE OF SCHEDULE
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
TF.M
NO.
24
25
NAME AMD DESCRIPTION OF RECORD/FILE
Cooperative Agreements. Contains records used in the
development of a cooperative agreement between EPA and
a State to take action to cleanup an uncontrolled hazar-
dous waste site pursuant to Section 104(C)(3) of the
Comprehensive Environmental Response, Compensation, and
Liability Act. Records consist of application for assis-
tance, State plan for responding to hazardous waste
incident, correspondence between the State and EPA
concerning the agreement, evaluation of application,
copy of approved agreement, claims submitted by State
for reimbursement, audit of State claims, reports, and
other related records.
Priority List for Cleanup of Hazardous Waste Sites.
Contains records used to develop a priority list of
uncontrolled hazardous waste sites that pose an imminent
threat to the public health or welfare or environment.
Records consist of State list of priorities, correspon-
dence documenting coordination between EPA and the State
regarding ranking of sites, documentation of.verification
by Region that documentation supporting the site scores
exists in State or Regional files. Regional list of
priorities, copy of worksheet for each facility scored
by the Region/State, summary document for each site
describing the site conditions or problems, document that
specifies the enforcement status for each candidate site,
and other related records.
COVERAGE OK SCHEDULE
REGIONAL OFFICES
SCHED.NC
RETENTION PERIOD AND DISPOSITION
Disposition;
a. Paper Records that have been microfilmed.
Keep in office until conversfon to microform
has been completed and microform is verified
for completeness, then destroy.
b. Microform Copy. Break file upon completion
of all cost-recovery litigation. Keep in office
2 years, then transfer to the FPC. When 20 years
old, offer to NARA in 5 year blocks.
c. Other Microform Copies.
longer needed.
Destroy when no
d. Paper records that have not been microfilmed.
Permanent. Keep in office 2 years, then transfer
to FPC. Offer to NARA in 5 year blocks when
20 years old.
Retention; Retain 20 years after completion of
all cost-recovery litigation.
Disposition; Break file upon completion of all
cost-recovery litigation. Keep in office 4
years, then transfer to the FRC. Destroy when
20 years old.
Retention; Retain 20 years after completion of
all cost-recovery litigation.
Disposition; Break file upon completion of all
cost-recovery litigation. Keep in office 4
years, then transfer to the FRC. Destroy when
20 years old.
EPA Form 134O-7 (2-B8)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHED.NC
ITLE OF SCHEDULE
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
COVEHAGt OF SCHFDULt
REGIONAL OFFICES
ITEM
NO.
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
26.
27.
Claims. Contains records used to document the settlement
of claims filed against the Fund under Section 112(a) of
the Comprehensive Environmental Response, Compensation,
and Liability Act. Records consist of the official claim,
determination by the Agency that the claimant had been
given preauthorization to respond to the hazardous waste
incident, RPA's official notification to responsible
parties of the claim, documentation of the attempts and
arrangement to settle the claim between the responsible
parties and the claimant, verification that the claimant
did take the action to cleanup the hazardous waste
incident, determination by the Agency that the claim is
not a duplicate or fraudulent claim, documentation of
claim submitted to Board of Arbitrators when claim cannot
be settled, and a copy of the agreement of the final
settlement of the claim.
Prevention of Significant Air Quality Deterioration (PSD)
Non-applicability Files.Contains records that document
the decisions relating to the PSD Non-applicability deter-
mination. Records consist of source data and request for
non-applicability determination, related correspondence
between State and EPA, technical evaluations and EPA
determination.
Retention; Retain 5 years.
Disposition; Break file upon settlement of
claim/completion of cost-recovery actions. Keep
in office 1 year, then transfer to the FRC.
Destroy when S years old.
PAPER RECORD SYSTEM
Retention; Retain 5 years.
Disposition; Break file upon issuance of non-
applicability determination. Keep in office 1
year, then transfer to the FRC. Destroy when
5 years old.
MICROGRAPrflC RECORD SYSTEM
Retention;
a. Paper Records. Retain until conversion to
microform has been completed.
b. Microform Copy (Official Record Copy).
Retain 5 years.
Disposition;
a. Paper Records. Keep in office until conver-
sion to microform has been completed and micro-
form is verified for completeness, then destroy.
o
m
EPA Form 1340-7 (2-U)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHKD.NO
TITLE OF SCHt'OULC
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
ITEM
NO.
NAME AND DESCRIPTION OF RECORD/FILE
COVI HACjfc. Oh SCHEDULE
REGIONAL OFFICES
RETENTION PERIOD AMD DISPOSITION
28.
Prevention of Significant Air Quality Deterioration (PSD)
Permit Files.Contains records used inissuance of air
pollution permits under the Prevention of Significant Air
Quality Deterioration (PSD) Program. Permits issued to
municipal, State, industrial and Federal air pollution
permit; correspondence with applicant and State agency;
technical support document; copy of the final determina-
tion; and copy of the final PSD permit with conditions.
Also, includes copies of permit revisions, extensions,
and other related records.. Note: PSD files on sources
which have been closed or which have not emitted pollu-
tants for a period of five years may be retained if the
potential for air pollutant emissions has not been
eliminated, i.e., process equipment for facilities have
not been dismantled or removed from the site.
b. 'Microform Copy (Official Record Copy). Break
file uponissuance of non-applicability determina-
tion. Keep in office 1 year, then transfer to
the FRC. Destroy when 5 years old.
Destroy when no
c. Other Microform Copies.
longer needed.
PAPER RECORD SYSTEM
Retention; Retain 5 years.
Disposition: Break file when facility ceases to
be operable as permitted or is permanently shut
down. Keep in office 1 year, then transfer to
the FRC. Destroy when 5 years old.
MTCROGRAPHIC RECORD SYSTEM
Retention;
a. Paper Records. Retain until conversion to
microform has been completed.
b. Microform Copy (Official Record Copy).
Retain 5 years.
Disposition;
a. Paper Records. Keep in office until conver-
sion to microform has been completed and micro-
form is verified for completeness, then destroy^
Microform Copy (Official Record Copy).
e when facility ceases to be operable a
_ 1 L ^ * *' - •
Break
b.
file wnen taciiicy ceases to be operable as
permitted or is permanently shut down. Keep in
office 1 year, then transfer to the FRC. Destroy
when S years old.
c. Other Microform Copies.
longer needed.
Destroy when no
EPA Form 1340-7 (2-88)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHEO.NC
T n Lt OF SCHEDULE
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
(..OVf PAC.t Ol-' SCHEL'ULl.
REGIONAL OFFICES
ITEM
NO.
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
29.
State Prevention of Significant Air Quality Deterioration
(PSD) Program Files. Contains records that document a
State-operated PSD permitting program. Records consist
of the permit application; State's technical evaluation,
preliminary determination and recommendation to FPA; F.PA
comments, public notice, public comments; final PSD permit
with conditions; and related documents.
30
Medical Records Containing Tissue Samples Data. Includes
copy of death certificate, pathology laboratory results,
autopsy reports, plutonium assay results Cor liver and
lung tissues, consent form Cor the use oC the tissues in
the study, results of telephone interviews with persons
who knew the deceased, and letters Crom the investigators
to the physician, Criends, and relatives oC the deceased.
PAPRR RECORD SYSTEM
Retention; Retain 5 years.
Disposition! Break Cile when Cacility ceases
to be operable as permitted or is permanently
shut down. Keep in ofCice 1 year, then transCer
to the FRC. Destroy when 5 years old.
MTCROGRAPHIC RECORD SYSTEM
Retention;
a. Paper Records. Retain until conversion to
microform has been completed.
b. Microform Copy (OCClcial Record Copy).
RetaTnIyears.
Disposition;
a. Paper Records. Keep in ofCice until conver-
sion to microCorm has been completed and micro-
form is verified Cor completeness.
b. MicroCorm Copy (OCficial Record Copy). Break
Cile when facility ceases to be operable as
permitted or is permanently shut down. Keep in
oCfice 1 year, then transCer to the FRC. Destroy
when 5 years old.
JO
m
n
S
o
Ct
m
c. Other MicroCorm Copies.
longer needed.
Retention; Retain 50 years.
Destroy when no
Disposition; Break Cile upon completion of study.
Keep in office 1 year, then transfer to the FRC.
Destroy when 50 years old.
EPA Form 1340-7 (2-86)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHEO.NO
TITLE OF SCHEDULE
ENFORCEMENT RECORDS
COVERAGE OF SCHEDULE
REGIONAL OFFICES
ITE*
NO.
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
1.
2.
NPDES Permits File. Contains records used in issuance of
pollution discharge permits under the National Pollution Dis
charge Elimination System (NPDES) program. Permits issued
to municipal, industrial, agricultural, and Federal facility
dischargers by EPA Regional Offices or authorized state
agencies. Records consist of application for permit; corres
pondence with applicant, Corps of Engineers, and certifying
agency; copy of public notices and comments; public hearing
reguests; copy of summary reports and permit rationale; and
permit copy.
RCRA Permit File. Contains records used in the issuance or
denial of a permit to an owner/operator of a facility that
treats, stores, or disposes of hazardous wastes under the
Resource Conservation and Recovery Act (RCRA) Program.
Records consist of the notification form, application for
permit (Parts A and B), background and supporting documen-
tation, public notice (FR document) announcing receipt of
application, comments and records of public meeting, tenta-
tive determination to issue/deny permit, statement of basis
PAPER RECORD SYSTEM
Retention; Retain 5 years.
Disposition; Break file when facility ceases to
operate or emit pollution. Keep in office 1 year,
then transfer to the FRC. Destroy when 5 years
old.
HICROGRAPHIC RECORD SYSTEM
Retention;
a. Paper Records. Retain until conversion to
microform has been completed.
b. Microform Copy (Official Record Copy). Retain
5 years.
Disposition;
a. Paper Records. Keep in office until conversion
to microform has been completed and microform is
verified for completeness, then destroy.
bf Microform Copy (Official Record Copy). Break
file when facility ceases to operate or emit pol-
lution. Keep in office 1 year, then transfer to
the FRC. Destroy when 5 years old.
c. Other Microform Copies.
needed.
Destroy when no longer
PAPER RECORD SYSTEM
Retention; Retain 5 years.
Disposition; Break file when facility ceases to
operate or emit pollution. Keep in office 1
year, then transfer to the FRC. Destroy when 5
years old.
EPA Form 1340-7 (2-88)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHED.NO
TITLE OF SCHEDULE
ENFORCEMENT RECORDS
COVERAGE OF SCHEDULE
ITEM
NO.
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
3.
4.
for minor facility or fact sheet for major facility, public
notice (FR document) announcing F.PA approval or denial of
permit, comments and records of public hearing, copy of
permit, exception reports, closure and post-closure actions,
copy of inspection reports, compliance reports, manifests,
delisting of hazardous waste(s), correspondence between
F.PA and the permittee, copy of liability insurance policy
or document providing evidence of financial responsibility,
records and documentation relating to changes during interim
status, and other related records.
Notifications Excluding Treatment, Storage, or Disposal.
Contains copy of notification, correspondence between the
notifier and EPA, revised notification form, and other
appropriate records.
Compliance Files - All Pollution Sources. Contains records
used to determine compliance with pollution regulations and
to recommend legal enforcement actions if necessary. Speci-
fic documents vary from source to source and program to pro-
gram, but generally include copies of compliance schedules,
permit revisions, monitoring or compliance reports, applica-
tions for compliance schedules and requests for schedule
waiver or modification. If source appears to be out of com-
pliance, file will include letters requesting additional
information from the source, technical evaluation reports by
Regional Office, and recommendations for legal fiction
against the source to enforce compliance.
mCPOGRAPHIC RECORD SVSTEM
Retent ion;
a. Paper Records. Retain until conversion to
microform has been completed.
b. Microform Copy (Official Record Copy). Break
file whenfacility ceases to operate or emit pol-
lution. Keep in office 1 year, then transfer to
the FRC. Destroy when 5 years old.
c. Other Microform Copies. Destroy when no longer
needed.
Retent ion; Retain 3 years.
Disposition; Break file when determination has
been made that information is not needed. Keep in
office 3 years, then destroy.
PAPER RECORD SYSTEM
Retention; Retain current plus 5 years.
Disposition; Break file each year. Keep in office
5 years, ETTen destroy.
MICROGPAPHIC RECORD SYSTEM
Retent ion;
a. Paper Records. Retain until conversion to
microform has been completed.
b. Microform Copy (Official Record Copy). Retain
current plus 5 years.
Disposition;
a. Paper Records. Keep in office until conversion
to microform has been completed and microform is
verified for completeness, then destroy.
o
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EPA Form 1340-7 (2-88)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHED.NO
TITLE OP SCHEDULE
ENFORCEMENT RECORDS
ITEM
NO.
NAME AND DESCRIPTION Or RECORD/FILE
('.OVFMAGEL OF SLHEUULt
REGIONAL OFFICES
RETENTION PERIOD AND DISPOSITION
5.
Enforcement Action Case Files - All Pollution Programs.
Includes all cases referred to Legalstafffrom allprogram
offices for legal action against a pollution source or dis-
charger. Document contents vary from program to program bu
generally includes records used to determine compliance
(item 4 above) and in addition: memos or transcripts docu-
menting informal meetings with officials of pollution
sources, pre-consent order correspondence, briefing memos,
final consent orders, and court documents including briefs,
pleadings, judgment documents, and appellate documents.
b. Microform Copy (Official Record Copy.) Break
file when facility ceases to operate or emit pol-
lution. Keep in office 1 year, then transfer to
the FRC. Destroy when 5 years old.
Destroy when no longer
c. Other Microform Copies.
needed.
PAPER RECORD SYSTEM
Retention;
a. No Legal Action Required. Retain 5 years.
b. Routine Legal Actions. Retain 20 years.
c. Landmark Cases. Permanent (EPA Administrator
desiqnates actions as landmark or precedent cases.)
Disposition;
a. No Legal Action Required. Break file after
settlement or closing of case. Keep in office
J year, then transfer to the FRC. Destroy when 5
years old.
b. Routine Legal Actions. Break file after
settlement or closing of case. Keep in office 2
years, then transfer to the FRC. Destroy when 20
years old.
c. Landmark Cases. Break file upon settlement or
closing of case.Keep in office 5 years, then
transfer to the FRC. Keep in FRC 15 years, then
offer to the FRC. Keep in FRC 15 years, then offer
to the Regional Archives.
MICROGRAPHIC RECORD SYSTEM
Retention;
a. No Legal Action Required.
1. Paper Records. Retain until conversion to
microform has been completed.
2. Microform Copy (Official Record Copy).
n
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EPA Form 134O-7 (2-88)
ain ,> years*
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHED.NO
TITLE OF SCHEDULE
ENFORCEMENT RECORDS
COVERAGE Of- SCHffDULE
REGIONAL OFFICES
ITEM
NO
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
b. Routine Legal Actions.
1. Paper, Records. Retain until conversion to
microform has been been completed.
2. Microform Copy (Official Record Copy).
Retain 20 years.
c. Landmark Cases.
1. Paper Records. Retain until conversion to
microform has been completed.
2. Microform Copy (Official Record Copy).
Permanent.
Disposition : .
a . No Legal Action Required.
1. Paper Records. Keep in office until con-
version to microform has been completed and micro-
form is verified for completeness, then destroy.
2. Microform Copy (Official Record Copy).
Break file after settlement or closing of case.
Keep in office 1 year, then transfer to the FRC.
Destroy when 5 years old.
3. Other Microform Copies. Destroy when no
longer needed.
b. Routine Legal Actions.
1. Paper Records. Keep in office until con-
version to microform has been completed and micro-
form has been verified for completeness, then
destroy.
Copy (Official Record Copy ) .
ettlement or closing of case.
Break file after sett
Keep in office 2 years, then transfer to the FRC.
Destroy when 20 years old.
3. Other Microform Copies. Destroy when no
longer needed.
EPA Form 1340-7 (2-88)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHEO.NO
TITLt OF SCHEDULE
ENFORCEMENT RFCORDS
ITE
NO.
NAME AND DESCRIPTION OF RECORD/PICE
GOVFRAGE Ol- SCHEDULE
REGIONAL OFFICES
RETENTION PERIOD AND DISPOSITION
7.
8.
9.
Rapid Tax Amortization File. Contains records used to
grant Federal tax deductions to facilities that have in-
stalled pollution control equipment and devices. Records
consist of applications, state certifications, technical
review by Regional Office, legal review by Regional Office,
Federal certification, and related correspodence.
Public Hearings File. Contains records used in conducting
public hearings at which interested groups comment on pro-
posed indirect sources regulations, compliance schedules,
and transportation control regulations. Records consist of
citizen and congressional inquiries, administrative documen-
tation arranging the hearing, public notice of hearing, and
copy of hearing transcript, RCRA permit, 404(c), NPES.
Adjudicatory Hearings File. Contains records used in con-
ducting hearings in which issues of fact concerning regula-
tion enforcement are decided. Records consist of adminis-
trative documents arranging hearing, public notices of hear-
ings, prehearing transcripts, Adminisitrative Law Judge
judgment orders, transcript of hearing, all exhibits enter-
ed, and other related records.
State Regulations File. Contains copies of State environ-
mentalregulations used for reference.
c. Landmark Cases..
1. Paper Records. Keep in office until con-
'version to microform has been completed and micro-
form is verified for completeness, then destroy.
2. Microform Copy (Official Record Copy).
Offer to NAPA when 20 years old silver halide
microfilm plus one silver, diazo, or vesicular
duplicate. Transfer certified microfilm in cubic
foot blocks to FRC pending offer to NARA.
3. Other Microform Copies.
longer needed.
Retention; Retain 7 years.
Destroy .when no
Disposition! Break file upon Federal certifica-
tion. Keep in office 2 years, then transfer to the
FRC. Destroy when 7 years old.
Retent ion; Permanent.
Disposition; Break file upon completion of hear-
ing. Keep in office until all required action
items have been completed, then transfer to the
FPC. Keep in FRC 10 years, then offer to the
Regional Archives.
Petent ion; Permanent.
Disposition; Break file upon completion of hear-
ing.Keep in office until all required action
items have been-completed, then transfer to the
FRC. Keep in FRC 10 years, then offer to the
Regional Archives.
Retent ion; See Disposition below.
Disposition; Destroy when no longer needed for
reference.
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EPA Form 1340-7 (2-BB)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHEO.NO
TITLE OP SCMKDUI.E
ENFORCEMENT RECORDS
COVt'RAGt. OF SCHUOULE
REGIONAL OFFICES
ITEM
NO.
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
10.
11.
12.
13.
14.
State Implementation Plans File. Contains copies of State
implementation plans and revisions to plans approved by
legal staff.
Compliance Schedules File. Contains copies of schedules,
proposed Federal Register package and final promulgation.
Schedules are approved by legal staff and used for
reference.
Enforcement and Liability Records. Contains records used
to document the liability and fianancial responsibility of
an owner or operator of an uncontrolled hazardous waste
site. Records consist of a copy of official notification
from the owner/operator of a facility that the facility is
in compliance with Section 107(k)(2) of 'the Comprehensive
Environmental Response, Compensation, and Liability Act;
documentation of determination by the Agency that the
owner/operator of a facility has or has not complied; copy
of any Administrative action for judicial review; official
notification from owner/operator that financial responsi-
bility has been established consistent with the risks assoc
iated with the type of waste at the site; documented verifi
cation by EPA that the owner/operator has established
appropriate financial responsibility; copy of notification
to owner/operator of the facility for the need to adjust
financial responsibility, demand letter, referral of case
for filing of judicial action; and other related records.
Legal Reference File. Contains records used by legal
stafffor reference on legal programs, control strategies,
hearing procedures, judicial review environmental legis-
lation, and other reference materials.
Program Management File. Contains records pertaining to
all phases of the development and mangagement of the
Regional enforcement program, including permit adminis-
tration, compliance determination, and legal enforcement
actions. Records consist of correspondence and reports
relative to policy and programs, manpower and budget, etc.
Retent ion; See Disposition below.
Disposition; Destroy when no longer needed.
Retention; Retain 5 years.
Disposition; Break file upon approval of
schedules. Keep in office 5 years, then destroy.
Retention; Retain 20 years after completion of
legal and cost-recovery actions.
Disposition; Break file upon completion of all
legal and cost-recovery actions. Keep in office
2 years, then transfer to the FRC. Destroy when
20 years old.
m
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S
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Retention; See Disposition below.
Disposition; Review in office every year retaining
files with continuing reference value and disposing
of other materials.
Retention; Retain 10 years.
Disposition; Break file at end of 2 years.
in office 2 years, then transfer to the FRC.
Destroy when 10 years old.
Keep
EPA Form 1340-7 (2-BB)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHED.NO
TITLE OF SCHEDULE
ENFORCEMENT RECORDS
C.OVFKAGE OF SCHEDULE
REGIONAL OFFICES
TEM
NO.
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
15.
Enforcement/Compliance Administrative Files. Includes
correspondence with States on EPA policy, state implemen-
tation plan revisions and comments, state enforcement
commitment, and results of State audits.
Retention; Retain 5 years.
Disposit ion; Break file at end of year.
office 1 year, then transfer to the FRC.
when 5 years old.
Keep in
Destroy
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3
2
EPA Form 1340-7 (2-81)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHEO.NO
TITLE OF SCHEDULE
ENVIRONMENTAL SERVICES PROGRAM RECORDS
COVFRAGli OF SCHEDULE
REGIONAL OFFICES
TEM
NO.
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
1.
2.
3.
4.
5.
Stationary Source Compliance File. Includes stationary
source inspection reports showing measurements of emissions,
type of equipment installed, efficiency of control equipment
operation, and other information used to determine compli-
ance with air pollution regulations. Reports prepared by
field inspectors and transmitted to enforcement program for
possible legal action.
State and Local Agency Monitoring File. Includes records
used to monitor State and local air pollution programs.
Records consist of quality assurance reports of State and
local ambient monitoring networks, staff reviews and com-
ments on Section 105 grant applications, and audit reports
showing performance of the agencies.
Citizen Complaints File. Includes copies of complaints and
inquiries from citizens on various pollution problems and
copies of replies.
Standards and Regulations Review and Comment File. Includes
copies of standards and regulations sentfrom Headquarters
programs for review and comment by regional office.
Oil and Hazardous Materials Facility Files. Includes
records resulting from investigations of oil and other
hazardous materials spills and records related to spill
prevention program.
a. Spill Investigation and SPCC Compliance Inspection
Reports.Records consist of spill reports and supporting
papers showing case history of spills. Used in civil or
criminal actions against spiller. Also, includes SPCC plan
compliance Inspection reports, time extension requests, and
other related records.
b. SPCC Facility
program of facilities,
quired by regulations.
Claris. Records detailing spill prevention
submitted to regional offices as re-
Includes plans and amendments pres-
cribed by the Regional Administrator.
Retention; Retain 5 years.
Disposition; Break file at end of each year.
Keep in office 5 years, then destroy.
Retent ion; Permanent.
Disposition; Break file at end of each year.
Keep in office 5 years, then transfer to the FRC.
Keep in FRC 15 years,, then offer to the Regional
Archives.
Retent ion; . Retain 3 years.
Disposition; Break file at end of each year.
Keep in office 3 years, then destroy.
Retention; Retain 2 years.
pimposition;
and comment.
destroy.
Break rile upon completion of review
Keep in office 2 years, then
ri
o
m
Retention; Retain 5 years.
Disposition; Break file at end of each year or
upon termination of case, whichever is applicable,
Keep in office 1 year, then transfer to the FRC.
Destroy when 5 years old.
Retention; Retain 5 years.
Disposition; Break file upon completion of amend-
ment implementation or end of year. Keep in
office •> years, then destroy.
EPA Form 134O-7 (2-68)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
SCHED.NC
TITLE OF SCHEDULE
ENVIRONMENTAL SERVICES PROGRAM RECORDS
c.ov/ri»Ar,E. or SCHEDULE
REGIONAL OFFICES
TEM
NO.
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
7.
8.
9.
10
NPDES Compliance Monitoring File. Includes inspection
reports used to determine compliance with pollution dis-
charge permits issued under the National Pollution Discharge
Elimination System (NPDES). Reports forwarded to Enforce-
ment-program for legal action if necessary. Field offices
maintain copy plus supporting papers including lab analysis
records, field log books, calculation notes, permit informa-
tion, and other records.
RCRA Compliance Monitoring File. Includes inspection re-
ports used to determine compliance with permits issued to
facilities that treat, store, or dispose of hazardous
wastes. Reports forwarded to Enforcement program for legal
action if necessary. Field offices maintain report copy plu
supporting papers including lab analysis records, field log
books, calculation notes, permit information, and other
records.
Water Quality Stream File. Includes survey inspection re-
ports on water quality of streams and rivers. Data is used
to calculate effluent waste load allocations by water plan-
ning staff. Field offices maintain report copy plus suppor-
ting papers including lab analysis data, working papers, and
other related records.
Special Studies File. Documents relating to the development
of specialstudies for all environmental services programs.
Includes studies and surveys done in-house as well as those
done on contract. Records consist of contractor and grantee
proposals, procurement requests, task orders, bid evalua-
tion, award notices, payment records, progress reports, and
project work papers.
Final Reports Resulting from Special Studies. Includes
printed final reports of special studies and surveys for all
environmental services programs.
Retention: Retain current plus 10 years.
Disposition: Break file each year. Keep in
office 5 years, then transfer to the FRC. Destroy
when 10 years old.
Retention; Retain current plus 5 years.
Disposition; Break file each year. Keep in
office 5 years, then destroy.
Retention; Retain 10 years.
Disposition; Break file upon completion of survey
.report. Keep in office 10 years, then destroy.
Retention; Retain 5 years.
Disposition; Break file upon completion of study.
Keep in office 5 years, then destroy.
Retention;
a. Record Copy. Permanent.
b. Information Copies. Retain 2 years.
^PA Form 1340-7 (2-88)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY-RECORDS CONTROL SCHEDULES
XCHED.NO
TITLE OF SCHEDULE
ENVIRONMENTAL SERVICES PROGRAM RECORDS
C.OVl'I'AGli O>: SCIHU.'IJLL
REGIONAL OFFICES
I TEM
NO.
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
11
12.
Program Management Files. Contains records pertaining to
policy and program development of all environmental ser-
vices programs. Records consist of correspondence and
reports relative to policy and programs, interagency acti-
vity, research, manpower planning, and other related
materials.
Natural Disaster Assistance File. Includes records conduc-
ting damage assessment surveys, as required by Presidential
disaster declarations. Records consist of correspondence
preliminary damage assessments, damage surveys, interim and
final inspection reports, and other related records.
Disposition;
a. Record Copy. Break file upon completion of
study. Keep in office 1 year, then transfer to
FRC. Keep in FRC 20 years, then offer to the
Regional Archives.
b. Information Copies. Destroy when 2 years old
or sooner if no longer needed.
Retention; Retain 10 years.
Disposition; Break file at end of 2 years. Keep
in office 1 year, then transfer to the FRC.
Destroy when 10 years old.
Retention; Retain 5 years.
Disposition; Break file upon completion of final
inspections for all applicants. Keep in office 1
year, then transfer to the FRC. Destroy when 5
years old.
TO
m
n
o
EPA Form 1340-7 (2-B8)
-------
RECORDS MANAGEMENT MANUAL
-------
&EPA TRANSMITTAL
CLASSIFICATION NO.:
2160
APPROVAL DATE:
— 1984 Edition
7/13/84
ADDRESSEE
RECORDS MANAGEMENT MANUAL
1. PURPOSE. This transmictal provides a new version of the
Records Management Manual.
2. EXPLANATION. The Records Management Manual, was revised
to provide current policy and procedures relating to the
management of the Agency's records. The EPA Records Control
Schedules contained in Appendices of the old Manual have been
deleted and will be issued as a separate document. Chapter 4,
Preservation of Vital Records for Emergency Use is being
reserved and will be issued later.
3. FILING INSTRUCTIONS. Discard the old version of this
Manual and file this edition in a three ring-binder.
ector
animation Division
PLEASE NOTE: The Classification Number for the Records
Management Manual has been changed to 2160.
ORIGINATOR: office of Information Resources Management
EPA Form 1315-12
-------
CHECKLIST OF EPA TRANSMITTALS
TITLE
When kept currer.;. this checklist permits the user to see at a glance which transmittals have been filed.
SERIES
NUMBER '. 7 ATE
/ 1
i
r>rf
.
i
INI-
TIAL
tf
tf
•s
SERIES
NUMBER
•
DATE
INI-
TIAL
SERIES
NUMBER
'
DATE
•
INI-
TIAL
EPA Form 1315-4 (Rev. 7-731
PREVIOUS EDITIONS ARE OBSOLETE.
-------
RECORDS MANAGEMENT MANUAL 2160 CHG 2
4/9/86
CONTENTS OF CHAPTERS
CHAPTER . CHAPTER
TITLES NUMBERS
OBJECTIVES AND RESPONSIBILITIES 1
REPORTING REQUIREMENT - RESERVED 2
DISPOSITION OF RECORDS - DESTRUCTION, RETIREMENT AND RETRIEVAL ... 3
PRESERVATION OF VITAL RECORDS FOR EMERGENCY USE 4
FILING EQUIPMENT AND SUPPLIES 5
MICROGRAPHIC MANAGEMENT - SOURCE DOCUMENT SYSTEMS 6
FILES MAINTENANCE 7
DOCUMENTATION AND PRESERVATION OF ELECTRONIC RECORDS 8
-------
1 - OBJECTIVES &
RESPONSIBILITIES
-------
RECORDS MANAGEMENT
CHAPTER 1 - OBJECTIVES AND RESPONSIBILITIES
1. PURPOSE. This Manual prescribes objectives, responsibilities, and
procedures for the conduct of the Agency's records/information manage-
ment program.
2. SCOPE. This Manual applies Agencywide to both mission and adminis-
trative records.
3. LEGAL AUTHORITY. The Statutory basis for the Agency PeCOrds/infonaatiOn
management program is contained in the Federal Records Act of 1950, as
amended (44 U.S.C. 3101-3107). It provides that the head of each Federal
agency will establish and maintain a continuing program for the economical
and efficient management of the records of the Agency. The Act is imple-
mented in Govemmentwide regulations (41 Code of Federal Regulations 101)
which in turn are implemented by this Manual.
RELATING TO GOVERNMENT RECORDS. Records created or
acquired by an official or employee of the Agency in the course of con-
ducting Government business are the property of the United States Govern-
ment. Persons who create or acquire custody or possession of official
records by virtue of their positions as officials or employees do not
necessarily attain a proprietary interest in such records. Official
records are public records and belong to the Government rather than to
the employee. The penalties for the willful and unlawful destruction;
removal frcm files, and private use of official records are contained in
IS U.S.C. 2071. All EPA employees are responsible for reporting any
actual or threatened unlawful loss or removal of official records to the
Agency Records Management Officer, Information Management and Services
Division.
5. DOCUMENTATION. The Agency will make and preserve records to provide
adequate and proper documentation of the organization, functions, policy
decisions, procedures, and essential transactions; and to protect the
legal and financial rights of the Government and of persons directly
affected by Agency activities. See Chapter 4 for specific information
regarding vital records.
6. RECORDS DISPOSITION. As required by law, the official records of
the Agency may not be destroyed without the prior approval of the
National Archives and Records Service, GSA. This approval authority is
provided in the form of EPA Records Control Schedules. These schedules
list official records of the Agency (including many nonofficial records)
and prescribe the periods of authorized retention. All EPA employees
are responsible for insuring that records disposal actions agree with
these schedules (see Chapter 3 for detailed instructions).
1-1
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2160
RECORDS MANAGEMENT 7/13/84
7. OBJECTIVES. The broad objective of records/information management is
to maximize the value and benefits of the Agency's information resources
while minimizing the cost of acquiring, maintaining, and disposing of
these resources. Specifically, the Agency records/information management
program provides for the establishment of active and continuing programs
to:
a. Prevent the creation of unnecessary records in any media;
b. Promote the application of systems for the efficient organization,
maintenance, and use of records to facilitate retrieval and use.
c. Control the retention and disposition of records to insure that
records of continuing value are preserved but that -valueless or noncur-
rent information is disposed of or transferred to storage in a timely
manner.
d. Provide for the Agencywide management of all direct paper to micro-
form systems (source document) to insure that the acquisition and use of
these systems and equipment is technically feasible, cost-effective and
administratively desirable.
e. Provide for the management of information storage equipment to
insure that appropriate criteria justifying the management of such equip-
ment are applied throughout the Agency.
f. Preserve and protect information that is vital to the essential
functions of the Agency during a national emergency or that is essential
to the legal rights and interests of individual citizens and the Govern-
ment.
g. Provide for the Agencywide management of machine-readable and
audiovisual records to insure that they are maintained and protected in
accordance with 41 Code of Federal Regulations 101.
8. RECORDS/INFORMATION MANAGEMENT. Both the terms "records management"
and "information management" are used in this Manual. Traditionally the
term records management has been used to describe the management of the
media on which information is recorded. Managers are now using the
term "information management" to describe the processes necessary for
the creation, use and..disposal of information regardless of the media on
which it is recorded. While the title of this Manual remains "Records
Management", its objectives apply to many of the information management
concepts.
1-2
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RECORDS MANAGEMENT 216°
7/13/84
9. VITAL RECORDS. Records vital to the continued operation of the Agency
and records essential to the preservation of the legal rights and interests
of employees and individual citizens, in wartime or disaster, are listed on
the EPA Vital Records Protection Plan, Figure 4-2. Appropriate measures
will be taken to protect these vital records, as described in the Plan.
(See Chapter 4).
10, RESPONSIBILITIES.
a. Assistant Administrators, Inspector General, General Counsel,
Associate Administrators, Regional Administrators, L^oratory Directors,
and Staff Office Directors. These officials will provide for the
implementation of the records/information management program within
their respective areas. They will:
(1) Assure that the objectives of the EPA records management
program are achieved:
(2) Designate individuals within their respective areas to act
as local Records Management Officers and Vital Records Officers and
forward the organizational titles, addresses, and telephone numbers of
designees to the Director, Information Management and Services Division
(PM-211A), Office of Information Resources Managenent. (These individuals
should have appropriate status and sufficient time to devote to the
program.)
(3) Assure that files custodians are designated within their
area of responsibility (see Chapter 7).
(4) Assure that records control schedules are applied to the
records in their area.
b. Director, Information Management and Services Division. This
individual through a records management staff, will provide overall
supervision and policy guidance in records management on an Agencywide
bas is.
c. Records Management Officers.
(1) The Agency Records Management Officer in the Information Man-
agement and Services Division, will:
(a) Develop policy, directives, and instructional materials
governing the organization, maintenance, and disposition of all records,
inducing machine-readable and audiovisual;
(b) Provide staff advice, guidance, assistance, and training
in all aspects of the records/information management program:
1-3"
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RECORDS MANAGEMENT 2160
7/13/84
(c) Coordinate program efforts,and evaluate program effective-
ness by making periodic surveys of information systems;
(d) Coordinate the review and approval of requests for source
document micrographics systems, equipment, and services;
(e) Review and approve requisitions for information storage
equipment at Headquarters.
(f) Plan and coordinate the EPA Vital Records Program; and
(g) Coordinate the retirement and retrieval of Headquarters
records to the Federal Archives and Records Center.
(2) Local Records Management Officers at Headquarters will serve
as coordinators of the records program in their areas.
(3) Records Management Officers in Regional offices and Labora-
tories, when designated, will assume responsibilities corresponding to
those of the Agency Records Management Officer (see subparagraph c(l)
above) in their areas.
11. DEFINITIONS. See Figure 1-1 for definitions of terras used in this
Manual.
1-4
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RECORDS MANAGKMENT 2160
DEFINITIONS 7/13784
1. ACCESSION MUMBERS. Numbers assigned to each group of Agency records
transferred to the Federal Records Center. They serve as the primary
control for all actions affecting the records, e.g., location on shelving,
retrieval, and disposition.
2. AGENCY RECORDS MANAGEMENT OFFICER. The title of the designated staff
official whose responsibility is to plan, develop, and coordinate the Agency
records management program.
3. ADMINISTRATIVE OR HOUSEKEEPING RECORDS. Records which reflect routine,
transitory-, internal administrative or housekeeping activities relating to
subjects and functions common to all offices.
4. APPRAISAL OF RECORDS. The determination of value of records by the
study of their relationship and contents.
5. AUDIOVISUAL RECORDS. Program and information motion pictures, still
pictures, sound recordings, video recordings, and related documentation. •
6. ALTERNATE SITES. Selected bases of operations to assure continuity of
the Agency's functions during and inmediately following a national emergency.
The sites house the Agency's vital records.
7. ALTERNATE SITE REPRESENTATIVES. The title of designated personnel in
the Agency alternate sites who are responsible for the maintenance and
retrieval of Agency vital records.
8. CASE FILE. A case file is a folder or other file unit containing
material relating to a specific action, transaction, event, person, place,
project, or other subject.
9. CONFIDENTIAL BUSINESS INFORMATION. Confidential Business Information
is any information in any form received by EPA from any person, firm,
partnership, corporation, association, or local, state, or Federal agency,
or foreign government, which contains trade secrets or commercial or
financial information, and which has been claimed as confidential by the
person submitting it and which has not been determined to be non-confidential
under the procedures in 40 CFR Part 2.
10. FACILITATIVE RECORDS. Records which are used to process or forward an
action.
11. FEDERAL ARCHIVES AND RECORDS CENTERS. Depositories established by the
General Services Administration for the housing of noncurrent, inactive, or
permanent records pending ultimate disposition in accordance with the Agency
Record Control Schedules.
Figure 1-1
(1 of 4)
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2160
RECORDS MANAGEMENT 7/13/34
12. FILE BREAK. Cutoff point in a file usually based on a calendar or
fiscal year date.
13. FILING EQUIPMENT. Any equipment used to provide storage for information;
e.g. lateral, vertical, mechanized, and ATP.
14. FILES SERIES. An identifiable portion (or segment) of an organized
file which can be described, handled, used, or disposed of as a whole; a
complete file or part of a file which requires separate description because
of variations in arrangements or subject content, retirement or disposal
characteristics, significant volume, or peculiar physical form (such as
maps, drawings, or other oversized files).
15. FILING SUPPLIES. Items such as folders, guides, cross-reference
sheets, and charge-out cards.
16. INFORMATION MANAGEMENT. The proper utilization of resources necessary
for the creation, acquisition, processing, storage, dissemination, and use
of data. (It is not data (information) that is managed, but the processes
necessary for its creation and use.)
17. INVENTORY OF RECORDS. A list itemizing each type of record and
nonrecord material indicating description, quantity, and other pertinent
data.
18. MACHINE-READABLE RECORDS. Records whose information has been tran-
scribed onto a media, such as magnetic disks, druas, tapes, which is
accessible by automatic data processing equipment.
19. MAINTENANCE OF RECORDS. The grouping, filing, storing and safe-
guarding of records.
20. MICROGRAPHICS. The science and technology of document and information
microfilming and associated microform systems.
a. Microfilm. A high resolution film containing an image or images
greatly reduced in size from the original which is recorded on the film.
b. Microfiche. A sheet of film containing multiple microimages in a
grid pattern. It usually contains a heading or title which can be read
without magnification.
c. Microform. Any form containing microimages.
d. Microimages. Information, such as a page of text or a drawing,
too small to be read without magnification.
Figure 1-1
(2 of 4)
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RECORDS MANAGEMENT -/0/
/ /13/84
21. OFFICE OF RECORD. The office designated to maintain official files.
Normally, it would be the office that created or received correspondence
relating to its assigned functions.
22. PROGRAM RECORD. Records created, received, and maintained by an agency
in the conduct of the mission functions for which it is responsible. The
term is used in contrast with administrative, housekeeping, or facilitative
records.
23. RECORD GROUP NUMBER. A number assigned by the National Archives and
Records Service to each Agency for convenience in identifying records.
Record Group Number 412 is assigned to EPA.
24. RECORDS. Recorded information of continuing administrative, fiscal,
legal, historical, or informational value, including published materials,
papers, maps, photographs, microfilm, audiovisual, machine-readable
materials (ADP tapes/disks) or other documentary material, regardless of
physical form or characteristics, made or received by the Agency that
evidences organization, functions, policies, decisions-, procedures,
operations, or other activities of the Government.
a. Classified Records. Records designated as "Top Secret", "Secret",
or "Confidential" which are restricted to processing or use by cleared
individuals, and require special protection.
b. Current Records. Records or files presently in the physical
custody or organizational units, the maintenance of which is required for
the conduct of current work.
c. Nonrecord Material. Material of this nature includes blank forms,
library materials and working papers of fleeting value such as drafts,
worksheets, informal notes, slips, etc.
d. Official Record File. The complete documentation including all
background material resulting from specific transactions, operations, or
processes which are accumulated and maintained in files equipment. They
may include any media such as film, microfilm, cards, papers, and magnetic
tapes and disks.
e. Permanent Records. Records of continuing value which are con-
sidered to be so valuable or unique in documenting the history of the
Agency or for informational content that they should be preserved "forever"
as part of the National Archives of the United States.
f. Record Copy. The official file copy, either originated or received
by any -element of EPA, which documents an action relating specifically to
the functions assigned operating elements in the Agency.
Figure 1-1
(3 of 4)
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RECORDS MANAGEMENT ' 7-160
7/13/84
g. Semiactive and Inactive Records. Records worthy of preservation
and which have long term permanent value will be retired from expensive
office space and equipment to the area Federal Records Center for storing,
servicing, and ultimate disposition in accordance with EPA records control
schedules.
h. Temporary Records. Records created incidental to performance of
the mission. They are "operational", "support", and "service" type records
which are considered to be of temporary value to the Agency and will be
destroyed at some time.
25. RECORDS CONTROL SCHEDULES. A list for systematic disposition of Agency
records, including their retention, transfer, retirement or destruction,
performed in accordance with approved disposition authority from the United
States Archivist, National Archives and Records Services.
26. RECORDS MANAGEMENT. See Information Management.
27. RECORDS MANAGEMENT OFFICER. The title of designated staff officials
whose responsibilities are to assist the operating Agency Records Manage-
ment Officer by carrying out the policies of the records management program
in their respective organizational units.
28. SUBJECT FILE. Subject files consist mainly of general correspondence
and material related to programs and functions which are filed according
to the subject of the topic. Subject filing is the process of arranging
and filing records according to their general informational content.
29. VITAL RECORDS. Records which come within the following categories are
vital records and are to be preserved under the provisions of Chapter 4.
a. Category A. Records containing information necessary to assure
continuity of operation of the Agency in an emergency and affirm the powers
and duties of the Agency in the resumption of operations after an emergency.
These records will be maintained in a manner usable to other than the
originators (paper copy preferably) at the alternate site.
b. Category B. Records containing information necessary to protect
rights and interest of persons.
Figure 1-1
(4 of 4)
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2 - REPORTING
REQUIREMENT
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RECORDS MANAGEMENT - 2160
7/13/84
CHAPTER 2 - REPORTING REQUIREMENT - RESERVED
2-1
-------
3 - DISPOSITION OF
RECORDS
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RECORDS MANAGEMENT 2160
7/13/84
CHAPTER 3 - DISPOSITION OF RECORDS - DESTRUCTION, RETIREMENT, AND RETRIEVAL
Table of Contents
PARAGRAPH PARAGRAPH
TITLES ' . NUMBERS
Purpose and Scope 1
Policy 2
Removal of Official Records 3
Benefits of Systematic Disposition/Retirement 4
Protection of Retired Records 5
Criteria for Retiring Records *»***«!,*=,*== 6
Procedures for Retiring Records to Federal Records Center 7
Procedures for Retrieval of Retired Records 8
Figure 3-1. Records Transmittal and Receipt
Figure 3-2. Calculation of Volume of Records
Figure 3-3. Instructions for Assembling Records Storage Box
Figure 3-4. Instructions for Packing and Sealing Records
Storage Box
Figure 3-5. Labor Services Request
Figure 3-6. Classified/Confidential Business Information
Material Receipt
Figure 3-7. Reference Request - Federal Records Center
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RECORDS MANAGEMENT 216°
7/13/84
CHAPTER 3 - DISPOSITION OF RECORDS - DESTRUCTION, RETIREMENT, AND RETRIEVAL
1. PURPOSE. This Chapter provides guidance and procedures for (1) the
destruction of records, (2) the retirement (transfer) of records to Federal
Records Centers (FRO, and (3) retrieval of records from the FRC.
2. POLICY. .Inactive records (whether mission or administrative) will not
be maintained in costly office space. Inactive records will be disposed of
at the Agency or transferred to a Federal Records Center in accordance with
EPA Records Control Schedules. Records should not be maintained longer
than six months after the time specified in the records control schedule.
3. REMOVAL OF OFFICIAL RECORDS. Official records of the Agency will only
be removed fron the Agency or disposed of in accordance with the provisions
of the Agency's Records Control Schedules. (Copies of the Records Control
Schedules may be obtained from your local Records Management Officer.)
4. BENEFITS OF SYSTEMATIC DISPOSITION/RETIREMENT. The Agency's records
disposition program is designed to provide for (1) the removal from valuable
office space of all records and nonrecord materials which are no longer
essential for current operations, (2) the release of filing equipment for
reuse, and (3) the protection of records that should be kept for long periods.
5. PROTECTION OF RETIRED RECORDS. Retired records of the Agency that
contain sensitive material cannot be retrieved or reviewed by other than
the retiring office without prior consent of the retiring office. The
Federal Records Center (FRC) will enforce restrictions lawfully imposed by
the Agency on the use of transferred records. In case of demonstrated
need, and subject to any Agency restrictions on their use, the FRC will
loan Agency records deposited with them to EPA employees for official use.
Records subject to the. Privacy Act of 1974 will not be disclosed by FRC
personnel except under provisions of Agency rules. EPA records that contain
confidential business information can only be accessed by the office retiring
the records or by another organization that obtains written approval fron
the retiring office. Note: Arrangements for retrieving records, must be
made in accordance with paragraph 8 of this Chapter.
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2160
RECORDS MANAGEMENT 7/13/8A
6. CRITERIA FOR RETIRING RECORDS. The criteria listed below should be
used in conjunction with the EPA Records Control Schedules in determining
when to retire (transfer) inactive records to the Federal Records Center.
Records to be .transferred should:
a. Appear on an approved EPA Records Control Schedule; (If the records
are not covered by EPA Records Control Schedules contact the local Records
Management Officer.)
b. Not be needed to carry cut current Agency operations;
c. Be referred to only occasionally in the normal course of business;
d. Not be eligible for destruction within three years of the date of
receipt by the Records Center; or
e. Cost less to transfer than the cost to retain them in the Agency's
space and equipment.
7. PROCEDURES TOR RETIRING RECORDS TO FEDERAL RECORDS CENTER.
a. Recording the Transfer. To facilitate the transfer and to expedite
retrieval, list records on Standard Form 135 (SF 135), Records Transmittal
and Receipt, and standard Form 135 A, Continuation Sheet, in the manner
which they are currently filed. This list will record the transfer and
provide an inventory sufficiently detailed for future reference service.
See SF 135, Figure 3-1, for locations of the following items:
(1) Agency Record Group Nunber. All Agency activities will use
Record Group Number 412.
(2) Accession Number. Headquarters personnel will obtain Accession
Numbers from the Agency Records Management Officer. Information will be
required at the time the Accession Number is requested as to the number of
boxes, date the records will be ready for transfer, and any special handling
(CBI, etc.). Regional and field Records Management Officers will obtain
3-2
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2160
RECORDS MANAGEMENT 7/13/84
Accession Numbers by submitting SF 135 to the appropriate FRC in advance of
shipments of the records. An Accession Number will be assigned by the FRC
upon receipt of the shipment of records. A copy of the SF 135 with the
Accession Number added will be returned to the originator. In the case of
GAO site audit records, enter the Agency record group number when assigning
the Accession Number but specify in item 6f of the SF 135 that these are
GAO site audit records.
(3) Description of the Records. The description must include a
general statement identifying the records being transferred. A listing of
each file folder is not necessary. Usually only the first and last folder
titles are necessary. The general statement must give the following
information:
(a) Full identification of the office that created the records
if not shown in item 3 of the form;
(b) Inclusive dates of the records, and a brief description
of the type of records; such as grants, contracts, pesticide registration
jackets, etc.
(c) The security classification of the records. Classified
information must not be revealed on the SF 135 and SF 135A. All security
classified documents should be reviewed for possible downgrading prior to
the retirement; and
(d) Records subject to the Privacy Act of 1974 will be
identified by a statement at the beginning of the description of the records
which indicates that the records are subject to the Act and they say not
be disclosed except in accordance with EPA rules and notices published in
the Federal Register.
(4) Disposal Authority. EPA Records Control Schedules contain
disposal authority.
b. Preparation and Distribution of the SF 135 and SF 135A. Prepare
SF 135 in original and five copies when transferring records to FRC. The
SF 135 must be distributed as follows:
(1) The original plus three copies must be forwarded to local
Records Management Officer.
(2) Place the fifth copy in the front of the first box of each
accession.
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RECORDS MANAGEMENT
2160
V13/84
(3) The sixth copy should be kept by the retiring office until the
Records Management Officer returns one copy which has been receipted by the
Federal Records Center. This copy has the stack location number annotated
on it which must be used in the retrieval of retired records.
c. Obtaining Record Boxes. Pack records to be transferred to Federal
Records Centers (except small quantities of official personnel folders) in
standard Federal Records Center boxes which may be obtained through the
Federal Supply Service (see Figures 3-3 and 3-4). (Headquarters offices
may obtain.FRC boxes from the EPA Self Service Store). Before requesting
boxes estimate the total number of cubic feet of records to be retired.
One box holds one cubic foot of letter or legal size material. See Figure
3-2 for Table of Equivalents for Calculating Cubic Footage of Records.
d. Packing the Boxes. Pack the records in the boxes in an upright
position to preclude movement or damage while in transit (see Figure 3-4).
Make sure you pack the records in the same arrangement that they were filed.
Avoid making shipments of less than one cubic foot. Do not pack records
with widely different retention periods, or from more than one office, in
the same box. When packing records that contain confidential business
information wrap the records with heavy grade brown wrapping paper to ensure
adequate protection of records during transfer to the FRC. After the
records have been packed, fasten the top of the boxes with nylon tape placed
lengthwise over the flaps and extending two inches down the side of the
boxes.
e. Identifying the Box. With a black waterproof marker or crayon,
write the accession number and carton number (cartons must be numbered in
numerical sequence) on both ends of the box. Do not mark the security
classification of the records on the outside of the box, or that the box
contains confidential business information. See Figure 3-4 for an illustra-
tion of a box correctly identified.
f. Transfer of Headquarters Records fron Originator's Office to EPA
Storage Facility.
(1) Headquarters. The originator must prepare EPA Form 5100-2,
Labor Services Request to have the records moved to Shipping and Receiving
where they will be stored until pickup by the FRC. EPA Form 5100-2 is to
be submitted with the SF 135 to the Agency Records Management Officer at
Headquarters (see Figure 3-5). Note: Records containing confidential
business information will remain with the Program until the day of pickup
by the FRC. The records will be accompained by a staff member from the
Records Management Staff who will remain with the records until they are
officially received by personnel from the FRC.
3-4
-------
RECORDS MANAGEMENT
(2) Regional and Field Offices. Personnel should follow procedures
and guidance issued by the local Records Management Officer to have records
picked up from their office. The local Records Management Officer should take
action to insure the protection of records containing confidential business
information until they are officially received by the FRC.
g. Shipping the Records.
(1) At Headquarters, the Agency Records Management Officer will
arrange for pickup of Federal Records Center boxes when they are ready for
shipment to the Washington National Records Center. Note: When records
containing confidential business information are ready for shiprsent to
VNRC, Shipping and Receiving must obtain a receipt (see Figure 3—6> fron
the VNRC when the boxes are picked up. A copy of the receipt is tq~be
given to the Agency Records Management Officer.
(2) Regional and field offices located near Federal Records Centers
may arrange for the FRC to pick up 50 boxes or more at the location listed
on the previously forwarded SF 135 and SF 135A. The Agency may transport
any number of boxes of records to the FRC as often as deemed necessary.
The office shipping boxes with records containing confidential business
information must obtain a receipt from the FRC when the boxes are picked
up. A copy of the receipt is to be given to the local Records Management
Officer.
•(3) Regional and field offices located outside the Federal Records
Center pickup area must ship their records according to volume, via United
States Postal Service, commercial motor or rail freight. To obtain the
lowest tariff rate for "old" records, Agency offices using ocRinercial
carriers should enter the following statement on the bill of lading or
other shipping documents: "The agreed or declared value of this property
is hereby specifically stated by the shipper as not to exceed 3 1/2 cents
per pound." The office must make arrangements with the U. S. Postal Services
or commercial motor carrier for the protection of the records that contain
confidential business information during transit until they are received by
the FRC. If records are shipped through the U. S. Postal Service, arrange
to have the records shipped by registered mail, this will serve as an
adequate receipt in lieu of EPA's receipt of Sensitive Material. The office
shipping the boxes must obtain a receipt, Figure 3-6 when the boxes are
picked up. A copy of the receipt is to be given to the local Records
Management Officer.
8. PROCEDURES FOR RETRIEVAL OF RETIRED RECORDS
a. General. Federal Records Centers'operate a reference service which
provides for the retrieval of retired records.
3-5
-------
RECORDS MANAGEMENT 2160
7/13/84
b. Procedures-.
(1) Employees can retrieve records from a FRC by completing Optional
Form 11, Reference Request - Federal Records Centers. Only employees who
have been authorized access to records containing confidential business
information can retrieve these records from the FRC. If the request is not
made by the originator, a copy of the authorization from the originator
granting access to the records must be attached to the OF 11. The OF 11
must contain the Record Group Number, Accession Number, Box Number, and the
name, number, or other identifying data of the records being requested.
This information appears on the copy of the Standard Form 135 which should
be on file in the office that created the records. In addition, the Records
Center location number must be entered on the OF 11. Headquarters offices
may obtain this number from the receipted copy of SF 135 returned by the
Federal Records Center; regional and field offices nay obtain it from the
local Records Management Officer (see Figure 3-7, for an example of a
completed OF 11). A separate form must be completed for each request for
records.
(2) Requests to be expedited for some special reason '(Freedom of
Information and Congressional inquiries are examples), must be -indicated on
the form.
(3) Headquarters offices should submit the completed OF 11 to the
Agency Records Management Officer; Regional and field offices to the local
Records Management Officer. The form will then be forwarded to the Federal
Records Center.
(4) Retrieved records may be returned to the Federal Records Center
for refiling in a mailing envelope, addressed "Attention Reference Branch",
with a routing slip attached indicating the accession number, box number,
FRC location number and the notation "Return for Refile". The local Records
Management Officer must be notified of the return so that the chargeout
record may be cleared. Records containing confidential business information
must be returned to the FRC in accordance with the procedures stated in
paragraph 7.
3-6
-------
P.iCORDS MANAGEMENT
Standard Form 135, Records Transnirtal and Receipt"
BtCOBOS TRAMSMmM. AND RCCtlPT
i ! i
Accession 3~raneh
Wasnincton^
(202) 392-5911
Pecords "anaoewent Staff (°«-211DI
'J. S. Er.vi ror.r.cr.ta 1 Protection Aqehc
401 K Street. S. w.
Washington, Z. C. 20460
'•—3 *tfl»C' »UW-l .l I
- — o5 (202) 55/- .460 I
c- Procurement Section Rjn. 735WT1
>-s = »5er.t- Dij
*. BCeo*>et :*>«Cv«vi *tcn*lfi •' »*««HHI i «»»i «•*•'
•irrii^
This block to be used by
Pecords Center Personnel
*•
•c
. • - •> • «AOC<
TOt.UMI , •£!
rr -ov^ti*, -.. M • •u.«r«t
! . (
|
412! 84
0001
i
;
1
1
i
^ : 1 of 7
1
!
I
j 2 of 7
j
!
j
! i 3 of 7
!
tr«Cf e
1 V*ft ~
OATI
'aMssw
RECORDS OATA
nc***^xm
rn
Records created by organization
shown in item 3 above.
Inclu-
sive dates of records are 1976-
1978. These records consist ol
RFP WA76-B022
RFP KA7S-B020
RFP WA76-R483
P.FP WA75-R025
RFP WA76-B019
P.FP WA75-R489
RFP WA7S-R02S
RFP WA76-R483
RFP 'XA76-R142
Rfp WA7S-R528
•
i i ! NOTE : RECORDS
'
!
!
IN ITEM
tlaVIS*
|s
5~
<•!
R
RESTRICTED TO PEBSO
3 A30VE
eiM*jm aurrisixtirr
ll«IS«M^IIVI
1(1
Y OFFltlW. SHOWN
1
U s;, H
»
i
! I
i !
^•aMK «ss«>sj m f»4P». •>.*»)
*>W-*>M*«CU
*««• Ul C«) lOI-liJ
lies 1 . Inter the address of
the FTderal Records Center
serving your area. In Wash-
ington: Washington National
Records Center, Suitland.
Maryland.
Ices 2. Enter the nase and
licit of the Records Manage-
ment Officer whose address
appears in block 5. Also
include his/her telephone
mirber.
Itt= 3. Enter the name of
the office that created the
records. Also enter the
nase end telephone number
cf the official responsible
for che=.
Ites !• . For Records Center
Iter. 5 . The address show.
in the sample above should
•Ivays be used for records
transferred from EPA Head-
quarters. Regions, labs.
and other organizations not
located in Washington should
use the office address of
the Records Management
Officer serving their
organization.
Itt= 6. (a) - (c) . Head-
quarters personnel will
obtain the accession number
fro= the Agency Records
Kzr.sgeaent Officer.
Regional and field personnel
should obtain it through the
Iccil Records Management
Officer vho obtains it from
t'r.e Federal Records Center.
6 (d) . Enter the total
Item 6 (e).
Enter each box
nur*:tr o: boxes in the
a c c f s » i on .
Figure 3-1
number adjacent to th« li»t
of Its contents In it en 6
CO.
Iteo 6 (f). At th« cop of
:>.e tloc'K. enter the In-
formation shown in th«
issple shown above, along
with the inclusive dates
ef the records. If Che
records are subject Co Che
Privacy Act' or contain con-
fidential business infor-
mation, so indicate. Then
describe the contents of
e«ch box, using continuation
sheet (SF 135-A) If neces-
sary. You aay list the In-
clusive contents of each
box (i.e. A-E or 100-500)
if such a listing will
permit retrieval. Othervise.
the complete box contents
eust be shown.
Item 6 (E.) . Enter the re-
striction code, if any. For
records containing CBI, Use
"V" code).
Item 6 (h). Obcain schedule
and itea nuraber from the ap-
plicable appendix in the EPA
Records Xanigement Manual.
Itea 6 (1). Compute Che
disposal date by the reten-
tion period authorized by the
records control schedule.
Copy Preparation and Distri-
bution. Prepare original and
live copies. Send original
and three copies to your
local Reccrcs >!ar.a£en»nt
Officer. Place fifth copy
in the first box of the
accession. Retain sixth
copy until a receipted copy
is returned to you for
retenc ion.
For additional instructions.
see the reverse sice cf SF
135.
-------
3
Ul
FILING CABINETS:
One letter-size drawer = 1 1/2 cubic feet
One legal-size drawer = 2 cubic feet
FILING CASES:
One 3-by 5-inch case = 1 1/10 cubic foot
One 4-by 6-inch case = 1/4 cubic foot
One 5-by 8-inch case = 1/4 cubic foot
SHELF.FILES:
Letter-size, 1 linear foot = 4/5 cubic foot
Legal-size, 1 linear foot = 1 cubic foot
TABULATING CARDS:
10,000 cards = 1 cubic foot
OUTSIZED EQUIPMENT:
Inside cubic measurement
MAGNETIC TAPE:
Seven reels = 1 cubic foot
MICROFILM:
100 16 mm reels (100 feet) = 1 cubic foot
50 35 mm reels (100 feet) = 1 cubic foot
MICROFICHE:
10,000 microfiche = 1 cubic foot
STILL PICTURES:
Negatives
2300 35 mm 6 exposures strips = 1 cubic foot
8640 2-by 2-inch mounted slides = 1 cubic foot
2184 4-by 5-inch film sheets = 1 cubic foot
5980 2 1/4-by 3 1/4-inch film sheets = 1 cubic foot
Prints
2350 8-by 10-inch glossies or contact sheets = 1 cubic foot
9400 4-by 5-inch glossies = 1 cubic foot
ri
o
o
o
MOTION PICTURES:
Six 35 mm reals (1000 feet) = 1 cubic feet
11 16 mm reals (1200 feet) = 1 cubic foot
15 16 mm reals (800 feet) == 1 cubic foot
32 16 mm reals (400 feet) = 1 cubic foot
SOUND RECORDINGS:
76 16 inch disc recordings - 1 cubic foot
144 12 inch disc recordings = 1 cubic foot
48 7 inch audiotape reels = 1 cubic foot
16 10 inch audiotape reals == 1 cubic foot
VIDEO RECORDINGS
Ten 3/4 inch cassettes = 1 cubic foot
Three 2 inch reels = 1 cubic foot
Nine 1 inch reels = 1 cubic foot
43 1/2 inch reels = 1 cubic foot
o
fa
(D
ft
o
a
in
CD
-------
".CORDS MANAGEMENT 4. r
instructions for Assembling Records Storage Box
2lfO
7/13/84
Unassembled Record Storage Box
SN: 8115 00 290 3379,Size 15 X
12 X 10, cu. 1.04 (Obtain box
through normal supply channels)
Records Storage Box - Open
with bottom side up.
Assembling Records Storage Box -
Fold in the four flaps as shown
above.
Seal Bottom flaps of Records
Storage Box by using nylon
reinforced tape.
Figure 3-3
-------
ZCORDS MANAGEMENT
' Instructions for
>r Packing and Sealing Records Storage Bo2/13/84
Letter-Size Documents
Packing Records Storage Box
Legal-Size Documen
SeaUn, Box
forced tape)
Figure 3-4•
-------
PECORDS
• 2160 V/13/bH
LABOR SERVICES REQUEST
(NOTE: Your Administrative Officer mutt tign thit revuett when indicated before it can be processed.I
(Official UK
NAME OF REQUESTOR
"Diane Smith
BUILOING
WSMW
ROOM NO.
1135
tLCPHONC NO.
382-5111
MAIL. CODE
A-101
/••FICE
Office of Regional Liaison
DATE
Mav U. 1QSA
SERVICE REQUESTED
DELIVERY
MOVE CX f toch rcloeafion worluriett)
OTHER (Specify):
COMPLETE DESCRIPTION OF L.ABOR SERVICES TO BE ACCOMPLISHED
Pick-up 14 Federal Records Center Boxes from Rm. 1135 WT Office of Regional Liaison
(Diane Smith) and take to the EPA Warehouse (Shipping and Receiving). These records
are for transfer to the Washington National Records Center, Suitland, Md.
ACCESSION NUMBER
412-84-0051 14 Boxes
APPROVAL SIGNATURES
PROGRAM ADMINISTRATIVE OFFICER
PROPERTY MANACEMCNT
FUND CERTIFICATION FOR MOVES
APPROPRIATION
DOCUMENT
CONTROL. NO.
ACCOUNT NUMBER
OBJECT
CLA».
DOLLAR AMOUNT
2526
/ certify that funds are available.
SIGNATURE OF COMMITMENT CLERK
ACTION TAKEN
ACTION'
TIME
ACTION
LABORERS DISPATCHED
ARRIVED ON JOB
ABORERS RETURNED
JOB COMPLETED
FOREMAN'S SIGNATURE
CUSTOMER'S SIGNATURE
EPA Hq Form 5100-2 (R*v. 12-80) PREVIOUS EDITION MAY BE USED
Figure 3-5
COPY DISTRIBUTION:
Originator, submit three copies to Prop-
trtv OHie«: retain last copy for your
records.
-------
RECORDS MANAGEMENT
2160
7/13/84
oEPA
UNfTED STATES ENVIRONMENTAL PROTECTION AGENCY
CLASSIFIED/CONFIDENTIAL BUSINESS INFORMATION
MATERIAL RECEIPT
(SIGN AND RETURN TO ADDRESS BELOW — RETAIN DUPLICATE COPY)
EPA CONTROL NUMBER
DATE
ADDRESSEE:
RETURN TO:
DESCRIPTION (Avoid my loentif ication wnich might necauitai* classification of this receipt)
NUMBER OF ITEMS
I ACKNOWLEDGE RECEIPT OF MATERIAL DESCRIBED ABOVE
SIGNATURE
AGENCY
TITLE
DATE RECEIVED
EPA Form 1*80-13 (Rev. 6-84)
Previous edition may be used until supply is exhausted
DISTRIBUTION ORIGINAL Addressee
SECOND Recipient
THIRD Suspense File
Figure 3-6
-------
RECORDS MANAGEMENT
Optional Form 11,
'.eference Request - federal Records Center
REFERENCE REQUEST-FEDERAL RECORDS CENTERS
UOTE: Ute t teparate Jorm for each request
SECTION 1— TO BE COMPLETED BY REQUESTING AGENCY
RECORD GROUP NO \ ACCESSION NO
412 j 412-75-43
AGENCY BOX NUMBER
19 OP
RECORDS CENTER LOCATION NUMBER
Location: 14/28:49-5
DESCRIPTION Of RECORD(S) OR INFORMATION REQUESTED (delude Me number and inle.i
File No. T ll-AP-08, University' of California, Reverside
REMARKS
Please expedite. This request is to satisfy a Freedom of Information Act inquiry.
NATURE OF SERVICE
D FURNISH COPY OF
RECORDS) ONLY
|—j PERMANENT
WITHDRAWAL
TEMPORARY
LOAN OF RECORDS!
D
REVIEW
OTHER
NAME OF REQUESTER
John M. Doe
TELEPHONE NO r~\ FTS
202-382-5944
DATE
RECEIPT OF RECORDS
Grants Administration Division (PM-216)
Roan 3225, Waterside Man
U.S. Environmental Protection Agency
401 M Street, S.w., Washington, B.C.
STOP 460
/In Withmgion. D.C fret tlso include STOP number/
Requester please sign, date and return this form.
lor til* itenXt) listed above. ONLY if the block 10 ,—i
right has tw«n checked by the Records Center. LJ
SIGNATURE
DATE
SECTION II—FOR USE BY RECORDS CENTER
nRprnRn^ WOT IN fPWTPH n i^innv 1 RPrnRn^ nPCTHrwpn
LJ WRONG SOX NUMBER— PLEASE RECHSCK
__ -, AnniTlHKJAI INPHRMATinK! RPOUIRPn TH iHPWTirv RPPHRHC
LJ REQUESTED'
D MISSING (Neither record/si, iniormaiion nor charge card found in
container/si specified!
L- 1 RECORDS PREVIOUSLY CHARGED OUT TO (Name . agency and
daiei
REMARKS
RATE cepuire TIME SEARC*?'
DATE SERVICE REQUIRED : IN "ii.:
1
SECTION III-TO BE COMPLETED BY REQUESTING AGENCY
General Services Administration
Federal Records Center NARS
i ATTN: Reference Branch
70 ^y Suitland, Jlarvland STOP 386
^V tCilvi tState: Ilip Codej
NOTE: In Washington. D.C. area
send to STOP 386
PREVIOUS EDITION USABLE
OS*.
-------
4 - VITAL RECORDS
-------
RECORDS MANAGEMENT MANUAL 2160 CHG 1
1/6/86
CHAPTER 4 - PRESERVATION OF VITAL RECORDS TOR EMERGENCY USE
TABLE OF CONTENTS
PARAGRAPH PARAGRAPH
TITLES NUMBERS
Purpose ]
Authority 2
Scene 3
Definitions 4
Purpose of the Vital Records Program 5
Ivhat is an Emergency 6
Alternate Site 7
Responsibilities 8
Procedures for Identifying Vital .Records 9
Procedures for Transferring Vital Records to
Alternate Sites 10
Retrieval of Vital Records 11
Figure 4-1 . EPA Vital Records
Protection Plan
Figure 4-2. Identifying Vital Records
Figure ^-3. vital Records Transraittal
-------
RECORDS MANAGEMENT MANUAL 2160 CHG i
1/6/86
CHAPTER 4 - PRESERVATION OF VITAL RECORDS FOR EMERGENCY USE
1. PURPOSE. This Chapter of the Records Management Manual provides policy,
guidance, and procedures for selecting and making EPA records vital to EPA's
operation available at "alternate sites"—that is, sites where they would be
accessible in an emergency. Also, see the EPA Facilities and Support Services
Manual, Emergency Preparedness, 4860 for additional policy and guidance.
2. AUTHORITY. The provisions of this Chapter are based on 41 CFR 101-11.7.
3. SCOPE. The guidance and procedures contained in this Chapter apply Agency-
wide.
4. DEFINITIONS. Chapter 1, Figure 1-1 of this Manual contains definitions for
Vital Records, Alternate Site, Alternate Site Representative, and other terms
used in this Chapter.
5. PURPOSE OF THE VITAL RECORDS PROGRAM. This program is designed to protect
the Fnvironmsntal Protection Agency's records/information which are necessary
for the _;ency to continue its key functions and activities in case of an
eirer.-jency. If a fire, flood, or other disaster destroyed EPA records/informa-
tion available in any of its operating locations it could mean:
a. loss of valuable program records/information;
b. Complete or significant disruption of program
operations;
c. Significant delay in resuming program
operations.
It is therefore necessary that managers identify records vital to their program
and assure the records are also available at an alternate site.
6. WHAT IS AN EMERGENCY? An emergency is a manor disaster or enemy attack that
would disrupt the normal and continuous operations of the Environmental Protection
Agency. Examples of. an emergency are:
a. Fires
h. Hurricanes/Tornadoes
c. Floods
d. Enemy Attacks
e. Farthguakes
4-1
-------
RECORDS MANAGEMENT MANUAL 2160 CHG 1
1/6/36
7. ALTERNATE SITS. An alternate site is a selected base of operations that
would assure continuity of EPA's functions during and immediately following an
emergency. The alternate site is where EPA's vital records are stored. EPA
will use the Federal Records Centers (FRC) to store some of its vital records.
When this is the situation records will be transferred to the FRC in accordance
with the Agency's records disposition schedules and do not need to be duplicated.
Refer to Figure 4-1 for information on where records are to be sent and stored
for anergency purposes. The location where records are to be stored is deter-
mined by the type of records, value of the records, and volume of records.
The alternate sites are chosen by the EPA Emergency Preparedness Coordinator,
and the location of the sites is classified information. Because of this
only the EPA Emergency Preparedness Coordinator and the Vital Records Officers
can send records to an alternate site.
8 . RESPONSIBILITIES.
a. The EPA Emergency Preparedness Coordinator, Facilities and Support
Services Division, Office of Administration, Office of Administration and
Resources Management is responsible for overall administration of the Vital
Records ^rogram and shall:
(1) Oversee the procedures for vital records storage and protection,
i.-.eluding the transmittal of vital records to the Alternate Site Representative
(2) Participate with the EPA Records Management Officer to update the
EPA Vit:-i Records Protection Plan.
(3) Secure the appointment of Vital Records Officers and Alternate
Site Representatives (see Records Management Manual, Chapter 1, subparagraph
lOa (2)").
(4) Verify that a semiannual inventory of vital records stored at
the alternate site is done by the Alternate Site Representative personnel.
(5) Conduct periodic reviews of sites where records are stored to
document that vital records are maintained and readily available in case of
an emergency.
b. The EPA Records Management Officer, Information Management and
Services Division, OIRM, Office of Administration and Resources ^lanagement
shall:
(1) Establish policy and procedures for transfer of the Agency's
vital records to alternate sites.
(2) Assist EPA personnel in identifying and selecting vital records.
4-2
-------
RECORDS MAMAGF'I^MT MANUAL 2.160 CKG 1
1/6/86
(3) Participate with the EPA Emergency Preparedness Coordinator
to update the EPA Vital Records Protection Plan.
(4) Assist the Alternate Site Representatives in establishing
file systans for vital records.
c. Senior Agency Managers (Assistant and Associate Administrators,
Regional Administrators, the Inspector General, the General Counsel,
Laboratory Directors, and Office Directors) shall:
(1) Designate individuals to act as Vital Records Officers for
their program,
(2) Establish an effective Vital Records Program.
(3) Identify records that their program will need to continue
its key functions in case of an emergency.
(4) Insure that the program's vital records are sent to an
•alternate site.
d. Vital Records Officers. The Vital Records Officers are the persons
designated hy each of the Assistant Administrators, the Inspector General, the
General Counsel, Associate Administrators, Regional AdTiinistrators, Laboratory
Directors, and Staff Office Directors to be responsible for their Vital Records
Programs (see Records Management Manual, Chapter 1, subparagraph ]0 a). Each
Vital Records Officer shaiir
(1) Identify all records in his or her program that meet the
definition of "vital records" in Chapter 1, Figure.]-I, of this Manual.
(2) In accordance with the FPA Vital Records Protection Plan,
Figure 4-1, forward vital records to the alternate site.
(3) Maintain a record of all vital records for his or her program
that have been forwarded to the alternate site.
(4) Verify the semiannual inventory of vital records at the
alternate site pertaining to his or her program.
(5) Review annually the Program's vital records to ensure that
all vital records .have been identified which meet the criteria specified
in paragraph 9.
4-3
-------
RE03FDS MaNAGEMEfvT -^-j;.:; ?lfiO CHG 1
1/6/86
s. The "1 t5rna~e . : "3 :'..:-cr£- :?ncn--:i"^ Lc o-..- . • ,^ce: ';"•'.' r.ne
Preparedness CooroiTisToT'Tfio "7 c3^c^o "71 <: .:.;':e .-..-,--r-r: .= ;-..- -:. --3. The
Alternate Site '^or ';~~."~.-. _ : -v- ...'islj.-
(2) 'Receive .rit;:-' :^cocds <::-o"n the ~?A FrTr^/qenc'/ ?':~iaredness
Coordinator or a Vi.-a I ."fecor^s Off iooj; .
(2) Process Vic™?. ~.?co'"ds Transmitt-al. . "-A Perm 1340-1.,
(3) Maintiain. -^ical records at the altern-ate site on a current basis,
by disnosinq of ?ur;eu=-v.;.~::i :vSteria"I in accordance with the instinuctions
specified on the Vital ^cords Tr?.nsmicr.al.- CPA Form 1340-1.
(4) Conduct a --.-jni annual irv^ncor/ of: ::J"/'- -.ical records at the
alternate site.
9. PROCESS FOR IDFi--TTI"V:"C- VIT^.L xECCprs. VircJ vcords ^ire records that
are essential to cr.e Aqencv ..r; carr\/i".o -out its r" unctions in errergency and
Dost-emerqenc/ situations:. :::>.n i.~ protecting che ^-qal r.ights or interests
of individuals and the A,:?ncv. The selection of records raise include those
c. •' arch; il or resparc;: -?.nje as ^ell as these u'l-.-.-j.-. 'iave no lasting value
:~.ut wou.' . be valuable •.__•! no a no after an en^rigenc\r. SPA records which
.f.re -ssential for ^PA cr State or local agencies to perform the functions
•'"-scribed in the F'acii.ici?s and Support Services i'ianual, F?1R 1-05, Essential
Functions must be ircludec, Thev are sumnarized be.L'>? 'see FMR 1-05,
Essential Functions for a detailed listing):
a. Ensure that o^ns ~or potable -water suoo] i.;?s are ^-a Liable to meet
needs in case .^. an -.;m?rqency.
b. Provide guidance on what are acceo table levels of hazardous agents
that mioht 'be or '-. ive been introduced into the environment.
c. Provide post-erne mency reconnaissance support cor water supply and
sewaae systeiTH and information on the location and products/by products
of facilities that generate hazardous waste, hazardous materials
transport, storage, and disposal; or for location of hazardous waste
sites.
d. Provide guidance on the levels of radioactivity at which protective
actions rtust be taken.
The following guidelines are to be used when selecting vital records. In
addition, "igure 4-2 contains information to aid in the selection of vital
records.
-------
RECORDS MANAGEMENT MANUAL 2160 CHG i
1/6/86
(1) General Management Records.. These records include the statements
of the Agency's mission in an' emergency; plans and programs for carrying out
this mission; statements of delegations of authority and of succession to
command; information on the location of the vital records; information about .
Agency personnel, property, and activities sufficient to provide a basis for
damage assessments; and essential emergency functions, as well as policy
directives, regulations, and forms.
(2) Program Records. In.selecting program records (For example: Drinking
Water Program - Drinking Water Additives, Inventory of Public Water Supplies,
etc*)? care must be exercised in determining what records are vital for
continuity of the Program's mission in and after an emergency (For example:
Records dealing with potable water, hazardous agents, etc.). If the emergency
mission calls for continuation of a normal program, copies of records supporting
the mission are vital.
(3) Personnel Records. Included in this category are lists of key
personnel assigned to emergency duties, and rosters of Agency employees,
including employees' skills that might be useful following an emergency.
(4) fiscal Records. Included in this category are payroll and leave
records jc employees, employees' equity in the retirement fund, financial,
and budget records necessary to determine amounts owed to, or payable by, the
.-.gency. Also, grant and contract files containing information necessary to
protect the interests of persons and the Government and to establish duties
and resnonsihilities of EPA, the contractor, or the grantee are considered
vital.
(5) Legal Rights and Interest Documents. Records concerning the legal
rights and interests of individual citizens (For example: Records and infor-
mation on social security, proof of ownership, citizenship, financial interests,
legal proceedings and decisions, etc.), private organizations, and the Federal
Government require protection in case of an emergency, but storage areas need
not be located at or near an alternate site.
10. PROCEDURES FOR TRANSFERRING VITAL RECORDS TO ALTERNATE SITE.
a. The Vital Records Officers shall:
(1) Collect and review copies of vital records as they are identified
and provide safeguards for temporary storage in accordance with EPA security
procedures outlined in the Facilities and Support Services Manual, Document
Security, SCR 2-09. A file unit (folder, manual, guide, etc.) -rust be complete
when superseding an obsolete file unit. Alternate Site Representative personnel
shall not be responsible for placing updated pages within any file unit. Cut-
dated records shall be returned to the Vital Records Officer for destruction.
4-5
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RECORDS MANAGEMENT MANUAL 2160 CHG 1
1/6/86
(2) Prepare vital records to be forwarded to the alternate site, in
accordance with the requirements specified in the EPA Vital Records Protection
Plan. This includes:
a. Pad-cinq the records in Federal Records Center boxes.
b. Preparing an original and two copies of EPA Form 1340-1,
Vital Records Transmittal, Figure 4-3.
c. Forwarding the original and one copy of EPA Form 1340-1
with the boxes to the alternate site.
d. Retaining one copy of EPA Form 1340-1 in a suspense file
until the original (signed by the Alternate Site
Representative) is returned. The Vital Ttecords Officer
should annotate the accession number on the suspense ccoy
and file and forward the original of the form to the Agency
Records Management Officer at Headquarters, for retention.
(3) Describe the records listed on the EPA Form 1340-1, by diving a
general statement identifying them. The following information should be
included? Code number (if assigned); title and/or subject and inclusive
•iates of the records: and name of the office originating the documents.
(4) Handle all National Security Information (NSI) in accordance
with the reguirements outlined in the Facilities and Support Services Manual,
Document Security, SCR 2-08. Do not pack security classified records with
unclassified.records. All security classified documents should be reviewed
for possible downgrading prior to their transfer to the alternate site.
(5) Any records containing confidential business information (CBI)
shall be processed and stored as if it were SECRET national security infor-
mation. Superseded or outdated CBI material shall be returned to the Vital
Records Officer who transferred the material.
(5) Pack boxes in conformance with requirements below.
(a) Use Federal Records Center boxes. See Chapter 3,
subparagraph 7c of the EPA Records Management Manual on how to obtain Federal
Records Center boxes (FRC).
(b) Estimate the total number of cubic feet of records to he
transferred to the alternate site.
4-S
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RECORDS MANAGEMENT MANUAL 2160 CHG 1
1/6/86
(c) Pack vital records in FRC boxes in an uprioht position to
preclude movement or damage while in transit and to make retrieval easier (see
Records Management Manual, Chapter 3, Figure 3-4). Do not pack records with
widely different retention periods or frcm more than one office in the same
box. Mien packing records that contain NSI or CBI, wrap the records with
heavy grade brown wrapping paper prior to placing them in the packing box.
After the records have been packed, fasten the top of the boxes with nylon
tape placed lenathwise over the flaps and extending at least tv/o inches down
the side of the boxes. Do not mark the security classification of the records
on the outside of the box (security requirements prohibit this act). With a
black waterproof marker write the following inforrration on one end of the box:
j_ Number each box consecutively;
_2 The name of the Agency and Office transmitting the
records;
3^ A brief description of the records;
j4 The retention period.
b. ,:he FPA Emergency Preparedness Coordinator shall transmit vital
r^cci'ds to the Alternate Site Representative or arrange for them to
receive records directly from the Vital Records Officer.
c. The Alternate Site Representative shall:
(1) Compare the records received with the EPA Form 1340-1, Vital
Records Transmittal, to assure completeness of the shipment to the alternate
site.
(2) Carry out the action described in the instructions given on
the form, and sign and date it.
11. RETRIEVAL OF VITAL RECORDS. The Vital Records Officer shall arrange for
retrieving obsolete records from, or returning records to, the Alternate Site
^enresentative by submitting EPA Form 1340-1, Vital Records Transmittal to the
Alternate Site Representative. In the event of an emergency, procedures out-
lined in the Facilities and Support Services Manual, EMR 1-08, Vital Records
Protection should be used to retrieve vital records.
4-7
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EPA VITAL RECORDS PROTECTION PLAN
00
Name of Record System
EPA Directives
(Orders and Manuals)
Responsible
Office
Management and
Organization
Division HQ
(PM-213)
Media - Records
Maintained In
Paner
Method of Protection
Keep copies at EPA
alternate sites
Transfer Alternate Site
Frequency Disposition Instructions
*Annually Maintain current; dispose
of superseded records as
indicated on transmittal
form
Regional Directives
(Orders and Manuals)
Regional
Offices:
(Management
Of: f ices)
Paper
Keep copies at
alternate sites
in each Region
*Annually Maintain current; dispose
of superseded records as
indicated on transmittal
fotm
Laboratory Directives
(Orders and Manuals)
Laboratories
(Office of
Administration)
Paper
Keep copies at
alternate sites
in each Region
*Annually Maintain current; dispose
of superseded records as
indicated on transmittal
form
Emergency Preparedness
Plans
Facilities
and Support
Services
Division
HO (PM-215)
Regions
Laboratories
Paper
(Classified)
Keep copies at
appropriate
alternate sites
31 Mar. Maintain current; dispose
30 Jun. of superseded records as
30 Sep. indicated on transmittal
31 Dec. form
Emergency Personnel
Roster-s (Lists of
personnel assigned to
functions)
Facilities
and Support
Services
Division
HQ (PM-21.r>)
Regions
Laboratories
Paper
Keep copies at
each appropriate
alternate sites
31 Mar. Maintain current; dispose'
30 Jun. of superseded records as
30 Sep. indicated on transmittal
31 Dec. form
*Major change should be forwarded ASAP to ensure that critical program records are kept current.
-------
o
o
Name of Record System
Personnel/Paycol1
System
Financial
Manageirent System
(Final Run)
Security Clearance
Files
Records Management
System (SF 135 -
Reference Purposes)
Responsible
Office
Financial
Management
Division HO
(PM-226)
Financial
Management
Division HO
(PM-226)
Inspector
General HQ
(A-109)
Information
Management
and Services
Division HQ
(PM-211D)
Regions
Laboratories
Media - Records
Maintained In
Magnetic Tapes
Magnetic Tapes
Paper (Computer
Printouts)
Paper
Method of Protection
Keep tapes at the
EPA Emergency
Operation Facility
(EOF) alternate sites
Keep copies at ROF
alternate site
Keep copies at all
alternate sites
Keep copies at
appropriate alternate
site
Transfer Alternate Site
Freguency Disposition Instructions
Every Maintain current for five
two pay periods; dispose of
weeks superseded records after
that time frame.
*Annually Maintain current; dispose
of superseded records as
indicated on transmittal
form
31 Mar. Maintain current; dispose
30 Jun. of superseded records as
30 Sep. . indicated on transmtttal
31 Dae. form
31 Mar. Maintain current; dispose
30 Sep. of superseded records as
indicated on transmittal
form
o
r-j
I
•H
Employee Medical
Monitoring Records
Occupational
Health and
Safety Staff
HO (PM-273)
Paper (Computer
Printouts)
Keep copies at EOF
alternate site
*Annual.ly Maintain current; dispose
of superseded records as
indicated on transmittal
form
-------
5
CO
o x
vO ^D
rH \
r-.i r-i
8
^§1*1 J?C_ Record System
Contracts Information
55ystem
a. Automated Proa ice-
rent Documentation
System (APDS)
b. Contract Files
(Legal contract
documents and
modifications
showinq legal
obligations of
the Government
or individuals) -
Inactive completed
contracts
Grants Information
and Control System
(Computer System)
Grants and
Cooperative
Agreements
Loans (dealing
with asbestcs in
schools)
Interagency
Agreements
TtesponsibV-
Office
Procurement
and Contracts
Management
Division HQ
(PM-214)
Procurement
and Contracts
Management
Division HO
(PM-214)
Media - Records
Maintained In
Magnetic Tapes
Paper
•Method of Protection
Keep tapes at EOF
alternate site
Keep copies at
Federal Records
Center, NARA
Grant?; Magnetic Tapes
Administration
Division HQ
(PM-216)
Grants
Administration
Division HQ
(PM-216)
Grants
Administration
Division HQ
(PM-216)
Grants
Administration
Division HQ
(PM-216)
Microfiche
Pane r
Paper
Keep tapes at
EOF alternate site
Keep microfiche
copies at EOF
alternate site
Keep copies at
Federal Records
Center, NARA
Keep 7'v>ies; at
Federal Records
Center, NAFA
Transfer
Freguency
*Annually
31 Mar.
30 Jun.
30 Sep.
31 Dec.
*Annually
*Annually
31 Mar.
30 Jun.
30 Sep.
31 D?c.
31 Mar.
30 Jun.
30 Sep.
31 Dec.
Alternate Site
Disposition Instructions
Maintain current; dispose
of superseded records as
indicated on transmittal
form
Retain 6 years and 3
months, then destroy
Maintain current; dispose
of superseded records as
indicated on transmittal
form
Maintain current; dispose
of superseded records as
indicated on transmittal
form
Retain 20 years, then
destroy
t-~
MH
o
I
u<
Retain 6 years,
destroy
then
-------
Name of Record System
Responsible
Office
Media - Records
Maintained In
Method of Protection
Transfer Alternate Site
Frequency Disposition Instructions
VO
00
o
•o
Suspension and
Debarment
PCRA Grants
Administrative
Hearing Records,
Pleadings, Tran-
scripts, and
Exhibits (Inactive
files)
Background Technical
and Scientific
Materials for
Development of
Standards for
Drinking Water
Drinking Water
Additives
Office of Waste
Programs
Fnforcenent - Site
Description
Information
Office of Waste
Programs
Enforcement -
Scientific
Data/Records of
Chemicals (DIOXIN)
Grants Paper
Administration
Division HO
(PM-216)
Regions Paper
Office of the Paper
Administrative
Law Judges HQ
(A-110)
Office of Paper
Drinking
Water HO
(WH-585)
Office of Paper
Drinking
Water HQ
(WH-585)
Office of Paper
Waste Programs
Enforcement
HO (WH-527)
Office of: Paper
Waste Programs
Enforcement
HO (WH-527)
Keep copies at
Federal Records
Center, NARA
Keep copies at
regional alternate
site
Keep copies at
Federal Records
Center, NARA
Keep copies at two
national alternate
sites
Keep copies at two
national alternate
sites
Keep copies at
appropriate
alternate site
Keep copies at
appropriate
alternate site
31 Mar.
30 Jun.
30 Sep.
11 Dec.
*Annually
31 Mar.
30 Jun.
30 Sep.
31 Dec.
*Annually
*Annually
*Annually
*Annually
Retain 6 years and 3
months, then destroy
Maintain current; dispose
of superseded records as
indicated on transmittal
Retain 20 years after
completion or termination
of case
Maintain current; dispose
of superseded records as
indicated on transmittal
form
Maintain current; dispose
of superseded records as
indicated on transmittal
form
Maintain current; dispose
of superseded records as
indicated on transmittal
form
Maintain current; dispose
of superseded records as
indicated on transmittal
form
t~-
o
Tt
0)
-------
Name of Record System
Responsible Media - Records Transfer
Office Maintained In Method of Protection Frequency
Alternate Site
Disposition Instructions
vO
00
vO
\
»H
Hazardous Waste
Data Management
Systnm
TSCA Rul emak i nci
Records (Pocket)
TSCA Section 5
Assessment Piles
TSCA Inventoiy
of Chemicals
State Water
Emergency Plans
Office of
Solid Waste
Program
Management
and Support
HO (WH-562)
Office of
Toxic
Substances -
Information
Management
Division HQ
(TS-793)
Office of
Toxic
Substances -
Information
Management
Division HQ
(TS-793)
Office of
Toxic
Substances -
Information
Management
Division HO
(TS-793)
Regions
Magnetic Tapes Keep copies at
appropriate
alternate site
Microfiche
Keep copies at EOF
alternate site
Paper
Keep copies at EOF
alternate site
Magnetic Tapes
Keep tapes at
alternate site
Paper
Keep copies at
regional alternate
site
*Annually Maintain current; dispose
of superseded records as
indicated on transmittal
form
*Annually Maintain current; dispose
• of superseded records as
indicated on transmittal
form
*Annua.lly Maintain current; dispose
of supersede:! records as
indicated on traasmittal
form
*Annually Maintain current; dispose
of superseded records as
indicated on transmittal
form
*Annually Maintain current; dispose
of superseded records as
indicated on transmittal
form
-------
lO
00
vfl
Name of Record System
Inventory of Public
Water Supplies
Superfund Site
Investigations
(Only where site
investigations have
been conducted and
the sites have been
ranked)
Superfund and RCRA
Enforcement and
Litigation records
RCRA Part B Permit
Application and
Permit Files (only
Permit and abstracted
information refer-
encing key informa-
tion on RCRA Part B
Permit Application)
Product Label File
Responsible
Office
Headquarters
and Regions
Regions
Regions
Regi ons
Office of
Pest ic ide
Programs -
Program
Management
and Support
Division HO
(TS-757)
Media - Records
Maintained In
Magnetic Tapes
Paper and
Magnetic Tapes
Paper
Paper
Method of Protection
Keep tapes at EOF
alternate site and
regional alternate
site
Keep copies and
tapes at regional
alternate site
Transfer
Freguency
*Annually
*Annually
Keep copies at
regional alternate
site
Keep copies at
regional alternate
site
*Annually
*Annually
Magnetic Tapes
Keep tapes at EOF
alternate site
*Annually
Alternate Site
Disposition Instructions
Maintain current; dispose
of superseded records as
indicated on transmittal
form
Maintain current; dispose
of superseded records as
indicated on transmittal
form
Maintain current; dispose
of superseded records as
indicated on transmittal
form
Maintain current; dispose
of superseded records as
indicated on transmittal
form
Maintain current; dispose
of superseded records as
indicated on transmittal
form
t~-
o
-------
Name of Record System
g Company Data File
j> (Inactive Files)
Dosimetry Records
Radionuclide
Radioactive Source
Inventories
Whole-Body Counting
Data Files and
Summary Files
Radiation Claims
and Off-Site
Surveillance
Responsible
Office
Office of
Pesticide
Programs -
Program
Management
and Support
Division HO
(TS-757C)
EMSL,
Las Vegas
EMSL,
Las Vegas
EMSL,
Las Vegas
EMSL,
Las Vegas
Media - Records
Maintained In
Microfiche
Paper and
Magnetic Tapes
Paper
Paper (Computer
Printouts) and
Magnetic Tapes
Paper
Method of Protection
Keep microfiche
copies at Federal
Records Center
Transfer
Frequency
31 Mar.
30 Jun.
30 Sep.
31 Dec.
Keep copies and
tapes at Region 9
alternate site
Keep copies at
Region 9 alternate
site
Keep copies at.
Region 9 alternate
site
Keep copies at
Region 9 alternate
site
*Annually
*Annually
*Annually
*Annually
Alternate Site
Disposition Instructions
Retain permanently.
Maintain current; dispose
of superseded records as
indicated on transmittal
form
Maintain current; dispose
of superseded records as
indicated on transmittal
form
Maintain current; dispose
of superseded records as
indicated on transmittal
form
Maintain current; dispose
of superseded records as
indicated on transmittal
form
r~»
u.,
c
i
•o-
01
M
M
•rH
-------
RECORDS MANAGEMENT MANUAL 2160 CHG 1
1/6/86
IDENTIFYING VITAL RECORDS
When selecting emergency operating records is consideration
given to:
1. The types of information needed by EPA during an emergency?
2. The value of the records in meeting this need?
3. The availability of this information elsewhere?
When selecting legal rights and interests records is considera-
tion given to:
1.. The question of what rights and interests require the
Agency's protection?
2. Vne vaJ :e of the records in protecting those rights and
intere: cs?
3. The availability of this information elsewhere?
4. Do these rights and interests records include records of
debts owed to the Government but not of those owed by the
Governnient ?
5. Do they exclude records supporting legal rights that can
be reestablished through affidavit and are well known to
those involved?
5. Do they exclude records that are duplicated, as a matter
of standard practice, by local governments?
7. If the same records are needed for both emergency operat-
ing and legal rights and interests purposes, are they
either designated as emergency operating records and
handled accordingly or designated as both types and after
duplication stored separately?
8. Does your office designate for vital records purposes only
the minimum volume of records consistent with the program's
objectives?
Figure 4-2
-------
RECORDS MANAGEMENT MANUAL
2160 CHG 1
1/6/86
VITAL RECORDS TRANSMITTAL
(See instructions on reverse)
1. ACCESSION NO. (To t>«
t>r Alimmuia
R9-85-001
2. TO {Anm ollomata mita)
I.PA Region 9 Alternate Site
3. FROM (Nmm» at Vitml Ktcordi Otllemr, *ddr* <*. tip ood*. fi
Robert A. Jones
Region 9 - Water Management Division
U.S. Environmental Protection Agency
'.•/ashingfnn , D . T .
4. SECURITY CLASSIFICATION AND/OR RESTRICTION ON USE OF RECORDS (II iny>
N/A
J sox NO.
SUBJECT/DESCRIPTION OF RECORDS AND OATEIS)
35. 6
j
1
5
3
I
\
I
0
Inventory of Public Water Supplies
1 master magnetic tapes, Jul. - Dec. 1984
Inventory of Public Water Supplies
System Oocumentat ion, 19R4
SAMP
•
.
ACTION
CODE*
7.
RP
A
••
{
SITE MAINTENANCE AND
DISPOSITION INSTRUCTIONS
— S.
Retain until updated
Retain until updated
E;
9. PREPARED BY (Typed Nmme *nd Title) IO. SIGNATURE 11. DATE
bert A. Jones ^/ ( -f- ..'', .,' ^TVl>
;al Records Officer ' * ' *" ' . —
RECEIPT ACKNOWLEDGMENT 1 To br completed bv alternate lite personnel)
12. RECORDS RECEIVED BY (Typed Name mnd Tlllt) 13. SIGNATURE 14.OATE
. — f ^~ (• -^J
John E. Smith 1 &J^r^, £ . ^&m+^L*^
EPA Form 134
-------
RECORDS MANAGEMENT MANUAL
INSTRUCTIONS
2160 CHG 1
1/6/86
VITAL RECORDS OFFICERS
Prepare this form in original and two copies when requesting the addition, withdrawal, and/or disposal of
the vital records stored at the area alternate site. Complete Hems 2 thru 11. Forward original and one copy,
accompanied by pertinent records to the appropriate alternate site representative. Retain one copy in the sus-
pense file until the original copy (signed by the alternate site representative) is returned.
ALTERNATE SITE REPRESENTATIVES
Alternate rite representatives will enter accession number in Item 1, complete Items 12 thru 14, retain one
copy of the form and return the original form to the Vital Records Officer listed in Item 3.
ITEM
1-4
5
6
7
9-11
i2-14
Self-explanatory.
Enter each box number adjacent to the list of its contents.
Enter the title, subject, description and date or inclusive dates of the item.
Enter -propriate code to indicate action desired. "A" indicates that a new record is forwarded
for insertion into the file. "RM" indicates that a record is to be removed from the existing vital
.icords file with no replacement. "RP" indicates that the record being forwarded replaces an
existing record in the vital records file.
Enter instructions that alternate personnel are requested to carry out regarding maintenance of
each record (i.e., retain permanently; return superseded record to the sender for destruction; re-
tain until updated revision is received).
Completed by Vital Records Officers.
Completed by Records Alternate Site Personnel.
Figure 4-3 (2 of 2)
EPA Form 134O-1 (R«r.
-------
5 - FILING EQUIPMENT
& SUPPLIES
-------
RECORDS MANAGEMENT 2160
7/13/84
CHAPTER 5 - FILING EQUIPMENT AND SUPPLIES
Table of Contents
PARAGRAPH . PARAGRAPH
TITLES NUMBERS
Purpose 1
Policy 2
Standard Filing Equipment iis4ss = .. 3
Powered or Other Mechanized Filing Equipment 4
Utilization Standards for Filing Equipment 5
Requests for Filing Equipment 6
Standard Filing Supplies 7
File Folders 8
Folder Labels 9
Guide Cards 10
Ordering Filing Supplies 11
Figure 5-1. Checklist for Determining Need for Filing Equipment
Figure 5-2. Procurement Request/Requisition
Figure 5-3. Labor Services Request
-------
RECORDS MANAGEMENT ' • 2160
7/13/84
1. PURPOSE. This Chapter prescribes criteria and procedures for the
acquisition of filing equipment and supplies.
2. POLICY. Filing equipment and supplies acquired for use within the
Agency will be the most economical possible to meet filing requirements.
Filing equipment is not to be requested solely to improve appearance, office
decor, status elevation, nor because of a desire for the latest design.
Letter-size equipment will be used unless there is a requirement for legal-
size. Used or reconditioned equipment will be used when available. As
equipment becomes excess to local needs, it must be turned into the Property
office for further disposition.
3. STANDARD FILING EQUIPMENT.
a. General Requirements. Standard equipment listed in the GSA Stores
Stock Catalog and/or the Federal Supply Schedules should be used in preference
to nonstandard items, unless there is a requirement for a special files
operation. Letter-size equipment should be used in lieu of legal-size
equipment because:
(1) Legal-size file cabinets cost 13 percent more than the letter-
size for the upright variety and 28 percent more for the mobile or hanging
file cabinets.
(2) Legal-size file cabinets require 16 percent more floor space
than letter-size cabinets.
(3) Supplies for legal-size equipment costs more than letter-size
equipment. .
(4) Inactive legal-size files require 20 percent more space in
Federal Records Centers than do letter-size files.
b. The five-drawer letter-size filing cabinet should be used for most
smaller files operations.
c. Shelf Files. Shelf filing equipment costs less than file cabinets,
requires less space, and permits ease of filing operations. Standard shelf
filing may be more appropriate than filing cabinets for records that are
alphabetically or numerically arranged, such as case or project files.
Shelf filing should be used when records total 50 cubic feet or more and
when:
(1.) The purchase of new filing equipment is contemplated.
5-1
-------
RECORDS MANAGEMENT 2160
7/13/84
(2) Additional space for filing operations is required and.only a
limited amount of space is available.
(3) The filing station is in a relative permanent location.
d. Security Files. Classified documents and material are to be stored
in security equipment as authorized by the Security office.
4. POWERED OR OIHER MECHANIZED FILING EQUIPMENT.
a. Mechanized filing equipment is only to be utilized in EPA when
there is a result in savings over the use of standard filing equipment.
The savings must exceed the difference between the cost of standard and
mechanized equipment, prorated over a three-year period. A cost analysis
should be done to determine the savings. The cost analysis should cover
issues such as:
(1) Staff. The number of positions that can be freed for other
purposes, either existing or budgeted.
(2) Space. The amount of space saved through the use of the
mechanized equipment and how it may be used for other program requirements.
(3) Work Production. To determine if the workload will increase.
(4) Maintenance Costs. The cost of maintaining the equipment on a
yearly basis.
b. Factors to consider when planning use of mechanized filing equipment.
(1) The system for which the equipment is used must be well
established and not subject to frequent change due to reorganization,
relocation, or other changes.
(2) Operation of the equipment is limited to one person.
(3) The equipment must be installed in a suitable location away
from ceiling lights, and heat and air conditioning vents.
(4) Adequate .floor space must be available.
(5) The weight of the equipment including the records may make it
necessary to reinforce the floor. Adequate electrical current must be
available to safely operate the equipment. Check the floor load capacity
and the electrical current with the building engineer or with some competent
authority in the Agency.
5-2
-------
RECORDS MANAGEMENT 2?.60
7/13/84
(6) Adequate maintenance and repair arrangements must be made.
5. UTILIZATION STANDARDS FOR FILING EQUIPMENT.
a. Dispose of all records that have been authorized for disposition by
the Archivist of the United States, in accordance with EPA Records Control
Schedules.
b. Remove office supplies, blank forms, publications, and other
nonrecord material from filing cabinets to more suitable storage equipment.
c. Transfer to the Federal Records Centers, or approved Agency holding
areas (to the extent that facilities are made available), inactive records
not needed in daily business but not yet ready for disposal,-when filing
equipment can be released by such action.
d. Review records to determine if they can be microfilmed in accordance
with Chapter 6, Records Management Manual. (Consult Records Officer for
more information.)
e. Use filing cabinets with locks only when they are required by
special needs which cannot be satisfied by less expensive equipment.
f. Use letter-size filing cabinets instead of legal-size.
g. Use five-drawer filing cabinets whenever available in lieu of four-
drawer cabinets.
6. REQUESTS FOR FILING EQUIPMENT. A Checklist for Determining Need for
Filing Equipment, Figure 5-1, has been included as an aid to assist personnel
in determining the need for equipment.
a. Requests for New Filing Cabinets.
(1) The requesting office must complete EPA Form 1900-8, Procure-
ment Request/Requisition, Figure 5-2, including a statement justifying the
purchase of the new filing equipment and a certification that the criteria
specified in Chapter 5 of the Records Management Manual has been complied
with. Each request for mechanized filing equipment must be accompanied
with complete justification for need and use and a cost analysis which
describe the savings or benefits that may result. The requesting office
should submit the request through normal channels to the appropriate Records
Management Officer.
(2) The Records Management Officer will evaluate the request and
determine if the file equipment is necessary based on information furnished.
Requests which are not approved will be returned to the originating office
with an appropriate explanation and recommendation.
5-3
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RECORDS MANAGEMENT 2160
7/1V84
(3) The appropriate Property Accountable Officer will certify all
requests as to the availability of excess equipment.
(4) Requests for security cabinets will be approved by the Security
Staff at Headquarters, or the designated Security Officer in the Field.
b. Requests for Used Filing Equipment.
(1) Requests for used equipment require the sane utilization
standards and justification as new equipment. In additionf Headquarters
offices trust complete EPA Headquarters Form 5100-2, Labor fierviow Request,
Figure 5-3.
(2) The Local Records Management Officer will evaluate the request
and determine if the file equipment is necessary based on the information
furnished. Requests which are not approved will be returned to the
originating office with an appropriate explanation and recommendation.
7. STANDARD FILING SUPPLIES. The use of standard types of file folders,
guides, and labels will provide for neat and orderly files. Standardization
of files supplies provide for interchangeability, lower costs through
quantity purchasing, simplified stocking, and uniform appearance. Standard
filing supplies are available from the GSA Catalog.
8. FILE FOLDERS.
a. Kraft Folders. Kraft folders should meet the majority of filing
requirements since most records are current for a relatively short period
before they are retired or destroyed. The standard kraft folder is 11
point, flat type, bottom scored for 3/4 inch expansion, reinforced self
tab, and square cut.
(1) Drawer Files.
(a) Letter size: NSN 7530-00-663-0031, 9 1/2" x 11 3/4".
(b) Legal size: NSN 7530-00-200-0031, 9 1/2" x 14 3/4".
(c) Letter size with built-in 1 5/8" prong fastener: NSN
7530-889-3555, 9 1/2" x 11 3/4".
(d) Legal size with built-in 1 5/8" prong fastener: NSN
7530-00-559-4512, 9 1/2" x 14 3/4".
5-4
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RECORDS MANAGEMENT . 2160
7/13/84
(2) Shelf Files.
(a) Letter size: NSN 7530-00-881-2957, 9 1/2" x 11 3/4".
(b) Legal size: NSN 7530-00-926-8975, 9 1/2" x 14 3/4".
(c) Letter size with built-in 1 5/8" prong fastener: NSN
7530-00-926-8974.
(d) Legal size with built-in 1 5/8" prong fastener: NSN
7530-00-926-8976.
b. Pressboard Polders. Pressboard folders are reccranended for case
and project files when the kraft folders will not withstand the added volume
and/or use. The standard pressboard folders are flat-cut, one-inch expansion,
with self-tabs, 1 5/8" prong fasteners, and square cut.
(1) Drawer Files.
(a) Letter size: NSN 7530-00-926-8981, 9 1/2" x 11 3/4".
(b) Legal size: NSN 7530-00-926-8982, 9 1/2" x 11 3/4".
(c) Special pressboard binder folders are recornnended for case
files such as grant case files. These folders have two kraft inner dividers
with six built-in, two prong fasteners so that papers may be arranged by
type. NSN 7530-00-990-8884. '
(2) Shelf Files.
(a) Letter size: NSN 7530-00-926-8983, 9 1/2" x 11 3/4".
(b) Legal size: NSN 7530-00-926-8984, 9 1/2" x 14 3/4".
9. FOLDER LABELS. Use folder labels to place captions.on the folder tab
in a neat, uniform, and legible manner. Pressure-sensitive labels which
require no water, solvent, or heat to apply are recommended. They may be
fed directly into .a typewriter or run on automatic equipment. Labels are
3 1/2" x 5/8". and are available in plain white or with a 3/32" wide
identification strip in various colors (NSN 7530-00-577-4376).
10. GUIDE CARDS. File guides make files more usable, however too many
guides will hinder files maintenance and operation. Guides serve to index
files, especially correspondence files, and support the folders.
5-5
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RECORDS MANAGEMENT 216O
7/13/84
a. Drawer Files. Press board, one-third cut, angular metal tab,
without lower projection, all positions.
(1) Letter size: NSN 7530-00-989-0692
(2) Legal size: NSN 7530-00-989-0694
, b. Shelf Files. Pressboard, one-third cut, center position, with
straight black steel tabs and metal shelf hooks oh opposite edge.
(1) Letter size: NSN 7530-00-989-0184
(2) Legal size: NSN 7530-00-989-2425
11. ORDERING FILING SUPPLIES. The standard filing supplies cited in
paragraphs 8,9, and 10 should be obtained through normal supply channels.
5-6
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RECORDS MANAGEMENT 2160
7/1V84
CHECKLIST FDR DETERMINING NEED FDR FILING EQUIPMENT
This checklist is an aid to assist you in determining need for additional
filing equipment. Check either yes or no to the following questions.
Yes No
1. Have inactive records been retired to the Federal
Records Center in accordance with EPA Records Control
Schedules?
2. Has disposition of temporary records not authorized
for retirement to a Federal Records Center been
accomplished in accordance with EPA Records Control
Schedules?
3. Have records been reviewed to determine if they
should be microfilmed? (See Records Management
Manual, Chapter 6.)
4. Are all file containers being fully utilized at
present, including all top and bottom drawers?
5. Have extraneous items such as supplies, personal
property, and decorations been removed fron files?
6. Has filing equipment within each office been
surveyed to determine whether existing equipment
can be transferred to the office requesting the
equipment?
7. Can bar locks be installed on existing file
cabinets so that they meet security storage
requirement? (Contact Security Officer.)
8. Is this request for filing equipment being made in
an effort to improve appearance, office decor, or
for some similar reason?
Figure 5-1
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RECORDS ''AMAGEMEyi
(Shaded areas are for use of procurment office
-160 7/13/84
rage 01
US ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. DC 2O*60
PROCUREMENT
REQUEST/ORDER
,. SIGNATURE OF ORIGINATOR
1 8. DELIVER TO (Protect Manager/ 9 ADC
12. FINANCIAL DATA
(a) APPROPRIATION
0
(blf) 3 digits! (cl
-
1. NAME OF ORIGINATOR
Bob Franklin
3 MAIL CODE
^-52 "
JRESS
4. TELEPHONE NUMBER
382-5793
7. RECOMMENDED PROCUREMENT
1 — 1 Comoeniive 1 1 Noncomoewiv*
10. MAIL CODE
2. DATE OF REQUISITION
May 14, 1984
5. DATE ITEM REQUIRED
ASAP
METHOD
11. TELEPHONE NUMBER
NOTE: ITEM 12 (c) DOCUMENT TYPE— CONTRACT = "C
ORDER = "P." IGA = "A." OTHER (Misc.) = "X"
DOCUMENT
)NTROL NUMBER
(dl 16 dignsi
1 3. SUGGESTED SOURCE (Name. Address. ZIP Code. Phone/Contac
D. N. Owens Company
2215 M Street, NW.
T,T_ „>,,• „,-,»- 0_, n r ?n07~'
ACCOUNT NUMBER
le] (10 digits/
t, 14. AMOUNT OF MOh
COMMITTED IS:
O ORIGINAL
O INCREASE
O DECREASE
IEY
OBJECT
HI 14 digritl
" PURCHASE
AMOUNT (g)
DOLLARS
CTS
15. CONTRACTING OFFICE Q IS D IS NOT AUTHOR-
IZED TO EXCEED AMOUNT SHOWN BY 10%
16. SERVICING FINANCE OFFICE NUMBER
17. APPROVALS
a. BRANCH/OFFICE
John Forest
b. DIVISION/OFFICE
RnhpTf' Ynwp T 1
c. FUNDS LISTED ABOVE ARE AVAILABLE AN
RESERVED Bob Franklin
DATE
DATE
0 DATE
d. PROPERTY MANAGEMENT OFFICER/DESIGNEE
e. OTHER (Specify)
e. OTHER ISpecffyl
DATE
DATE
DATE
Lateral File Cabinet - Type IV - Five
tiers high, style D - four shelves over
one drawer, model 1 - without laminated
plastic too, Size 2 - 42" wide. 18"
deeo. 64 V4" hi«»h. color black.
JUSTIFICATION: File cabinets are needed
to house'RCRA regulations which are
currently being stored in boxes.
CERTIFICATION: This certifies that all
requirements of Chapter 5 of the
Records Management Manual have been met.
ea.
TOTAL »
28 UNITED STATES OF AMERICA
BY (Signature/
29. TYPED NAME AND TITLE OF CONTRACTING OFFICER
EPA Form 1900-C (Rev
f. 84| Replaces pievious editions Figure 5 — 2 ,._.M.. —..... — .I—
and EPA Form 1 900-8T. which are obsolete COPY 1 PROCUREMENT FILE/CONTRACTING OFFICER
-------
Zlr'O
7/13/84
LABOR SERVICES REQUEST
iNOTe: Your Administratjvt Officer mull tign mis rfauesr wnert inaicma otiore n an Of orocaa»a.t
AGENCY P.O. NUMBER lOfftCIOt UK
ontyi
NAME OP REQUESTOR
ROOM NO. (TELEPHONE NO. :MAILCODE
i *V, ? I ^OT_Q1 OA I t v»rj / i "
DATE
i ^ •" oa/,
SERVICE REQUESTED
J OEL.I VER Y LJ MOVE Mt'ocn rtlocodon uoriuncrr;
OTHER iSptcify):
COMPLETE DESCRIPTION Of LABOR SERVICES TO BE ACCOMPLISHED
Deliver from warehouse a five drawer letter size file cabinet to Room 342, WSMW.
JUSTIFICATION: Filing cabinet is needed to house data from industries study program.
Data and records are currently being housed in boxes which are creating a safety
hazard.
CERTIFICATION: This certifies that all requirements of Chapter 5 of the Records
Management Manual have, been met.
APPROVAL SIGNATURES
PROGRAM ADMINISTRATIVE OFFICER
PROPERTY MANAGEMENT
FUND CERTIFICATION FOR MOVES
APPROPRIATION
ACCOUNT NUMBER
DOLLAR AMOUNT
2526
/ certify that funds are available.
SIGNATURE Or COMMITMENT CLERK
ACTION TAKEN
TIME
ACTION
DATE
TIME
LABORERS DISPATCHED
ARRIVED ON JOB
LABORERS RETURNED
JOB COMPLETED
FOREMAN'S SIGNATURE
CUSTOMER'S SIGNATURE
EPA Hq Form 5100-2 (R»v. 12-80) PREVIOUS EDITION MAY BE USED
Figure 5-3
COPY DISTRIBUTION:
Origiutor, luorm tnree cooies to Prop-
erty Office: retun nit copy for your
recorcta.
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6 - MICROGRAPHIC
MANAGEMENT
-------
RECORDS MANAGEMENT . *":''
-/13/S4
CHAPTER 6 - MICROGRAPHIC MANAGEMENT - SOURCE DOCUMENT SYSTEMS
Table of Contents
PARAGRAPH PARAGRAPH
TITLES NUMBERS
Purpose 1
Policy 2
Objectives 3
Responsibility 4
Definitions 5
Protection of Permanent Microform Records 6
Records Control Schedules - Microform Records 7
Film Tests 3
Inspection of Master Films that Replace Paper Records 9
Periodic Review of Micrographic Systems 10
Preliminary Determination 11
Project Justification •. 12
Project Review of New Source Document Micrographic System 13
Procedures for Purchase/Lease of Source Document Microfilm '
Equipment or Contracts with Service Bureaus 14
Figure 6-1. Standards and Guidelines for the Maintenance of
Microform Records
Figure 6-2. Standards for Film Tests
Appendix A. Feasibility Study for New Source Document
Micrographic System - Cost-Benefit Analysis
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RECORDS MANAGEMENT 2160
7/13/84
CHAPTER 6 - MIC3OGPAPHIC MANAGEMENT - SOURCE DOCUMENT SYSTEMS
1. PURPOSE. The purpose of this Chapter is to establish the Agency source
document micrographics program as required by the Federal Property Management
Regulations. This Chapter provides Agency policy and procedures for all
source document micrographic systems. NOTE: Micrographic systems involving
the use of Computer Output Microfilm (COM) and other ADP hardware are
excluded from this directive (see Chapter 9 of the AEP Manual).
2. POLICY. Micrographic equipment, services, and systems will be acquired
only when it is determined that the use of such is: (1) technically
feasible, (2) economically beneficial, and (3) administratively desirable.
3. OBJECTIVES. The objectives of the source document micrographic management
program are to:
a. Develop criteria to determine the cost-effectiveness of micrographic
applications over other methods of information storage and retrieval, and
to insure that these methods are applied uniformly throughout the Agency.
b. Provide advice to potential' users of micrographic systems, equipment,
and technological advancements.
c. Review all requisitions for the acquisition of micrographic equipment
or services in EPA.
d. Provide guidance to organizational elements concerning the advisability
of microform production in-house or through contractual arrangements.
e. Develop Agencywide policies to insure that Agency systems are
compatible and that microforms are produced in accordance with acceptable
quality control standards.
f. Establish an inspection program for the review of all operating
systems to insure compliance with the FPMR requirements for creating,
processing, and storing microforms.
g. Maintain an inventory of all micrographic applications/activities
being utilized by the Agency.
4. PF-^PONSIBILITY. Director, Information Management and Services Division
has Agencywide responsibility for accomplishing the objectives outlined in
paragraph 3 with respect to source document applications.
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RECORDS MANAGEMENT 2160
7/13/84
5. DEFINITIONS. For the purpose of this Chapter the following definitions
apply.
a. Archival Microfilm. Archival microfilm is silver halide microfilm
which meets the requirements of:
(1) Federal Standard No. 125 D Film, Photographic, and Film,
Photographic Processed (for permanent use);
(2) American National Standards Institute (ANSI) Standard:
(a) PHI.25 - 1976 Safety Photographic Film, Specifications
for;
(b) PHI.28 - 1976 Photographic Film for Archival Records,
Silver Gelatin Type on Cellulose Ester Base> Specifications for;
(c) PHI.41 - 1976 Photographic Film for Archival Records,
Silver Gelatin Type on Polyster Base, Specifications for.
When tested by ANSI Standard PH4.8 — 1971, Methylene Blue Method for
Measuring Thiosulfate and Silver Densitometric Method for Measuring Residual
Chemicals in Films, Plates, and Papers; and stored in accordance with ANSI
Standard PHI.43 - 1976, Storage of Processed Safety Photcghraphic Film.
b. Microfilm. Microfilm is defined as:
(1) Raw (unexposed and unprocessed) film with characteristics that
make it suitable for use in micrographics;
(2) The process of recording microimages on film; and
(3) A fine grain, high-resolution photographic film containing an
image greatly reduced in size from the original.
c. Microform. A term used for any form containing microimages, for
example microfilm, microfiche, aperture cards, etc.
d. Microform Applications. Any process which reduces any form of
information into a microform medium in which the information (microimages)
is too small to be read without magnification. These applications include
any microfilm which has been produced by filming the paper copies or source
documents of original records. Included are all roll microfilms, microfiche,
micro-jackets, aperature cards, and all other microfilms produced from
original records. Computer output microfilm (COM) is not a source document
application since the film is produced by direct conversion of computer-
generated data rather than by filming of paper records.
6-2
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RECORDS MANAGEMENT ' 2165
7/13/84
e. Micrographics. The science and technology of document and information
microfilming and associated microform systems.
f. Microimage. A unit of information, such as a page of text or a
drawing, that is made too small to read without magnification.
g. Micrographic System. A configuration of equipment and procedures
for the production, reproduction, maintenance, storage, retrieval, display,
or use of microforms.
h. New Micrographic System. A new micrographic system, is any microfilming
project in which the information to be microfilmed has not previously been
maintained in microimage form.
6. PROTECTION OF PERMANENT MICROFORM RECORDS. The original microform
(archival microfilm) must be protected against damage at all times. The
following procedures can be used to insure the protection of original
microform records.
a. Upon completion of the microfilming application and verification of
the information on the microform, the silver halide original (or a silver
halide duplicate microform record created in accordance with FPMR 101-11.506-
3), plus one copy (Silver, diazo, or vesicular) will be transferred to the
National Archives and Records Services; or
b. The originator may elect to maintain the original microform records
in accordance with the approved records control schedules. If these records
are maintained by the Agency, the standards specified in FPMR 101-11.507-1
and Figure 6-1, for storing original microform records, will be complied
with until it is time to transfer the records to NARS or Federal Records
Center in accordance with the approved records control schedule. The
originator will certify that the records are to be maintained in accordance
with the FPMR requirements.
7. RECORDS CONTROL SCHEDULES - MICROFORM RECORDS. Whenever paper records
are converted to microform, a new records control schedule must be developed
even if the paper records are scheduled. All proposed schedules which
describe the disposition of microform records must be submitted to the
Agency Records Management Officer for analysis and forwarding to the U.S.
Archivist.
6-3
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RECORDS MAiNAoc'-'L"-; : 2160
7/13/84
8. FILM TESTS. Organizational elements proposing to microfilm records
will conduct film tests to insur - ':'\at the standards specified in Figure. 6-
2 are carolled with during the microfilming application (see FPMR 101-11.5).
Tests should be conducted periodically during the microfilming application.
Film tests must be forwarded by the originator to the Agency Records
Management Officer. The Records Management Officer will review the tests
to determine if the microfilming adheres to the standards specified in FPMR
101-11.5.
9. INSPECTION OF MASTER FILMS THAT REPLACE PAPER RECORDS. When a micro-
graphic system replaces paper records that are scheduled to be kept ten
years or longer (including permanent records), the master (original)
microforms must be inspected every two years in accordance with FPMR
101-11.5. Guidance can be found in the NARS Handbook, Evaluating Micro-
graphics Management. The system project officer or the local records
officer shall maintain an "inspection log" in a form best suited to local
needs. The local records officer should report major difficulties to the
Agency Records Management Officer.
10. PERIODIC REVIEW OF MICROGRAPHIC SYSTEMS. A periodic review of all
operating microcraphic systems will be conducted by the local records
officer. The purpose of the review is to determine if each system is
relevant to the program's current needs and remains in conformance with the
FPMR requirements for creating, processing, and storing microforms. Guidance
can be found in the NARS Handbook, Evaluating Micrographics Management.
The local records officer must maintain a "review log" in form best suited
to local needs. The local records officer should report major difficulties
to the Agency Records Management Officer.
11. PRELIMINARY DETERMINATION. use of microforms in EPA requires thorough
analysis and planning within the framework of the Agency's records/information
program. Records/information management procedures frequently offer more
simple and economical solutions to information storage and retrieval problems
than do micrographics. These procedures include:
a. Outright destruction of the records;
b. Retirement of semi-active and inactive files to a Federal Records
Center or storage or holding area;
c. Improved methods of maintaining the records, such as better
classification, indexing, purging superfluous or duplicate material, or
other filing practices; and
6-4
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RECORDS MANAGEMENT • 2160
7 -'13/84
d. Establishing controls over the creation of records.
12. PROJECT JUSTIFICATION. If the procedures outlined in paragraph 11 do
not represent adequate or appropriate solutions to an information storage
and retrieval problem, a micrcgraphic system may be justified under one of
the following categories:
a. Archival. Microfilming is often justified as a means of preservation
for records having permanent administrative, legal, fiscal, or historical
value. Preservation by microfilming might be justified if records are
deteriorating, fading, becoming brittle, or becoming mutilated through
constant use. Also, microfilming might be justified to insure file integrity
if out-of-life materials are frequently lost or otherwise not returned to
the file.
b. Security. Microfilming may be justified to insure the protection
of records that are vital to continued operations in the event of a national
emergency, major natural disaster, or other catastrophe. Security microfilming
may also be justified to provide security to records which safeguard the
rights and interests of individual citizens or the Government. Microfilming
for this purpose would not usually be justified if copies of the documentation
already exist in alternate locations.
c. System Improvement. Microfilming may sometimes be justified if it
can be demonstrated conclusively that substantial benefits will, be achieved
over the cost incurred by the conventional system. Although it is sometimes
cost-effective to microfilm active records, it is generally uneconomical to
microfilm records which may be destroyed or retired to a Federal Records
Center within 10 years or less. Microfilming for system improvement may be
justified to effect reduction in cost or time of work operations; save
large scale repetitive operations from being performed; expedite the work
flow; provide multiple, low-cost copies in systems where multiple users
require access to a file; reduce the requirements for supplies, equipment,
and space; reduce retrieval time; reduce duplication and mailing costs; or
insure file integrity.
d. Centralized or Decentralized Information Sources. Microfilming
may sometimes be justified to establish a central information point when
the sources come from many locations; or conversely, a micrcgraphic system
may be justified to provide a means of convenient dispersal of large amounts
of information to decentralized points, such as field office locations.
Savings from duplication and mailing of paper records can sometimes be
substantial. . Microfilming proposals for this purpose must be supported by
proven benefits.
6-5
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RECORDS MANAGEMENT 2160
7/13/84
13. PROJECT REVIEW OF NEW SOURCE DOCUMENT MICROGRAPHIC SYSTEM.
a. A Headquarters or field organizational element who has identified
an area where conversion to a micrographic system might improve the
information storage and retrieval system should submit a written proposal
to the Agency Records Management Officer (PM-211D). The Agency Records
Management Officer will review the proposal and advise the organizational
element concerning the technical feasibility and cost-effectiveness of the
proposed new system. This procedure applies to all proposed projects in
which the information to be microfilmed has not previously been maintained
in microimage form.
b. The organizational element initiating a proposal for a new
micrographic system must conduct a feasibility study which includes a cost-
benefit analysis following the guidelines shown in Appendix A, Feasibility
Study for New Source Document Micrographic System. The feasibility study
is an essential part of the project planning and evaluation process, and is
required as supporting documentation for the Procurement Request/Requisition,
EPA Form 1900-8 , for all new micrographic systems in subparagraph 14c below.
NOTE: No proposed source document micrographic system will be approved
unless a feasibility study has been done which clearly documents and
justifies the need for the system. All requests received which do not
include a feasibility study will be returned to the originator immediately
with a memo explaining that a feasibility study is to be done in accordance
with Appendix 6-A.
14 . PROCEDURES FOR PURCHASE/LEASE OF SOURCE DOaMBTC' MICROFIIM EQUIPMENT
OR CONTRACTS WITH SERVICE BUREAUS.
a. The requesting office must complete EPA Form 1900-8, Procurement
Request/Requisition and submit the request through normal channels to the
Agency Records Management Officer (PM-211D) at Headquarters. This procedure
applies to all procurement requests/requisitions submitted by Headquarters
and field organizational elements, for the purchase or initial lease of all
source document microfilm equipment and for the production of microfilm by
contracts with service bureaus. It excludes supplies needed to operate an
ongoing system, such as film stock, printing paper, chemicals, and the
like.
b. All requests for purchase or lease of the equipment or contract
for service must be accompained by a justification.
c. If the procurement request/requisition is to support a new source
document micrographic system (defined as a project in which a service
contract or equipment is requested to film a group of previously unfilmed
records), it must be accompained by a feasibility study showing the
6-6
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?.160
RECORDS MANAGEMENT "-'13/34
information required in Appendix 6-A (see subparagraph 13 b). Copies of
any other feasibility studies that have been conducted by a consultant or
contractor in the course of the project planning should be forwarded to the
Agency Records Management Officer along with the procurement request/requisition
and justification statement.
d. The procurement request/requisition must also include a "standard
quality control clause" stating that the standards specified in FPMR 101-
11.5 will be conplied with when contracting with a service bureau to
microfilm EPA records. The following standard quality control clause is to
be included in all. requests for micrographic services or systems.
The microfilming application of EPA records must meet the
requirements specified in Federal Property Management
Regulation 101-11.5, Micrographics, in terms of: (1) Film
stock used, (2) indexes or registers, (3) resolution,
(4) density, (5) microforms and formats, and (6) microfilm
duplicating. The service bureau must keep a log of the
resolution and density tests. Spot checks will be made by
the local Records Management Officer during the microfilm-
ing application.
6-7
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RECORDS MANAGEMENT
CHAPTER 6 - MIG5QGRAPHIC MANAGEMENT - SOURCE DOCUMENT SYSTEMS
Standards and Guidelines for the Maintenance of Microform Records
I. Microforms stored in roll form must be wound on cores of reels made of
ncncorroding materials such a nonferrous metals or inert plastics. Other
metals may be used provided that they are coated with a corrosion-resistant
finish. Plastics and coated metals that may exude fumes during storage must
not be used. Rubber bands must not be used for confining film on reels or
cores. If paper bands are used, the paper must meet the specifications of
ANSI PHI.53 - 1978.
2. Storage containers for microforms mist be nade of inert materials.
such as metal or plastic. Containers made of paper products should be
avoided unless the conditions prescribed in ?£&! Standard PHI.53 - 1978
are met. The containers must be closed to protect the microforms from
•environmental impurities and improper humidities.
3. Storage rooms or vaults for archival microforms must be fire-resistant
and not be used for other purposes such as storage of other materials,
office space, or working areas. The National Fire Protection Association
(NFPA) publication NFPA 232, Protection of Records, 1970, provides further
guidance. Protection from damage by water will be accomplished by storing
permanent record microforms above reasonably anticipated flood stages.
4. Environmental conditions required.
a. The relative humidity of the storage room or vault must range 20
to 40 percent with an optimum of 30 percent. Rapid and wide-range humidity
changes must be avoided and not exceed a 5 percent change in a 24-hour
period.
b. Temperature must not exceed 70 F. Rapid and wide-range temperature
changes must be avoided and not exceed a 5 percent change in a 24-hour period.
A storage temperature of 35 F or below must be used for color film.
c. Solid particles, which may abrade film or react with the images,
must be removed by mechanical filters from air supplied to housing or
rooms used for archival storage. The mechanical filters are preferably
of dry media type having an arrestance or cleaning efficiency of not less
than 85 percent as determined by the stain test described in ASHRAE
Standard 52-68(11) .
d. Gaseous impurities such as peroxides, oxidizing agents, sulphur
dioxide, hydrogen sulfide, and others which cause deterioration of
microforms must be removed from the air by suitable washers or absorbers.
Archival microforms must not be stored in the same room with nonsilver
gelatin films. They also must not be stored in another room using the
same ventilation system because gases given off by the other films may
damage or destroy the images on the silver archival films.
Figure 6-1. Standards and Guidelines for the Maintenance of Microform Records
-------
RECORDS MANAGEMENT - ' 7/13/S4
CHAPTER 6 - MICPCGRAPHIC MANAGEMENT - SOURCE DOCUMENT SYSTEMS
Standards for Film Tests
I. Microforms of permanent records planned for the purpose of disposal of
the original must be processed so that the residual thiosuifate ion con-
centration will not exceed 0.7 microcram per square centimeter in a clear
area. Program Offices or services that conduct tests for Program Offices
must rneet this requirement by performing the methylene blue test specified
in ANSI PH4.8 - 1971.
2. If the processing is to be of the reversal type, it must be full
photographic reversal, i.e., develop, bleach, expose, develop, fix, and
wash.
3. The method for determining minimum resolution on microforms of source
documents must conform to the Quality Index Method of determining resolution
and anticipated losses when duplicating as described in the National Micro-
graphics Association (NMA) Recommended Practice MS104.
a. For permanent records, a Quality Index of five is required at the
third generation level.
b. For nonpermanent records, a Quality Index of five is required at
the level of the specific number of generations used in the system.
c. Resolution tests will be performed using the NBS IQlOa Microcopy
Resolution Test Chart and the patterns will be read following the instruc-
tions provided with the chart.
d. The character used to determine the height used in the Quality
Index formula will be the smallest character used to display record
information.
4. The background photographic densities on microforms must be appropriate
to the type of documents being filmed. Recommended background densities
are as follows:
Background
Classification Description of Documents Density
Group 1 High-quality printed books, periodicals, 1.30-1.50
and dense typing
Group 2 Fine-line originals, letters typed with 1.15-1.40
a worn ribbon, pencil writing with a
soft lead, and documents with small
printing.
Group 3 Pencil drawings, faded printing, graph 1.00-1.20
paper with pale, fine colored lines,
and very small printing such as
footnotes.
Group 4 Very week pencil manuscripts and draw- 0.90-1.10
ings, and poorly printed, faint
documents. .
Group 5 Computer output microfilm (COM) 1.50-2.00
The procedure for density measurement is described in NMA Recommended
Practice MS 104 - 1972.
Ficure 6-2. Standards for Film Tests
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RECORDS MANAGEMENT 216°
' 7/13/84
.APPENDIX A - FEASIBILITY STUDY FOR NEW SOURCE DOCUMENT MICPOGRAPHIC SYSTSM-
COST-3ENEFIT ANALYSIS
I.' GENERAL CAIA.
As required in subparagraph 14c of Chapter 6, if equipment or service
is requisitioned to support a "new source document micrographic system"
(defined as a project in which a service contract or equipment is requested
to film a group of previously unfilmed records), the Procurement Request/
Requisition, EPA Form 1900-8 must be accompanied by a feasibility study to
serve as supporting documentation. Ttie following information must be
included:
a. Project Justification. Write a brief narrative statement indicating
the purpose of microfilming, i.e., archival, for security, for system
improvement, to decentralize information source, etc. Summarize advantages
of miniaturization over other methods of information storage and retrieval.
b. Name of Records Series. List the name of each file or group of
records that you wish to microfilm. Include the inclusive dates of each
file and a brief description of the record content.
c. Use or Value of Records. How are the records used and what value
do they have; i.e., administrative value, legal value, fiscal value,
historical value? If administrative value, what administrative purpose do
the records serve? If historical, what research value do the records have?
If legal, what legal proceedings might the records be used in? What is
their evidentiary value and what measures will be taken to insure that the
filmed records will be admissible as evidence? Will the filmed records be
subject to audit?
d. Open or Closed Files. Is future interfiling necessary? Will
updates or annotations ever have to be made to the filmed record?
e. Disposition of Original Records. List the records control schedule
and item number of each file or group of records you wish to film. If
records are unscheduled, what disposition is proposed for the original
records after filming?
f. Arrangement of Records. How is each file" arranged? Numerical,
alphabetical, chronological, or a combination of arrangements? Is re-
arrangement necessary prior to microfilming?
g. Physical Characteristics of Records. List size and color of papers.
Are any oversized documents in the file? Carbon copies? Is information on
one or two sides of the paper? Are there numerous fasteners such as staples
and paper clips? Are the records in bound volumes?
6-A-l
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RECORDS MANAGMENT 2160
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h. Volume of Records. List volucre (in cubic feet) of each file you
wish to film. What percentage is active, inactive, backlog? What percentage
must be purged before filming? What is the rate of file growth each month?
i. Inage Production and Duplication. What type of camera film do you
plan to use and what is its thickness and width? What kind of duplicating
film? What reduction ratio? What image orientation and film format?
j. Film Distribution Requirements. How many copies of the film will
be made? Will the film copies be distributed to other offices or to the
public? If so, describe the distribution requirements.
k. Quality Control Procedures. What measures will be taken to insure
that the file produced is of acceptable quality? Dees the film need to
conform to standards of archival quality? List proofreading and testing
procedures and standards to be used.
1. Retrieval System. Describe the retrieval system that will be
necessary to make references to the information on film. How will the
information be arranged and indexed on the film to allow retrieval? What
type of external index must be created? Will ADP equipment be used?
m. Reference Activity. What is the number of times per day each file
must be referenced? What is the purpose and nature of these film references?
Will this reference activity be evenly distributed over a given period of
time or will it occur in "spurts"? How much time is needed to fill each
reference? Will extracted data from a filmed record satisfy reference
demands or is the entire record needed? Are hard copy prints from the film
needed? If so, by whom? What percentage of the film references will
require prints? Is-retrieval or viewing equipment to be located in remote
stations?
n. Filing Equipment and Space Occupied. List number of type of filing
cabinets that will be cleared and made available for re-use by the filming
project. Hew much floor space (in square feet) do they" occupy?
o. Cost of Project. Estimated cost of project, including equipment
and filming supplies. List and describe each piece of equipment, in
paragraph 2, cost-benefit analysis. Include make and model numbers.
Include estimate of costs savings in personnel, work facilitation, etc.
Assistance or advice in answering these questions may be obtained from the
Records Management Staff, Information Management and Services Division.
6-A-2
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RECORDS MANAGEMENT 2150
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2. COST- BENEFIT .-2
a. Purpose. The purpose of the cost-benefit analysis is to:
(1) Systematically examine the alternatives for accomplishing an
oojective; and
(2) Rank the alternatives according to their benefit to cost
relationship.
b. Elements of a Cost-benefit Analysis. A cost-benefit analysis should
contain the following:
(1) Objectives of the system being considered;
(2) A statenent of the assumptions and constraints used in the
analysis;
(3) Identification of alternatives;
(4) A cost estimate for each feasible alternative;
(5) A lease/purchase analysis
(6) A listing of benefits (outputs) for each feasible alternative;
(7) The savings/investment ratio of alternatives considered, in
order of their respective economic performance.
ELEMENTS OF A OOST- BENEFIT ANALYSIS
OBJECTIVES
A clear statement of the objective of a system is essential to the
analysis. If there is more than one objective, the priorities must also be
stated. A major objective must be:
(1) Measurable or quantifiable,
(2) Realistic and achievable, and
(3) Output or results oriented.
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RECORDS MANAGEMENT
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STATEMENT OF ASSUMPTIONS AND CONSTRAINTS
Assumptions are always made in the cost-benefit analysis. Assumptions
provide a means for treating unknown or difficult to quantify elements and
are used in performing calculations and reporting study results. All
assumptions in the analysis should be stated as assumptions and the reasons
for using that assumption should be given. Constraints that affect the
scope of the analysis-must be identified, and the reasons given.
IDENTIFICATION. OF ALTERNATIVES
Alternatives may include new procedures, use-of new equipment, and new
ways of obtaining equipment or services. Continuing the present course of
action is almost always one of the alternatives. Those alternatives that
meet the objective and do not violate any of the constraints are considered
feasible.
COST ESTIMATE
The cost-benefit analysis should contain an estimate of all the
anticipated costs directly or indirectly associated with each alternative.
All resources required to achieve the stated objectives should be presented
in dollar terms if possible. The cost of each alternative should be examined
in detail and described in the following cost categories to avoid overlapping
figures:
(1) Nonrecurring costs. The costs occur once during the life cycle
of the system. Nonrecurring costs are usually associated with equipment
that is purchased for a system, but these costs can also cover the cost of
a feasibility study, or the cost of renovating a facility to accommodate
the new system.
(2) Recurring costs. These are costs that occur at seme regular
period of time throughout the life of the system. It might be a monthly
lease cost, a yearly equipment maintenance charge, or the biweekly pay for
personnel. The key is that it occurs on a regular cycle.
Recurring and nonrecurring costs in a micrographic system usually fall
into one of five separate sub-categories. These are:
(1) Equipment. Equipment costs form a large part of the expenditure
for any micrographic system. Equipment may be leased or purchased and most
systems will have a combination of both. Large pieces of equipment are
often leased while readers and other smaller pieces of equipment are
purchased.
6-A-4
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?£COKDS MANAGEMENT 2160
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[2) Supplies. Tu.is sub-category includes a multitude of large and
smaller items that are easily overlooked in an analysis. A reader-printer
needs a regular supply cf paper, and readers use lamps that burn out peri-
odically and have to be replaced. Most of these suppplies will be recurring
costs in a system because they have to be purchased in snail lots on a
regular schedule. All of the film cannot be purchased during the-first
year and qualify as a nonrecurring cost because the film has a more limited
shelf-life than the life of the normal micrcgraphic system. These smaller
items should not be overlooked in your effort to design the overall system.
(3) Personnel. The people that operate your system are definitely a
recurring cost. This cost includes not only salaries, but s«ployee benefits
and training.
(4) Facility. The facility that houses the system adds a recurring
cost to the system. Facility costs include not only the space for equipment,
supplies, and personnel, but also includes the costs for telephones,
overhead, and other support services.
'(5) Other costs. There are many miscellaneous costs that will be
associated with the development of a micrcgraphic system. Nonrecurring
miscellaneous'costs might include the cost of a consultant to assist in the
system design, the one-time cost for training system operators, managers,
and users, or the development and printing of directives and operating
manuals for the system. Other recurring costs that may be encountered in
the system are the monthly or yearly maintenance contracts on equipment
and, of course, the cost of service bureau contracts if the work is to be
performed outside the Agency.
LEASE/PURCHASE ANALYSIS
There are several things to remember as you.conduct a lease/purchase
analysis, one being the subject of equipment maintenance. In most cases,
equipment maintenance is included in the lease, and price, but not in the
purchase price. Accordingly, maintenance costs must be considered in the
purchase of equipment. Another consideration is rental credits. Sane
manufacturers will allow you to apply a percentage of the rental price
toward the purchase of equipment. This percentage usually decreases as the
length of rental increases.
6-A-5
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RECORDS MANAGEMENT 2160
7/13/84
LEASE/PURCHASE ANALYSIS FORMAT
Period of time equipment will be used
PURCHASE PRICE $ a
MAINTENANCE ($ ) X YRS/MOS $ ; b
TOTAL PURCHASE PRICE $ (1) a+b
LEASE PRICE ($ ) X YRS/MOS $ c
MAINTENANCE (S ) X YRS/MOS $ d
(if applicable)
TOTAL LEASE PRICE $ __(2) c+d
LEASE PRICE (S ) X YRS/MOS $ ; e
RENTAL CREDIT % $ f
APPLICABLE RENTAL CREDIT $ g (exf)
PURCHASE PRICE $ a
APPLICABLE RENTAL CREDIT $ \ g
PURCHASE PRICE BALANCE $ h (a-g)
MAINTENANCE (X ) X YRS/MOS $ i
BALANCE OF RENTAL PAID $ j (e-g)
TOTAL LEASE/PURCHASE PRICE $ ; (3) (h+i+j)
Below is an example of a lease/purchase analysis.
6-A-6
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?£CC-RD5 MANAGEMENT "150
"713/34
ANALYSIS A
pericc cf time equipment will be used - 10 yrs.
PURCHASE PRICE S 28,515
MAINTENANCE (S1827/YR) X 10 YRS S 18,270
TOTAL PURCHASE PRICE S 46,785 (1)
LEASE PRICE (S1190/MO) X 120 MOS $142,800
MAINTENANCE ($ ) X YRS/MQS $
TOTAL LEASE PRICE " $142,800 (2)
LEASE PRICE (S1190/MO) X 3 MDS $ 3,570
CENTAL CREDIT 75% $ .75
APPLICABLE RENTAL CREDIT $ 2,677.50 •
PURCHASE PRICE $ 28,515
APPLICABLE RENTAL CREDIT $ 2,677.50
PURCHASE PRICE BALANCE $ 25,837.50
MAINTENANCE ($1827/YR) X 9.75 YRS $ 17,813.25
BALANCE OF RENTAL PAID $ 1,072.50
TOTAL LEASE/PURCHASE PRICE $ 44,723.25 (3)
LEASE PRICE (S1190/MO) X 36 MOS $ 42,840
RENTAL CREDIT 50% $ .50
APPLICABLE RENTAL CREDIT $ 21,420
PURCHASE PRICE $ 28,515
APPLICABLE RENTAL CREDIT $ 21,420
PURCHASE PRICE BALANCE $ 7,095
MAINTENANCE ($1827/YR) X 7 YRS $ 12,789
BALANCE OF RENTAL PAID $ 21,420
TOTAL LEASE/PURCHASE PRICE . S 41,304
6-A-7
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RECORDS MANAGEMENT 2160
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LISTING OF BENEFITS
The analysis should identify the benefits of each alternative. Benefits
should be expressed in teems of a quantified camion denominator, such as
dollars, the number of files transferred, the nucnber of pages filmed, the
number of personnel spaces released, and the number of file cabinets
excessed.
Important nonquantifiable benefits, such ae health, safety, or improved
working conditions, should be specifically identified in the Analysis, if
the information is pertinent to a decision. A list of quantitative benefits
also indicates what will not be acccmplished if the system is disapproved.
SAVINGS/INVESTMENT RATIO
The savings/investment ratio can be used to determine the most
effective alternative when benefits and costs are unequal. The ratio is
obtained by dividing the total dollar benefits by the total dollar costs.
A number larger than one indicates a cost effective system.
RECOf-WENDATION
Objectively evaluate all of the alternatives and determine wfaat
micrographic application or equipment is best suited to the naeds of your
program. Recommend in the proposal the micrographic application or equipment
you want approved.
6-A-8
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7 - FILES
MAINTENANCE
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RECORDS MANAGEMENT 2160
7/13/84
CHAPTER 7 - FILES MAINTENANCE
Table of Contents
PARAGRAPH PARAGRAPH
TITLES NUHBERS
Purpose 1
File Stations 2
File Custodian 3
Files Maintenance Plan 4
File Labels, Guide Cards, Supplies 5
Documentation of Filing 6
Avoid Unnecessary Filing ' 7
Preparation and Classification of File Material 8
Maintenance of Files 9
Availability of Reference Material 10
Figure 7-1. Files Maintenance Plan
Figure 7-2. File Labels, Guide Cards, and Supplies
Figure 7-3. Chargeout Record
Figure 7-4. Files Classification System for
Administrative Records
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RECORDS MANAGEMENT 216°
7/13/34
" - FILES MAINTENANCE
1. PURPOSE. This Chapter prescribes procedures for the efficient maintenance
of Agency files,
2. FILES STATIONS. 41 CFR iOi-11,.305-4 requires that official file
locations (files stations) should be established for the filing of official
records. A.file station is every separate location at which records of any
kind are accumulated in an organized manner.
3. FILES CUSTODIAN. A files custodian is an individual who has been
assigned responsibility for the operation of the files station.
4. FILES MAINTENANCE PLAN. A Files Maintenance Plan, Figure 7-1, is
recommended for ail files stations. A copy of the Files Maintenance Plan
if prepared should be submitted to the local Records Management Officer.
5. FILE LABELS, GUIDE CARDS, AND SUPPLIES. Figure 7-2 contains guidance
on the type of file labels, guide cards, and other filing supplies to be
used in the maintenance of EPA records. In addition, it.contains guidance
on the preparation of folders and guide cards.
6. DOCUMENTATION OF FILES.
a. The integrity of the Agency's official files must be insured at all
times, so that all official records relating to.the operations of the Agency
are documented in the official files. It is .most important to have all
information relating to a subject in one location. It is difficult to
research when the information is incomplete or fragmented in different
locations. The following techniques can be used to help assure complete
documentation.
(1) Employees should forward approved official records to the
files custodian for incorporation into the official files.
(2) Records being removed from the official files should be
controlled and charged out to the individual removing the records from the
files. Any time records are removed from the files a Chargeout Record,
Optional Form 23, Figure 7-2, will be filled out and put in the files in
the place of the records being removed.
(3) Employees should immediately return information or records to
the official files when it is no longer needed.
7-1
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REOORDS MANAGEMENT - 2160
-/13/84
o. Official files being used for research projects should be arranged
to clearly identify record documentation frori working supporting information.
A file maintenance plan should be maintained at each file station to identify
the official files. Also, the program office should identify and describe
the type of information that exists in the official files to facilitate
research projects.
7. AVOID UNNECESSARY FILING. In an efficient files operation, all
unnecessary papers are eliminated before they are filed. Following are
sane ways of avoiding unnecessary filing.
a. Limit the creation of formal communications for routine matters
where a memo or routing slip may be substituted, or where a reply may be
made on the inconing communication, and then returned.
b. Limit the number of copies prepared to those which are specifi-
cally required or requested, or those which serve a valid purpose.
c. Eliminate file copies of routine communications which require no
record, such as:
(1) Routine requests for publications. (Return the requesting
letter with the material sent. An alternative is to reply by form letter.
In neither case is a file copy needed.)
Outgoing form letters. (A notation on the incoming letter
showing the form letter identification number will suffice.)
(3) Routine transmittals .
(4) Copies of letters furnished solely for information, unless it
is known that they will be subsequently referred to.
d. Limit "extra copy" files to those offices having justification for
their ruainte nance.
e. Determine in advance the categories of paper that should be destroyed
and those that must be filed. As material arrives, file only that paper
that has been authorized for filing.
f. Limit the quantity of technical reference documents received, and
file only those which will be of significant reference value.
7-2
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RECORDS .MANAGEMENT
.._ >(_,
7/12/84
8. PREPARATION AND CLASSIFICATION OF FILE MATERIAL. The real test of any
file system is not how quickly material can be filed - anyone can place
papers in folders in filing cabinets - but how quickly it can be produced
when it is needed. Therefore, care should be exercised in processing,
classifying, and filing the material. Figure 7-4 contains a files
classification system for administrative records. This system should be
used for the filing of all administrative records.
a. Preparing File Copies. The following preliminary steps should be
taken in preparing documents for filing:
(1) Remove rubber bands, paper clips, pins, and other temporary
fasteners.
(2) Determine that the file is complete and that all enclosures
are accounted for.
(3) See that parts of another file are not accidentally attached.
(4) Mend or reinforce with transparent mending tape all torn or
frayed papers.
(5) Destroy identical duplicate copies.
(6) Remove all envelopes, copies of mail control forms, and routing
slips,- unless these contain remarks of record value,
b. Assembling File Material. Assemble each unit of file material by
stapling the file copy on top of the incoming communication. If enclosures
are too bulky to attach to correspondence records, show in the original
incoming cormunication where the enclosure is filed. Make sure that each
unit of material is complete and then assembled in chronological order with
the latest date on top.
c. Bringing Forward Related Papers. In preparing documents for filing
in the subject file, care should be taken to bring together under the same
subject those pertaining to the same transaction. If there has been previous
documents on this transaction, the earlier papers should be taken from the
file and consolidated with the latter.
d. Classifying Papers for Filing. Classification is the process of
determining the correct file into which a record should be placed, and
indicating the file on the face of the record. This is a most important
process, for the ability to locate papers promptly after they have been
filed depends largely on the care and skill used to determine where to file
them. Be consistent in classifying material for filing. Observe the
following procedures:
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RECORDS MANAGEMENT 2160
7/13/84
(1) Analyze. Read and analyze the correspondence or other material
to determine in which main file group it belongs: administrative subject
file, program subject file, program case file. First choice for classification
of documents is by case. For example, a paper dealing with an aspect of
water pollution may also relate to a specific enforcement action. In such
a situation, file it in the enforcement case file rather than in the subject
file. Of course, it may be cross referenced if necessary.
(a) Classification of Subject Files. Determine the most out-
standing or prominent subject; that is, the subject by which the papers
will most likely be requested. Annotate the document accordingly on the
upper right hand corner. Sometimes a document can be just as well filed in
more than one primary subject. Do not determine the classification on the
basis of the subject line alone. Read the content of the material. When
the subject is not clear, ask the originator' or someone more familiar with
the material for assistance.
(b) Classification of Case Material. Use the identifying
name or number for classifying and coding case filed document. Sometimes
both the name and the number used to identify the case are put on the file
label. In most instances, this identification is somewhere on the paper
and need only be underlined or circled. If not, write the appropriate
file code on the upper right hand corner.
(2) Preparing Cross References. If a document being classified
involves more than one subject or case and there is a good chance it might
be asked for in more than one way, a cross reference should be prepared as
a finding aid.
(a) Select and indicate the file designation for the additional
subject or case directly below the file designation for the main subject or
case. Mark an "X" by this file designation to show that a cross reference
is required.
(b) Generally it is more efficient to use a quick copy rather
than a cross reference form.
(c) Cross reference may be used to indicate that a record has
been moved from one place in the file to another.
(d) If a document is too voluminous to reproduce in full and
should be filed under more than one code, reproduce only.the cover page.
9. MAINTENANCE OF FILES. Additional standards that will help to maintain
the office files in a neat and orderly manner are as follows:
7-4
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RECORDS MANAGEMENT 2"-60
7/13/S4
=. Loose Filinc vs. Fasteners.
(1) Loose filing of papers in subject file folders is recommended.
Papers should not be fastened to the folders. Loose filing permits the
removal of one or more pieces of paper fron the folder without removing
the entire folder fron the file. Papers pertaining to an individual trans-
action should be stapled together in the upper left hand corner before
they are placed in the folder.
(2) Fasteners are normally used on case file folders where the
entire file is used as a unit.
b. Avoid Overloading File Polders. When a file folder is full (about
3/4" thick), prepare a new one and indicate the dates covered on both the
old and the new folders. The new folders should be placed in the file in
front of the old folder.
c. Use of EPA Form 1340-4. This form, Files Maintenance Plan (see
Figure 7-1), will aid files operators in referencing, maintaining, and
disposing of files in their offices. Instructions for using the form are
shown on the back of Figure 7-1.
10. AVAILABILITY OF REFERENCE MATERIAL. Information on files maintenance
and filing instructions are contained in the General Services Administration
(GSA) Records Management Handbooks listed below:
GSA HANDBOOK TITLE FEDERAL STOCK NUMBER
Checklist for Appraisal Files Operations 7610-935-5871
in your Office
File Operations 7610-985-6973
File Stations 7610-926-2129
Information Retrieval Systems 7610-181-7577
Microfilm Retrieval Equipment Guide 7610-181-7579
Subject Filing 7610-926-2128
These handbooks are available through normal supply channels.
7-5
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For::. 134C-4, riles
ii.i»=..L e rj.au
V13/S4
FILES MAINTENANCE PLAN
PACE
'f Mobile Source Air Pollution Control
j.= S!EPA.R£B BY f.Vans o,'
iJohn Kramer
rss clerk}
Richard S. Brovn, Administrative Assistant
(DATE
December 16, 1933
r!L£ CODE
PECQPQS 5EP.IE5 TITLES r.'nc/ude Primary, Sttondmrr mna Tf'timr? taiitcl
AMP
AMP 1
AMP 2
AMP 3
AMP 3-1
AMP 3-2
AMP 3-3
AM? L
AMP £ - 1
AM? £ - 2
AMP 5
AMP 5-1
AMP 6
'AMP 6-1
AMP 6-2
LEL
LEL 1
LEL 1-1
LEL 1-2
LEL 1-3
LEL 1-4
LEL 2
MSP
v 2 p T_
MSP 2
MSP 2-1
MSP 2-2
MSP 2-3
MSP 2-4
MSP 2-5
MSP 3
MSP 4
MSP 5-
MSP 6
MSP 7
MS? 7-1
MSP 7-2
ADMINISTRATIVE RECORDS
ADMINISTRATIVE AND MANAGEMENT PROGRAMS FILE
POLICY AND PROCEDURE
REPORTS AND STATISTICS
FACILITIES MANAGEMENT
Waterside Mall
Ann Arbor Facility
West Coast Lab.
PROPERTY MANAGEMENT
Office Equipment - Service & Maintenance
Word Processing Equipment
PRINTING SERVICES
Printing Requisitions
RECORDS MANAGEMENT
Files Maintenance Plan
Records Retirement
PROGRAM RECORDS
LEGISLATION
LEGISLATION
Light Duty Diesel' Emission Standards
National Energy Policy Conservation Act
Automobile Fuel Economy Standards
Gas Guzzler Legislation
LEGAL OPINIONS
OFFICE OF MOBILE SOURCE AIR POLLUTION CONTROL PROGRAM RECORDS
POLICY AND PROCEDURE FILE
REPORTS AND STATISTICS FILE
Internal Weekly, Monthly, or Quarterly Activity Reports
Program Reports to Congress
Negative Progress Reports
Formal Reports on Fuel Economy Tests
Significant Regulatory Actions Plan
ISSUE PAPERS
CONTRACTS
MOBILE SOURCE AIR POLLUTION CONTROL REFERENCE LITERATURE
REGULATORY REFORM
RULEMAKING RECORDS
Metrificarion
Light Duty Vehicle Emission Standards
Figure 7-1
E P* Form 1340-4 (Rt». 11-78) PREVIOUS EDITION is OBSOLETE.
-------
1. GENERAL. Standard equipment and supplies facilitate economy, 7/12/84
efficiency, uniform operations, and improved appearance.
2. ORDERING FILE SUPPLIES. Standard types of file folders, folder
labels, and guide cards should be obtained through normal supply
channels.
3. FILE POLDERS. Letter size kraft folders (100% sulfate pulp).
Medium weight, 147 pounds (11 point). Natural color kraft folders.
Blank, vertical, fiat type. Square cut. Bottom scored for 3/4"
expansion. Legal size folders are authorized as compatible supplies
for legal size cabinets.
4. POLDER LABELS. Use oblong self-adhering (pressure sensitive)
labels which require no water, solvent, or heat to apply. Labels for
captions comprising three or less typewritten lines, 3 1/2" by 1/2"
are available in plain white and with color identification strips.
5. GUIDE CARDS. Use self tab, 1/3 cut pasteboard guide cards, or 1/3
cut steel tabbed heavy pressboard file guides.
6. FILE CHARGE-OUT CARDS. Use Optional Form 23, File Charge-out Card.
This form is designed for repeated use and utilizes both sides of the
card. Supplies of this form may be obtained through normal supply
channels.
7. PREPARATION OF FOLDERS AND GUIDE CARDS. Prepare folder and guide
card labels by typing directly on the label. After typing, separate
labels from their backing and place them in the right most position on
the folders. This is the only position to be used regardless of
subject level, i.e., primary, secondary, tertiary, case, etc. NOTE:
Prepare folders only for those subject titles for which there is a
definite current or anticipated need. If there is little or no need
for the use of subordinate topics, do not prepare folders for them.
If only an occassional piece of material is classified under a secondary
or tertiary subject, place the material in the primary subject folder.
Figure 7-2
File Labels, Guide Cards, and Supplies
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7.ECORDS MANAGEMENT
OUT
2160
JUL 1
IDENTIFICATION OF RECORD
;NUM»E«. rrru ANO/OB SUBJECT, DATt c* nu o« OOCUM{MT)
.-_'-C? --1 Office Equipr.eni - Service and
Maintenance
CHARGED TO
(ftrsoN 4 c*Ftci)
^om Young, Office of
.Program Management
DATE
CHASGEO
OUT
5-14-34
23
CHARGEOUT RECORD
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Fi
gure 7-3
-------
7/13/84
;r-'E:E?r CLASSIFICATION OF ADMINISTRATIVE RECORDS
The following is a list of subject headings used in classifying admini-
strative records for filing. These records include "housekeeping" or
faciiitative records that do not relate directly to the programs or mission
of your office.
PRIMARY SUBJECT HEADING . CLASSIFICATION CODE
ADMINISTRATIVE AND MANAGEMENT PROGRAMS AMP
BUDGET ADMINISTRATION BUA
FINANCIAL MANAGEMENT FIM
PERSONNEL PER
PROGRAM PLANNING ' PRP
PUBLIC AWARENESS PUB
Figure 7-4 (Part 1 of 3)
Files Classification System for Administrative Records
-------
HMENT 2160
7/13/84
FILES CLASSIFICATION SYSTEM FOR ADMINISTRATIVE RECORDS
ADMINISTRATIVE RECORDS
AMP ADMINISTRATIVE AND MANAGEMENT PROGRAMS
AMP 1 POLICY AND PROCEDURE
AMP 2 REPORTS AND STATISTICS
AMP 3 FACILITIES MANAGEMENT'(Use this classification to file
materials pertaining to space assignment and facilities
management, maintenance, and protection).,
AMP 4 PROPERTY MANAGEMENT (Use this classification to file material
pertaining to the management, maintenance, »nd protection
of Federally owned.personal property).
AMP 4-1 Office Equipment - Service and Maintenance
AMP 4-2 Word Processing Equipment
AMP 5 PRINTING SERVICES"
AMP 5-1 Printing Requisitions
AMP 6 INFORMATION MANAGEMENT
AMP. 6-1 Data Systems (Use this classification to file materials
pertaining to the development of data systems,
including ADP systems, and other automated
information storage and retrieval systems).
AMP 6-2 Documentation Management
AMP 6-2-1 Files Maintenance Plan
AMP 6-2-2 Records Disposal and Retirement
AMP 7 MAIL ANT) MESSENGER SERVICES
AMP 8 TELECOMMUNICATIONS (Use this classification to file materials
pertaining to the use of telephone and other office
communications devices).
BUA BUDGET ADMINISTRATION
BUA 1 POLICY AND PROCEDURES
BUA 2 REPORTS AND STATISTICS
BUA 3 APPROPRIATIONS AND FUNDING
BUA 4 BUDGET PREPARATION
BUA 4-1 Personnel
BUA 4-2 Support Services
BUA 4-3 Travel
BUA 4-4 Budget Development
BUA 4-5 Workload Analysis
ETM FINANCIAL MANAGEMENT
FIM 1 POLICY AND PROCEDURES
FTM 2 REPORTS AND STATISTICS
FIM 3 PAYROLL
FIM 4 EMPLOYEE TRANSPORTATION
FIM 4-1 Employee Travel (Includes material pertaining to employee—
per diem, travel arrangements, and related materials.
Establish a case file for each employee who performs
official travel).
FIM 5 PROCUREMENT
FIM 5-1 Purchase Requests
Figure 7-4 (Part 2 of 3)
Files Classification System for Administrative Records
-------
r 75 —v q \'"i v • <•" T\rrv~
2160
T/13/84
PER PERSONNEL
PER 1 POLICY AND PROCEDURE
PER 2 REPORTS AND STATISTICS
PER 3 'ATTENDANCE
PER 4 EMPLOYEE PERFORMANCE AND UTILIZATION
PER 4-1 Training and Career Development
PER 4-2 Performance Evaluation
PER 4-3 Employee Recognition and Incentives
PER 5 EMPLOYMENT (Applicants, Appointments, Recruitment)
PER 6 GENERAL PERSONNEL
PER 6-1 Inspections, Surveys, and Audits
PER 6-2 Personnel Records (Establish an individual case file for
each employee. Include all personnel records relating
•to the individual).
PER 1 HEALTH AND INSURANCE
PER 8 EMPLOYEE RELATIONS
PER 8-1 Employee Responsibilities and Conduct
PER 9 POSITION"CLASSIFICATION, JOB DESCRIPTIONS, PAY ALLOWANCES
PER 10 SEPARATION
PER 11 PERSONNEL ACTIONS AND REQUESTS
PER 12 EQUAL EMPLOYMENT OPPORTUNITY (Use this classification for
all material pertaining to EEO, Civil Rights, and Minority
Erop] oyment).
PER 13 RESUMES OF EMPLOYEES AND POTENTIAL CANDIDATES
PRP PROGRAM PLANNING
PRP 1 POLICY AND PROCEDURES
PRP 2 REPORTS AND STATISTICS
PRP 3 ORGANIZATION PLANNING
PRP 3-1 Functional Statements
PRP 3-2 Organization Charts
PRP 4 DELEGATION OF AUTHORITY
PRP 5 BRIEFINGS
PUB PUBLIC AWARENESS
PUB 1 PRESS RELEASES
PUB 1-1 Public Opinion
PUB 2 NEWS CLIPPINGS
PUB 3 SPEECHES
PUB 4 NEWSLETTERS
PUB 5 AUDIO-VISUAL MATERIALS
.PUB 6 FREEDOM OF INFORMATION REQUESTS
Figure 7-4 (Part 3 of 3)
Files Classification System for Administrative Records
-------
8 - ELECTRONIC
RECORDS
-------
RECORDS MANAGEMENT -,_,,-, -,._-G ,
4/9/95
CHAP7"^- ^ - ICCUMEi'TTATICN AMD ?FESERVATI~'. rF ELECTRONIC -1ECC-XS
Table of Center.cs
PARAGRArH PARAGRAPH
TITLES !*JUMBERS
Purpose 1
Scope 2
Background 3
Responsibilities 4
Guidelines 5
Additional 'Guidance 6
Assistance 1
Figure 8-1. Electronic Recorckeeping Guidelines
-------
RECORDS MANAGEMENT
2160 CHG 2
4/9/86
CHAPTER -- DOCUMENTATION AND PRESERVATION OF ELECTRONIC RECORDS
1. PURPOSE. This Chapter provides guidelines on how to preserve
records created, stored, or transmitted using electronic means
including personal computers, word processors or other electronic
office equipment.
2. SCOPE. The provisions of this Chapter apply Agency wide.
3= BACKGROUND.
a. Use of electronic equipment makes the documentation and
preservation of records more complex. Large computers, remote
time-sharing services, mini computers, personal computers, word
processors, and other devices can be used to create, maintain and
dispose of records. Some records may never appear on paper.
Electronic mail and the use of personal computers as "note pads"
are other examples of further elimination of the traditional paper
documents which have long been the focus of records management.
b. Easily applied rules for the creation, maintenance, and
disposition of documents created, stored, and transmitted in
electronic media do not exist. The use of electronic media can
present documentation problems for the Environmental Protection
Agency since records created electronically can become the basis
for official policy decisions. When this is the case, traditional
records management practices must be modified to avoid problems of
unauthorized disposal of records. These practices must be designed
to ensure that (1) integrity of records is maintained, (2) records
are retrievable, (3) only authorized records disposals occur, and
(4) records having continuing value can be easily transferred to
the National Archives and Records Administration.
c. The intent of this Chapter is to respond to changes in
recordkeeping practices brought about through the use of electronic
office equipment. It identifies the problems associated with
records which are created, stored, or transmitted using electronic
media. It addresses issues and provides solutions to some of the
problems involved in preserving electronic records in an office
situation. As additional solutions are found, they will be issued
in this Chapter.
4. RESPONSIBILITIES.
a. Assistant Administrators. Inspector General. General
Counsel. Associate Administrators, Regional Administrators,
Laboratory Directors, and Staff Office Directors. These officials
are responsible for adequately and properly documenting Agency
functions, activities, and operations and for instituting the
internal practices and procedures set forth in this Chapter to
prevent the loss or destruction of official records created or
acquired in electronic form.
8-1
-------
RECORDS MANAGEMENT , 2160 CHG 2
4/9/36
b. Director, Office of Information Resources Mr.nacener.t /OIRM' . This
individual orovides Acencywide ooiicy and guidance in che ir.rormation resources
~2naa3~er'.t area, inciudino dana orccessina, office aucci~"=c.i ."". • ar.c records
~~. ~ n a c ~rTo ^ *~
c. Records Management Officers. The Aaency Records Management Officer,
Information -Manaqement and Services Division, OIPM, has Agencywide responsibility
for imple-.-iTcinq electronic recordkeeoing cfuidelines. local Records Manaaemenc
Officers (Headquarters, regions and laboratories) have similar responsibilities
in their respective areas.
d. Managers. EPA managers have responsibilitv in their respective areas
for implementing practices to preserve electronically created and stored information,
includina assuring that records are oroperlv labeled and indexed.
5. GUIDELINES. Guidelines on electronic recordkeeninq are attached as Fiaure
5-1 to this Chapter. The Guidelines are based on National Archives and Records
Administration Bulletin No. 85-2, dated June 18, 1985, whicn contains additional
technical information.
6. ADDITIONAL GUIDANCE.
a. Other Chapters of this Manual provide qeneral guidance on records
creation, maintenance and disposal. Principles outlined in this Manual apply
to all records/ includinq those created electronically.
b. The EPA Security Manual provides guidance on protecting information.
7. ASSISTANCE.
a. The Agency Records Management Officer, Information flanaqement and
Services Division, OIRM, can provide assistance on- the documentation and
"reservation of information maintained in electronic media.
b. The Administrative Systems Division, OIK-', can provide technical
Assistance regarding the use of electronic media.
3-2
-------
RECORDS ''.ANAGEMENT
Elcsc*"^cnic -
The increased use of electronic media such as nersonal connuters, word
processors and ether electronic media results in -nore employees, rangir.a from
senior "--^grdrn officials to support staff, creatina records asina these media
and making cacisions concerninq the accessibility and oreservation of electron-
ically-generated information. To familiarize these individuals with their
responsibilities, the following Guidelines have been prepared.
These guidelines address a range of issues concerning the creation, mainte-
nance, disoosition, and preservation of eiectronically-aenerated and/or stored
information.
The Guidelines address the following:
1. Accurate Labeling and Indexina
2. Detention
3. Backup System
4. Disposal
5. Electrical Power
6. Diskette Care and Handling
!NOTE; In order to implement these guidelines, it is neccessary I
I to distinguish between various types of "records". For !
J definitions see Figure 1-1, par. 24, of this Manual. \
1. Accurate Labeling and Indexing. To retrieve information created and stored
electronically the user is dependent upon "labels", both external (on the
outside of the diskette) and internal (recorded on the "index"' of the diskette/
disk). Accurate and complete labels are essential to ensure that Agency personnel
can identify information on electronic media.
Insufficient external labels on word processor diskette inhibit the
ability to identify the contents. The external label should include: File nlan
code established for your office, subject, and inclusive dates.
EXAMPLE; |MSP 1 - Policy & Procedures (certifications) 1/85-6/851
(Check with your local Records Management Officer for a copy of your office's
file plan). This information should also be entered en the internal index of
the word processor diskette as part of the file title with specific dates for
each document. On the personal ccmnuter, enter only the file code and date.
Additionally, the index should be printed out to ensure access.
Figure 8-i/page 1
-------
2160 CKG 2
4/9/86
RECORDS MANAGEMENT
Mr-
Most users of vorr! processors Drefer to treat -?a." diskette as a "file
drawer", containing similar docjinents (position cescrior.ions, oersonnei actions,
etc.). Others have cne cr rare diskec-es rrer r^erscr.. =~d rut all work oy an
individual, regardless of suo'iect, or. 5 diske-t~e. ~-. j^'cle^ ';J w-at :-;ethc<: is
used, accurate and complete external labels are necessary.
Users of personal computers will treat each disk as a "file cabinet",
containing a wide variety of subjects. The internal "label" could include:
file plan code and the date the document is created.
EXAMPLE; |MON3 0105861
Check with your local Records Management Officer for a cony of the file plan.
2. Retention. The fact that information is created or stored electronically
has no bearing upon whether that information is a permanent record, temporary
record, or reference material. Status is determined by the same criteria
for all information, regardless of the medium in which it is created or stored.
But, ensuring the retention of information stored electronically is not as
simple as ensurina the retention of information stored on microform or paper.
0 The decision about whether an electronic document is a
record needs to be made much earlier than for paper
because of the ease of erasing or changing the document.
0 The record status of electronically stored drafts of
policy documents should be continually re-evaluated
as changes are made. Substantive updates to such
electronic documents probably constitute new records
while minor changes probably do not.
0 With a personal computer, a "backup" is needed for record
material. This can be done by periodically adding new infor-
mation to diskettes (daily, weekly, etc., depending on
volume).
0 All "record" material received by electronic mail should be
converted to paper and retained until its disposition date.
Many electronic mail messages contain reference material
rather than record material and can be read and deleted.
Figure 3-1/oaoe 2
-------
IlcO CHS "
RECORDS -MANAGEMENT -/9/86 '
If the same inforr^aticr. is scored en —ore tran one •f.ediu.Y. • such as oacer
=~cuid determine v/hich sec ?f i-.fcr.ratic-r! constitutes t::o ..'rcert. Then, the
2. 3ackup System. Infcrmaticr. created electronically c.tat .c.-.t^ins "record'1
material that is vital to the --rcencv snould have a backus svste.m. This can r,e
done by dui~ \cating the material on paper, diskette, tape, or microform. Consult
with your local Records Management Officer for the best backuo system for your office.
4. Disposal. As with paper records, electronic records can only be disposed
cf according to the aoproved EPA Records Control Schedules found in Anpendix B
through E of this Manual. However, there are certain considerations when
iisoosing of records stored electronically. The comoactness of electronic
media may present problems. At times they are stored in non-traditional
Iccaticns (like work stations) since they do not present the space problems
evident with paper records. As a result, some may become less dilicent in
disposing of records at the time of their authorized destruction. The failure
to dispose of records in a timely manner undermines the efficiency of the office
as -veil as the records manaaement program.
5. Electrical Power. Poor quality electrical oower may cause equipment to
malfunction and affect electronic records. Check with your facilities staff to
see what steps need to be taken to prevent problems of this type. Some problems
can be solved with inexpensive devices such as a surge protector. More serious
problems may require additional electrical circuits.
6. Diskette Care and Handling. A tremendous amount of information in EPA is
maintained or. flexible diskettes. Below are practical guidelines that will
assist you in protecting this information.
a. A clean working environment is of utmost importance. A dirty diskette
surface is a serious case of data losses. Finger oil, smoke, food and drinks,
abrasive materials (such as dust or filings), pencil eraser debris, etc. are
typical contaminants.
b. Never make finger contact with exposed media surface through the
elongated, oval slot in the envelope where the head-to-disk access contact is
made. Also avoid touching the exposed media surface area near the hub.
c. Have the diskette drive cleaned regularly, particularly at its insertion
slot position. Dirt and dust can be picked UD by the diskette during insertion.
tote; Your maintenance agreement should provide for regular cleaning of the
drive. Check with your administrative officer.
d. Have the read/write heads cleaned on a regular basis. Mote: Your
maintenance agreement should provide for regular cleaning of the read/write
heads. Check with your administrative officer.
Figure 3-1/page 3
-------
2160 C:-:G :
4/9/86
RECORDS MANAGEMENT
9. Always return the diskette to its protective envelope after it is used.
f. Ion' t flex or fold.the diskette. Avoid r:.z-nci:-.c the- Hskstte -vhen
ioadir.c i:-.to or extractin.q it from the drive.
g. Don't put a rubber band or paper clip onto the diskette envelope.
h. Alwsvs write on the label before it is applied to the diskette.
However, if the oriqinal label is used, do not write on it with a ball point
oen; use a soft, fiber tipped pen. (A ball point pen can emboss the diskette.)
i. Never erase the label on a diskette. The pressure and the erasure
remains may cause damaae.
;. Do not use or store in exteme temperature and humidity. As an example,
a closed, hot, stationary vehicle in the sunliqht may cause damaoe.
k. Don't place objects (coffee CUDS, staplers, etc.) on diskettes.
1. N'ever place a magnet of any kind onto the envelope surface of a
diskette. This includes typical bar maqnets found in offices (coat and picture
hanqer maqnets, flashliqht maqnets, maqnetized screwdrivers, etc.)
m. -Maintain a schedule for checkinq, cleaninq, or replacing air filters.
Dirt causes media damage.
n. Make copies of vital or master diskettes and store in an alternate
location.
o. Store diskettes in a vertical position in an appropriate storaqe
container, preferably near the computer or word processor with which
the diskettes are used.
p. Do not olace electronic recordinq media near a telephone where the
telephone's magnetic pulses could cause damaqe to the media.
Figure 8-1/paae 4
-------
EPA 1900-8
-------
Shaaed areas are for use of orocuremenr office onivi
Page of
JS Environmental Protection Aaencv) i Name 01 Originator
Washington. DC 20460 |
\/
Procurement
Request/Order
13 Man Coae
4. Teieonone Numoer
I. Date 01 Heauisition
5. Oaie item rieauirea
6. Signature or Originator
7. necommenoeo Procurement Method
LJ Comoetiuve LJ 0;her tnan iuil ana ooen competition iZ Sole source small ourcnase
.- Denver To iPro/ect Manager/
9. Address
10. Mail Code ] 11. Teleonone Numoer
Financial I
a. Appropnanon
o. Servicing Finance Office Numoer
. NOTE: Item 12(d) Document Type — Contract = "C."
Purchase Order = "P"
.. FMOUse ..
'c\iI3 digits I
Di Document
. T' Control Numoer
(d|
Account Number
(1)/JO digits!
Object
Class
Amount (hi
;g) 14 digitsl i
Dollars
i Cen
13. Suggested Source iName. Address. IIP Code. Phone/Contact/
14. Amount ot money
committed is:
D Original
DIncrease
D Decrease
15. For Small Purchases Only: Contracting Office is autno-
rized to exceed the amount shown in Block 12(h) by 10% or
SI00, whichever is less.
Ores
16. Approvals
a. Branch/Office
Date
j d. Property Management Officer/Oesignee
i Date
b. Division/Off ice
Date
e. Other (Specify/
I Date
c. Funds listed in Block 12 and Block 1 5 (if any/ are Date
available and reserved. (Signature of Certifying Official
| f. Other (Specify)
i Date
EPA Fnrm 1 QOO-R (Rnu
-------
Instructions for Completing EPA Form 1900-8
Procurement Request/Order
General:
This form is a 9-oart interleaved set and is designed to be completed with an elite typewriter (1 2 pitch). The originating
office should complete all areas that apply. Shaded areas are reserved for Procurement use only. After completing the
form, in accordance with the instructions below, retain the copy marked for "Originator" and send the others through
required channels.
Item:
1 thru 6 Enter the originator's name, mail code, telephone number, date of requisition, signature of originator,
and the latest date that the items can be delivered.
7 Self explanatory. Attach a justification for other than full and open competition or for sole source small
purchases.
8 thru 11 Enter the name, address, mail code, and telephone number. If the person is the same as the originator,
leave blank.
12 Self explanatory. Failure to include the appropriation number, the number of the Servicing Finance
Office designated by the Financial Management Division for the accounting office which will record the
commitment and obligation, document type, document control number, account number, object class, or
dollar amount may result in the return of the request to the.originator for completion of these items.
Special care should be taken to insure that all data placed in these blocks are accurate and appear legibly
on all copies as these data will serve to record the commitment of funds as well as to eventually obligate
the funds on the contract document. Note: Item 1 2(d) should be used to denote document type (DT) code,
i.e., C = EPA prime contract, P = EPA purchase or delivery order.
13 If more than 1 source is suggested, attach a list of the contractor's/vendor's name, address, and point of
contact (if known) for each source.
14 Self explanatory.
1 5 For Small Purchases Only: Check one box. If "Yes" is checked,the funds certifying official must commit
sufficient funds in the Document Control Register to cover the total potential amount of the obligation.
16 Self explanatory.
1 7 thru 25 For procurement office use only.
26(a) Self explanatory.
26(b) The degree of detail required will vary with the complexity of the proposed procurement. Each request
shall contain sufficient information on its face to process the request. If the proposed procurement is for
nonpersonal work or services, provide a title which specifically describes the work or services to be
procured and limit the title to sixty (60) positions, including the spaces between each word of the title for
computer input, and attach the documentation required in Chapter 2 of the Contracts Management
Manual. In other instances, describe the article(s) requested in detail using manufacturer's model
numbers and descriptions, if possible, and provide specification, quantity increment, delivery require-
ment, and special packaging or transportation requirements. (Use EPA Form 1900-8A, Continuation
Sheet, if additional space is required.)
26(c) and Self explanatory.
26(d)
26(e) Enter the estimated price of the item
26(f) and For Procurement use only — Leave Blank.
26(g)
26(h) Used for inspection and acceptance only.
27 and 28 To be completed by the contracting officer.
Note: The contracting officer will complete the blocks marked "Invoice Address" and "Ship To" on copy 2 when
this form is used as a purchase order.
Remove this page before completing the Procurement Request.
EPA Form 1900-8 (Rev. 9-86) Previous editions are obsolete.
-------
SF 135
-------
orrnonc TDAMCMITTAI AMR ocrcurr Complete and send original and two copies of this form to the appropriate Federal Records Center for 1 PAGE OF
ncuunua inan3Milini.ANUKtie.iri approval prior to shipment of records. See specific instructions on reverse. | 1 PARKS
I. TO (Complete the addrett for tin appropriate record* center terving your art a)
Federal Archives and Records Center
General Services Administration
At thovm in ^L
FfUR 101-1H1O-1 ^
2. AGENCY
TRANSFER
AUTHOR.
IZA1ION
3. AGENCY
CONTACT
4. RECORDS
CENTER
RECEIPT
TRANSFERRING AGENCY OFFICIAL (SfeiwUr* »*d «U<)
DATE
TRANSFERRING AGENCY LIAISON OFFICIAL (Nam*, offlct and <«l«p*o«. No.)
RECORDS RECEIVED BY (Signature mnd «(/•)
DATE
5. FROM (Enter the name and complete mailing addrett of the office retiring the rccordt. The tinned recfift
of thi* form will be ttnt to thi* addren)
• •
fold Una
RECORDS DATA
ACCESSION NUMBER
RG
(a)
FY
(6)
NUMBER
(o)
VOLUME
(e«. /«.
(d)
-
AGENCY
BOX
NUMBERS
(•)
SERIES DESCRIPTION
(With inclusive datei of rec.ordtl
(/)
- RESTRIC-
S. TION
DISPOSAL AUTHORITY
(Schedule and
item number)
(h)
DISPOSAL
DATE
(O
COMPLETED BY RECORDS CENTER
LOCATION
())
Sr
UJ<
s2
(k)
£i£
st
ID
dal
t —
-------
INSTRUCTIONS FOR COMPLETION OF STANDARD FORM 135
FOR COMPLETION BY THE TRANSFERRING AGENCY
Items 1, 2, 3 and 5 are self-explanatory. Specific instructions for item 6 are as
follows:
Col.
Accession Number. A separate accession number is required for each
series of records listed on the form. A series consists of records having
the same disposal authority and disposal date that are transferred
together to the records center. The accession number is entered in
three parts, consisting of:
(a) The NARS record group number assigned to the records of the agency
making the transfer;
(6) The last two digits of the current fiscal year; and
(c) A four digit sequential number obtained in advance from the records
center. (Arrangements may be made with the center to have these
numbers assigned by the agency records officer or other official.)
(d) Volume. Enter the volume in cubic feet of each series of records being
transferred.
(e) Agency Box Numbers. Show the inclusive box numbers for each series
of records being transferred. The 'agency shall number each carton
.sequentially as follows: 1 of 25, 2.of 25, 3 of 25, etc. (Each new series
of records should begin^with carton number 1.) To facilitate control
.of the records and future reference service, the agency also shall mark
'each container with the assigned accession number prior to shipment.
(/) Series Description. Describe the records in sufficient detail to allow
the records center to check for proper application of the disposal
schedule. Inclusive dates of the records should be indicated. Show the
organizational component-that created the. records when it is other
than that shown in item 5.
(g) Restriction. Enter one of the following codes to show a restriction on
use of the records. Restrictions other than (or in addition to) security
classifications, such as limiting access to certain agency officials, are to
be specified by a statement in the Series Description column (f).
Code Restriction*
Q Q security classification
T Top Secret security classification
S Secret ucciirily classification
C Confidential security classification
It Restricted use—witnessed disposal nor
(specify in column (f))
W Restricted use—witnessed disposal
(specify in column (f))
N No restrictions
(h) Disposal Authority. For each series of records, cite I IK: agency sched-
ule and specific item number authorizing disposal. Cite the NAKS
disposal jol) and item number if it lias not been incorporated into an
updated agency schedule.
(i) DiijHtsal Dale. Applying the disposal authority previously cited in
column (h), enter the month and year in which ihe records may he
destroyed.
FOR COMPLETION BY THE RECORDS CENTER
Item 4 is self-explanatory. Specific instructions for item h are as follows:
Col.
(j) Location. The records center annotates the shelf location ol the hint
carton for each series of records.
(A:) S/i(.'/t'i/i# I'Lin. Tin: records center enters the appropriate code iioni
Chap. 7-IOe, MB, Records Center Operations (NAN I' HIM. I A), to
reflect the shelving system.
(/) Container 7'yj*!. The records center outers the appiopii.ilc code Irom
Chop. 7 lOli, NAR 1* 1864.1 A, to reflect ihe type of container in which
the records are retired.
(m) Automatic. I)isi><>ikil. The records center enlrrs either }' (yes) to
indicate automatic disposal applies or /V (no) indicating thai ihe
agency wishes to receive disposal concurrence nolice prior to de.-.linc-
tion of the records. Automatic disposal is applied only when pre-
viously agreed upon hy ihe agency.
Use Standard Form 135 A, Records Trunsniillal uud Receipt Conlinualion,
when additional space id required for listing records data.
Standard Form 135 Back (liev. 6 Vb)
6U.S. QlVUUMUr IKIHI'lt*; Ol'l'li'l : I'll1 I
-------
EPA 1480-13
-------
*EPA
UNPTED STATES ENVIRONMENTAL PROTECTION AGENCY
CLASSIFIED/CONFIDENTIAL BUSINESS INFORMATION
MATERIAL RECEIPT
EPA CONTROL NUMS = !
DATE
(SIGN AND RETURN TO ADDRESS BELOW — MET AIM DUPLICATE
ADDRESSEE:
RETURN TO:
DESCRIPTION (Avoia *nv io«miticaiion wnicn mignt rMo*uitm« ctturtmion of tfus
NUMBER OF ITEMS
I ACKNOWLEDGE RECEIPT OF MATERIAL DESCRIBED ABOVE
SIGNATURE
AGENCY
TITLE
DATE RECEIVED
£P£ ron* 1*80-13 (R»v. 6-»4)
Previous edition m«v M usao until suooiv it «xn«u>t*d
DISTRIBUTION ORIGINAL Aaartttte
SECOND Ricioitnt
THIRD Suteerue fiit
(I) At Headquarters, the Agency Records Management Officer will
arrange for pickup of Federal Records Center boxes when they are ready for
shipment to the Washington National Records Center. Note: When records
containing confidential business information are ready for shipment to
VNRC, Shipping and Receiving must obtain a receipt (see Figure 3-6> from
the VNRC when the boxes are picked up. A copy of the receipt is to be
given to the Agency Records Management Officer.
-------
NA 1301
-------
REFERENCE REQUEST-FEDERAL RECORDS CENTERS
NOTE: Use a separate form for each request.
SECTION I-TO BE COMPLETED BY REQUESTING AGENCY
?ECORD GROUP MO ACCESSION NO. AGENCY 3OX NUMBER 1 RECORDS CENTER LOCATION NUMBER
OF
DESCRIPTION OF RECORD(S) OR INFORMATION REQUESTED 'Include tile numoer ana tnle.i
REMARKS
MATURE OF SERVICE
FURNISH COPY OF
RECORDlSi ONLY
PERMANENT
WITHDRAWAL
D TEMPORARY
LOAN Of RECORDlSi
D
REVIEW
D
OTHER
iSoecitvl
NAME OF REQUESTER
TELEPHONE NO
a
FTSiOATE
RECEIPT OF RECORDS
Requester please sign, date and return mis form.
for file itemis) listed above. ONLY if the block to i—i
right has been checked bv the Records Center. I I
/In Washington. D C. area also include STOP numberl
SIGNATURE
DATE
SECTION II-FOR USE BY RECORDS CENTER
l 1 RETORDS NOT IN CFNTFR CUSTODY ' ' RFrOfn1^ PF^TPOYFP
L_J WRONG BOX NUMBER — PLEASE RECHECK
r— i ADDITIONAL INFORMATION REQUIRED TO IDENTIFY RECORDS
L_ 1 REQUESTED
container/si specified)
CH RECORDS PREVIOUSLY CHARGED OUT TO (Name, agency and
dale):
REMARKS
DATE qFRVirP TIME SEARCHER'S
UA fc SERVICE REQUIRED INITIALS
SECTION III-TO BE COMPLETED BY REQUESTING AGENCY
General Services Administration
Federal Records Center NARS
TO m
^J ICity) (Statel /Zip Codel
NOTE: In Washington, D.C. area
send to STOP 386
5011—106
NSN 7540—OO—682—6423
PREVIOUS EDITION USABLE
OPTIONAL FORM 11 (Rev. 9.79!
Prescnoea by GSA. FPMR [41 CFR) 101-1104
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(1) Qnployees can retrieve records from a FRC by conpleting Optional
Form 11, Reference Request - Federal Records Centers. Only employees who
have been authorized access to records containing confidential business
information can retrieve these records from the FRC. If the request is not
made by the originator, -a copy of the authorization from the originator
granting access to the records must be attached to the OP 11. The OF 11
oust contain the Record Group Number, Accession Number, Box Number, and the
name, number, or other identifying data of the records being requested.
This information appears on the copy of the Standard Form 135 which should
be on file in the office that created the records. In addition, the Records
Center location number must be entered on the OF 11. Headquarters offices
may obtain this number from the receipted copy of SF 135 returned by the
Federal Records Center: regional and field offices may obtain it fran the
local Records Management Officer (see Figure 3-7, for an example of a
conpleted OF 11). A separate form must be ccmpleted for each request for
records.
(2) Requests to be expedited for some special reason (Freedom of
Information and.Congressional inquiries are examples), must be-indicated on
the form.
(3) Headou*rters offices should submit the ccmpleted OF 11 to the
Agency Records Management Officer; Regional and field offices to the local
Records Management Officer. The form will then be forwarded to the Federal
Records Center.
(4) Retrieved records may be returned to the Federal Records Center
for refiling in a mailing envelope, addressed "Attention Reference Branch",
with a routing slip attached indicating the accession number, box number,
FRC location number and the notation "Return for Refile". The local Records
Management Officer must be notified of the return so that the chargeout
record may be cleared. Records containing confidential business information
must be returned to the FRC in accordance with the procedures stated in
paragraph 7.
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OF 11
-------
REFERENCE REQUEST-FEDERAL RECORDS CENTERS
NOTE: Use a separate form for each request.
SECTION I-TO BE COMPLETED BY REQUESTING AGENCY
= £CORO GROUP NO
ACCESSION NO.
AGENCY BOX NUMBER i
RECORDS CEMTER LOCATION NUMBER
OF
DESCRIPTION OF RECORD(S) OR INFORMATION REQUESTED ilncluae tile number ana title.l
REMARKS
NATURE OF SERVICE
D FURNISH COPY OF
SECORDiS. ONLY
PERMANENT
WITHDRAWAL
D TEMPORARY
LOAN OF RECORDISl
REVIEW
n
OTHER
ISoecifvi
NAME OF REQUESTER
TELEPHONE NO r~j -TSiOATE
RECEIPT OF RECORDS
•• Requester please sign, dale ana return this form.
i for file itemls) listed above. ONLY if the block to i—i
i right has been checked bv the Recoras Center. I I
iln Washington. O C. area also include STOP number I
SIGNATURE
DATE
SECTION II-FOR USE BY RECORDS CENTER
I j p££Qp[)5 NOT IN CENTER CUSTODY I J RECORDS DESTROYED
1 — 1 WRONG BOX NUMBER— PLEASE RECHECK
ADDITIONAL INFORMATION REQUIRED TO IDENTIFY RECORDS
LJ REQUESTED
containerlsi specified!
D RECORDS PREVIOUSLY CHARGED OUT TO (Name, agency and
date/:
REMARKS
DATE SERVICE TIME SEARCHER'S
bb"VICt REQUIRED INITIALS
SECTION III—TO BE COMPLETED BY REQUESTING AGENCY
General Services Administration
Federal Records Center NARS
10 w
^Y /State/ (Zip Code/
NOTE: In Washington, D.C.
send to STOP 386
area
,NSN 754O—OO—682—6423
PREVIOUS EDITION USABLE
OPTIONAL FORM 1 1 I Rev 9-79)
Presences bv GSA. FPMH |41 CFRI 101-1104
-------
(1) Employees can retrieve records from a FRC by completing Optional
Form 11, Reference Request - Federal Records Centers. Only employees who
have been authorized access to records containing confidential business
information can retrieve these records from the FRC. If the request is not
made by the originator, a copy of the authorization from the originator
granting access to the records must be attached to the OP 11. The OF 11
must contain the Record Group Number, Accession Number, Box Number, and the
name, number, or other identifying data of the records being requested.
This information appears on the copy of the Standard Form 135 which should
be on file in the office that created the records. In addition, the Records
Center location number must be entered on the OF 11. Headqtiarters offices
may obtain this number from the receipted copy of SF 135 returned by the
Federal Records Center; regional and field offices may obtain it from the
local Records Management Officer (see Figure 3-7, for an example of a
completed OF 11). A separate form must be completed for each request for
records.
(2) Requests to be expedited for some special reason (Freedom of
Information and Congressional inquiries are examples), must be-indicated on
the form.
(3) Headquarters offices should sutrait the'coupleted OF 11 to the
Agency Records Management Officer; Regional and field offices to the local
Records Management Officer. The form will then be forwarded to the Federal
Records Center. •
(4) Retrieved records may be returned to the Federal Records Center
for refiling in a mailing envelope, addressed "Attention Reference Branch",
with a routing slip attached indicating the accession number, box number,
FRC location number and the notation "Return for Refile". The local Records
Management Officer must be notified of the return so that the chargeout
record may be cleared. Records containing confidential business information
must be returned to the FRC in accordance with the procedures stated in
paragraph 7.
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EPA 5100-2
-------
LABOR SERVICES REQUEST
(NOTE: Your Adminiitrative Officer mutt tign thlt raquatt when Indicated before It can ba proceued.l
AGENCY I.D. NUMBER (Or/led
only)
NAME Or REQUESTOR
ROOM NO.
TELEPHONE NO.
MAIL CODI
if net
DATE
SERVICE REQUESTED
PICK-UP Q DELIVERY
OTHER (Specify):
MOVE (Attach relocation worktheet)
COMPLETE DESCRIPTION OP LABOR SERVICES TO BE ACCOMPLISHED
APPROVAL SIGNATURES
PROGRAM ADMINISTRATIVE OFFICER
APPROPRIATION
PROPERTY MANAGEMENT
FUND CERTIFICATION FOR MOVES
CONTHOL'NO. ACCOUNT NUMBER °ci?*ss DOLLAR AMOUNT
2526
I certify that funds are available.
ACTION
LABORERS DISPATCHED
LABORERS RETURNED
FOREMAN'S SIGNATURE
SIGNATURE OF COMMITMENT CLERK
ACTION TAKEN
DATE TIME
ACTION DATE TIME
ARRIVED ON JOB
JOB COMPLETED
CUSTOMER'S SIGNATURE
EPA Hq Form 6100-2 (Rev. 12-80) PREVIOUS EDITION MAY BE USED
u. s. aovrawEST PBIHTIHO omcz-i98ii-*w-303/r3i2
COPY DISTRIBUTION:
Originator, suDmit three copies to Prop-
-------
I
j Records Management in the EPA-
, Records Management Fundamentals
33
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Science Center
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RECORDS MANAGEMENT FUNDAMENTALS QUIZ
Check the- oc-j reet .ans.wer or answers for esch of the following
quest L •. -us-.
1. The term "records." refers, to:
<3> any scrap of p-ap/er in a government building.
any memorandum that has. a signature on it.
information on any paper that, has at least.
two signatures on it.
2. The term record series relat.es to:
any group of similar documents that have been
classified for disposition purposes.
any group of documents that, are numbered in
sequence.
any group of documents pertaining to a single
matter which are filed chronologically.
< d'» a baseball competition in which a lot of records
are broken.
3. A "disposition schedule" is:
a calendar of litigation events.
. a formally approved calendar for retiring,
destroying or archiving records.
a formally approved distribution list.
a cooperative understanding that permits each per-
son in the office to be grouchy on certain days.
4. Each office .must be in complete, control of every document
that it receives.
True
False
5. All records processed in an office are "official" and must
be treated with utmost care.
True
False
A permanent record is a record that:
has been kept for over three years,
, .__ has been sent to the Federal Records Center.
can't be broken. -
._ has been defined as; such by .the National Archives
and Records Administration.
-------
There is no formal set of EPA policies, •-joverniny reeords..
' >: b'! Fa 1 s.e
8. If you keep a copy of every memorandum ever prepared or
received t«y your office then you are practicing proper
reeords management.
False
3. Once a record is sent to the Federal Records Center, you
will :
never see that record again.
have to bribe someone to get it back.
have to work wiith the local records officer
to recall it.
;_ _ < d '> can assume that, it will be destroyed after
two year s.
1O. Only permanent records are sent to the Federal Records
Centers.
< a") True
False ' •
11. Archived records are kep True
False
12. A Standard Form 135 is used to retrieve a record from the
Federal Records Centers.
<&> True
False
13. There ia no way to protect Confidential Business Information
after it goes to the Federal Records Centers: therefore, you
can't sent CBI records to the Federal Records Centers.
True
False
14. Personal records are any records you keep in your desk.
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3 IT'. If a published report ia us.ed for reference- i r. yov.sr t-f-f ice,
then you must keep a cop-y of .that report in your f ile= to
•assure a c-owplete dee.is.ion record .
< s") Tr •-!«•
.'. b'> False
16>. There is. no one pc-int of contact in EPA which can be called
t.o get the anawer to any records management question you may
have.
True
False
17. The official records, officer for your office is:
IS. Do you know where the EPA Records Management. Manual is kept.
in your office? If so, where: .
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