United States
Environmental Protection Agency July 6,1992
Office of Information Resources Management
s&EPA
Management Support
& Analysis of Records
Management Policy,
Procedures & Guidance
Documents
Contract No. 68-W7-0037
Delivery Order 105
BOOZ-ALLEN & HAMILTON INC.
4330 East West Highway
Bethesda, MD 208144455
(301) 951-2200
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EPA RECORDS MANAGEMENT
POLICY AND GUIDANCE
FRAMEWORK
JULY 1992
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TABLE OF CONTENTS
Page
I. Introduction 3
IL Records Management Framework 5
Records Management Today and Tomorrow - description 5
Records Management Today and Tomorrow - graphic 6
HI Policy Framework , 7
Policy Today and Tomorrow - description 7
Policy Today and Tomorrow - graphic 8
Strawman Policy 9
IV. Guidance Framework 19
Guidance Today and Tomorrow - description. 19
Guidance Today and Tomorrow - graphic. 20
Guidance Outlines 21
Agencywide Guidance Manual 21
Vital Records Program Administration. 35
Audiovisual Records 39
Contractor Records 43
Electronic Records 45
Micrographic Records 49
Space and Equipment Use .51
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Introduction
This document is designed for use as a reference guide for initiating
changes to, or revising, EPA's current records management program policy
and guidance framework. High level interpretations of EPA's records
management framework, policy framework and guidance framework are
presented for both current and proposed future environments. Detailed
outlines suggesting content and scope for future policy and guidance revision,
highlight the main areas required of EPA's records management program
under federal directives. This guide should be considered a 'living*
document and used as a starting point for improving EPA's records
management policy and guidance framework.
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RECORDS MANAGEMENT FRAMEWORK
TODAY AND TOMORROW
Today, EPA's records management framework is presented in three
primary information sources:
Chapter 10, Records Management, IRM Policy Manual -
2100
Records Management Manual - 2160
Model Regional Records Management Manual.
Tomorrow, EPA's records management framework should be expanded and
presented through a wider variety of information sources in order to
effectively communicate the increasing importance of records management at
EPA, to all Agency audiences:
Chapter 10, Records Management, IRM Policy Manual
2100 (revised)
Records Management Policy Directives - 2100 (new)
Agency-wide Records Management Guidance Series -
2160 (revised)
National Program, Regional, and Laboratory Records
/
Management Guidance Series (new)
Model Regional Records Management Manual.
The following graphic represents this description.
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Records Management Overview
Records
Management
Today
2100
Chapter 10
Records
Management
Policy
2160
Records
Management
Manual
Model
Regional
Records
Management
Manual
Records
Management
Tomorrow
Model
Regional
Records
Management
Manual
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POLICY TODAY AND TOMORROW
Today, EPA's records management policy, released in 1987, contains
relevant statements and information necessary for implementing and
maintaining a records management program which places many operational
functions on the Office of Information Resources Management.
Tomorrow, EPA's records management policy should clarify
interdependent roles in the Agency's highly decentralized organizational
structure and specifically address all topic areas required in records
management directives by Federal regulation.
The graphic following this page illustrates the content which should be
covered by Chapter 10 of EPA's IRM Policy Manual and the representative set
of 2-to-3 pages IRM Policy Directives which should communicate specific
details on key policy areas.
The graphic is followed by a strawman policy statement which
illustrates how the topics which need to be covered by records management
directives and to clarify roles and responsibilities might be addressed in a
revised Chapter 10.
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Policy Overview
Policy Today
Policy Tomorrow
2100-Chapter 10,
Records Management
1. Purpose
2. Scope and Applicability
3. Background
4. Authorities
5. Policy
6. Responsibilities
7. Definitions
8. Procedures and Guidelines
e
policy directives
2100-Chapter 10,
Records Management
1. Purpose
2. Scope and Applicability
3. Background
4. Authorities
5. Policy
6. Responsibilities
7. Definitions
8. Procedures and Guidelines
Recordl dassiftcation
Roles
and Respbnsibiiities
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Policy Framework Policy Tomorrow
10 July 1992 EPA Records Management
Policy and Guidance Framework
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Policy Tomorrow Policy Framework
STRAWMAN RECORDS MANAGEMENT POLICY
i. PURPOSE
This policy defines the overall mission and underlying principles of
the Agency's records management program by incorporating applicable
federal requirements into standard Agency practices. This Agency-wide
policy provides the framework for specific guidance and detailed
operating procedures governing records management organization,
responsibilities, and implementation.
2. SCOPE AND APPLICABILITY
This policy applies to all records of the Environmental Protection
Agency (EPA), as defined under 44 USC 3101, which are created,
collected, processed, used, stored, and/or disposed of by EPA
organizations, staff, agents of staff such as contractors or grantees, and
facilities.
3. BACKGROUND
a. The Federal Records Act, as amended, requires EPA and every
other Federal organization to make and preserve records
containing adequate and proper documentation of their
organization, function, policies, decisions, procedures, and
essential transactions. Records also provide a basis of Agency
accountability and an historical record preserving and protecting
EPA and the public's legal and financial rights.
b. Records are broadly defined by statute and regulation to include
all information, regardless of media or format, received by EPA
and its agents under Federal law or in connection with the
transaction of public business and presented as appropriate for its
legitimate success or because of the informational value of the
data in them.
c Not all information managed by EPA and its agents is a record.
Nonrecord materials include blank forms, reference materials,
library materials, and working papers of fleeting value such as
drafts, worksheets, and informal notes.
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Policy and Guidance Framework
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Policy Framework Policy Tomorrow
c. Records are managed as an Agency asset throughout their
lifecyde. This lifecycle is initiated by the creation or receipt of
Government records in the course of carrying out EPA's
administrative and programmatic responsibilities. It continues
through the active use of the information in the record until it is
determined to be inactive, at which time the disposal of the
record may take several alternative courses of destruction or
longer-term storage as archives. As records move through the
information lifecycle/ they require management by owners who
create the record and appraise its immediate and longer-term
value to EPA and the Government, by users who have a need
for and request utilization of the information in die record, and
by custodians who actually retain or possess the record at various
stages in the lifecyde.
d. EPA organizations, staff, and their agents who create, utilize, and
acquire custody or possession of Agency records do not
necessarily attain a proprietary interest in such records. Official
Agency records are public assets and belong to the Government,
not to individuals by virtues of their possession or of their
position as an Agency official. The penalties for the willful and
unlawful destruction, removal from files and private uses of
official records are contained in 18 U.S.C. 2071.
e. EPA is required under regulation to establish a records
management program as an essential component of its
information resources management program. The objective of
EPA's records management program is to ensure the appropriate
and responsive management of records throughout their active
and inactive lifecycle until proper disposition through
destruction or transfer to the custody of the National Archives
and Records Administration (NARA).
4. AUTHORITIES
a. Federal Records Act of 1950, as amended (44 U.S.C. 3101-3107).
b. 36 CFR1220 and 41 CFR 201-22.
c Paperwork Reduction Act of 1980.
d OMB Circular A-130, Management of Federal Information
Resources.
12 July 1992 EPA Records Management
Policy and Guidance Framework
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Policy Tomorrow Policy Framework
POLICY
It is EPA policy to create or collect, use, store, and dispose of Agency
records in order to preserve official Agency records over the long-term
in accordance with applicable statutory and regulatory requirements
and to promote access to information needed or requested to achieve
the Agency's administrative and programmatic missions. This is to be
accomplished through adequate and proper documentation of all EPA
organizations, their functions, policy decisions, procedures, and
essential transactions, in a manner that promotes accountability,
establishes a historical record, and protects the legal and financial rights
of the Government and the privacy of individuals.
MANAGEMENT FRAMEWORK
a. EPA shall plan and establish a framework for managing and
overseeing a comprehensive Agency-wide records management
program which will include: creating records in a useable,
accessible format, adequately documenting records and their
disposition schedule, effectively maintaining records in the
conduct of Agency business, and disposing of records in a timely
manner. This framework shall be a integrated component of
EPA's information resources management program to promote
effective communication and transfer of information regardless
of the medium in which it exists.
INFORMATION LIFE CYCLE
b. EPA shall document and manage records throughout the
information lifecycle which includes the following components:
(1) Records creation/collection - official records must be
created of all Agency functions, policies, decisions,
procedures and essential transactions
(2) Records maintenance and use - record filing and storage
systems must be designed and documented as needed, to
accommodate record retrieval throughout their scheduled
life
(3) . Records storage - records must be physically located and
stored in an economical manner which allows for for easy
retrieval, access, disposition, and transfer to NARA if
appropriate
Records Management July 1992 13
Policy and Guidance Framework
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Policy Framework Policy Tomorrow
(4) Records access - records must not only be easily accessable
to Agency employees and the public as defined in federal
regulations, but also allow for integration across programs
and information systems
(5) Records disposition - all records must be scheduled for
disposition according to NARA guidelines and properly
disposed of in a timely manner when they are no longer
needed for current business.
RECORDS TECHNOLOGY
c EPA shall create and store records in any medium or format
which adheres to federal standards (i.e., NARA standards for
magnetic tape storage) and in a manner that is technically
feasible, cost-effective, responsive to Agency requirements, and
allows for efficient information dissemination.
RECORDS INVENTORY
d. All official records created or collected by EPA shall be
periodically inventoried in order to provide a complete and
comprehensive reference source of the Agency's holdings.
Standardized filing structures will be developed to provide an
effective mechanism which facilitates ease in use, access, and
disposition.
VITAL RECORDS PROGRAM
e. The Agency shall establish a vital records program which
includes functions and staff who will be responsible for
providing a systematic method for safeguarding the records
defined as crucial to continuing operation of essential Agency
functions during a national emergency.
INFORMATION SECURITY
f. Records collected, created, or maintained by the Agency shall be
protected and secured commensurate with the risk and
magnitude of the harm that would result from the loss, misuse,
unauthorized access to or modification of information.
Measures shall be adopted to protect confidentiality of records as
specified in the Privacy Act. (Also see IRM Security Policy)
14 July 1992 EPA Records Management
Policy and Guidance Framework
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Policy Tomorrow Policy Framework
6. RESPONSIBILITIES
a. The Office of Information and Resources Management shall:
(1) Provide Agency-wide leadership in establishing an
Agency-wide records management program
(2) Promulgate and communicate Agency-wide policies and
guidance which reflect records management missions and
goals, based on Federal requirements
(3) Coordinate approval of the Agency's records disposition
schedules with NARA
(4) Coordinate with other federal oversight agencies, such as
the Office of Management and Budget (OMB), NARA, and
the General Services Administration (GSA), on records
management issues
(5) Conduct Agency-wide records management evaluations
(6) Provide technical expertise to all Agency organizations on
establishing and maintaining effective records
management programs.
b. Assistant Administrators, Associate Administrators, Regional
Administrators, Laboratory Directors, the General Counsel, and
the Inspector General shall:
a. Appraise the temporary or permanent value of records
within their span of responsibility as a basis for
determining the most responsive and cost-effective
program for managing their records and for determining
the final disposition of these records.
b. Develop and disseminate directives and operating
procedures in order to cany out Agency-wide policy, and
translate Agency-wide policy and guidance into effective
programs, which will include:
Specific instructions on the management of special
records
Specific instructions on the management of
personal papers, directed specifically toward senior
agency officials and scientists and other researchers
Records Management July 1992 15
Policy and Guidance Framework
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Policy Framework Policy Tomorrow
Uniform procedures for creating and maintaining
case files
Adherence to EPA's mandatory subject file
classification system for administrative records
Standardized file stations for the filing of official
records and procedures for day-to-day operations
Specific instructions on appropriate file cut-offs to
ensure proper filing techniques
Specific instructions on the protection of vital
records
Specific instructions on the creation, maintenance/
and utilization of up-to-date records schedules to
meet office needs and all statutory requirements.
Designate specified individuals accountable to the Senior
Information Resources Management Official (SIRMO)
who are responsible for implementing records
management directives and managing appropriate records
management programs tailored to their organization's
requirements. This will require the following:
Local records management officers at all sites with
appropriate status (grade and position) and
sufficient time to carry out their duties
A formal series of formal records management
training courses for all employees with records-
related responsibilities
A program of regular internal records and
information evaluations
Records management briefings for all senior
officials and program managers.
Develop oversight roles and communication networks
with field offices and other facilities under program
jurisdiction.
IS July 1992 EPA Records Management
Policy and Guidance Framework
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Policy Tomorrow Policy Framework
7. DEFINITIONS
a. "Administrative Records" are the records which reflect routine,
transitory, and internal housekeeping activities relating to
subjects and functions common to all offices.
b. "Appraisal" is the process of determining the value and thus the
final disposition of records, making them either temporary or
permanent in terms of their retention by the Federal
Government.
c "Disposition" means the actions taken with regard to records no
longer needed in current office space. These actions include
transfer to EPA storage facilities of Federal records centers,
transfer from EPA to another Federal agency, transfer of
permanent records to the National Archives, and disposal of
temporary records.
. d. "Federal Records Centers" are the depositories established by the
National Archives and Records Administration (NARA) for
housing of non-current, inactive, or permanent records pending
ultimate disposition in accordance with EPA's record control
schedules.
e. "Permanent Records" are records that NARA appraises as
having sufficient continuing, or enduring, value to be
maintained as a part of the National Archives of the United
States because they document the organization and functions of
the agency creating or receiving them and/or because they
contain significant information on the persons, places, things,
and phenomena with which the agency dealt.
f. "Programmatic Record" refers to records created, received, and
maintained by.EPA in the conduct of its mission functions for
which the Agency is accountable. The term is used in contrast to
administrative, housekeeping, or facilitative records.
g. "Records" means all books, papers, maps, photographs,
machine-readable materials, or other documentary materials,
regardless of physical form or characteristics, made or received by
an agency of the United States Government under Federal law
or in connection with the transaction of public business and
preserved or appropriate for preservation by that agency or its
legitimate successor as evidence of the organization, functions,
policies, decisions, procedures, operations, or other activities of
Records Management July 1992
Policy and Guidance Framework
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Policy Framework Policy Tomorrow
the Government or because of the informational value of the
data in them. (44 USC 3101)
h. "Records Management" means the planning, controlling,
directing, organizing, training, promoting, and other managerial
activities involved with respect to records creation, records
maintenance and use, and records disposition in order to
achieve adequate and proper documentation of the policies and
transactions of the Federal Government and effective and
economical management of agency operations.
i. "Records Schedules" are documents that provide continuous
authority to dispose of recurring series or systems of records or to
transfer them to the National Archives and its national network
of Federal Records Centers.
8. PROCEDURES AND GUIDELINES
In order to translate the Agency policy requirements into standard
practices, guidance (Directive 2160) and procedures (Model Regional
Records Management Procedures) have been developed in order to
communicate increasingly detailed instructions for managing and
administering EPA records management program.
Assistant Administrators, the Inspector General, General Counsel,
Regional Administrators, and Lab Directors are designated with the
responsibility of providing (1) specific guidance for the development of
records management procedures in adherence to NRMP-defined
policy, and (2) specific directives tailored to office mission and
functions.
18 July 1992 EPA Records Management
Policy and Guidance Framework
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GUIDANCE TODAY AND TOMORROW
Today, EPA's records management guidance consists of the Records
Management Manual (Directive 2160). This manual incorporates both
general information on records management program requirements and
detailed operating procedures for managing and administering EPA's records
management program with particular emphasis on the disposition process.
Tomorrow, EPA's records management guidance should be revised
and expanded to include two separate series of Records Management
Manuals.
The first series should replace the current 2160 manual with a series of
Agencywide guidance documents organized around key topics of concern or
for improvement in EPA's records management program. The first of the
series should provide an overview of components of an effective records
management program. The remaining series should address how to handle
particular records management issues in EPA, such as audio-visual records.
The second series should be office-specific and issued under the
authority of the relevant directives systems established by Assistant
Administrators, Regional Administrators, and other administrative and
programmatic executives to guide the day-by-day implementation and
operation of their offices' repsonsibilities. The first Agencywide series
provides a context of general principles within which specific directives and
procedures suitable for execution by EPA's headquarters organizations,
Regional offices, and laboratories.
The graphic on the following page compares today's guidance
framework with the proposed structure for tomorrow.
The following pages then outline potential topics and structures for the
Agencywide guidance series covering components of a records management
program and special topics.
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Guidance Overview
Guidance Today
Guidance Tomorrow
Agency-wide Series
2160-Records
Management Manual
1. Objectives and Responsibilities
2. Reporting Requirements-reserved
3. Disposition of Records
4. Preservation of Vital Records
5. Filing Equipment and Supplies
6. Micrographic Management
7. Files Maintenance
8. Documentation and Preservation of
Electronic Records-missing
Special
Topic
Manuals
2160-Records
Management Manual
1. Planning and Budgeting
2. Roles and Responsibilities
3. Training
4. Evaluations
5. Inventories
6. Classification
7. Files Maintenance
8. Disposition
9. Public Access
10. Record Security
National Program, Regional and Lab Series
2160 - Records Management Manual
7. File Maintenance
8. Space and Equipment
9. Disposition Schedules
10. Evaluations
5. Machiene Readable Records 11. Roles and Responsibilities
6. Vital Records
1. Inventory
2. Classification/File Plans
3. Contractor Records
4. Non-textual Records
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Guidance Framework Guidance Tomorrow
22 July 1992 EPA Records Management
Policy and Guidance Framework
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Guidance Tomorrow Guidance Framework
AGENCY-WIDE RECORDS MANAGEMENT MANUAL-2160
OUTLINE
INTRODUCTION
PURPOSE
State purpose of providing records management guidance
AUDIENCE
Identify the intended audience who will use the manual
USE
Describe how and when the manual should be used
Discuss how to communicate the instructions provided
DEFINITIONS
Define the terms frequently used in the manual
REFERENCES
As appropriate, refer to additional records management
information sources, such as special topic manuals, records
management policy, etc.
CHAPTER 1 - PROGRAM MANAGEMENT STRUCTURE AND CONTROLS
PURPOSE
State purpose of chapter
Outline EPA's (OIRM) responsibility for implementing
and effectively managing or overseeing .a records
management program
Identify overall management goals and objectives
Discuss components critical to supporting an effective
program management structure such as planning,
defining roles and responsibilities, etc.
EPA Records Management July 1992 23
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Guidance Framework Guidance Tomorrow
Planning and Budgeting
Goals
Identify EPA's goals, standards, or objectives for planning
and budgeting in records management
Briefly describe importance of planning and budgeting, in
terms of maintaining a records life cycle
Responsible Staff
Identify staff delegated with primary responsibility for
conducting records management planning and budgeting
Legal Authorities
Specify federal or Agency directives which require a
planning or budgeting function in a records management
program
Activities
If applicable, identify target schedules for developing
records management plans, (i.e., a five year plan to be
revised every three years)
Identify resources, staffing or training needed, as well as
overall goals for effectively maintaining an on-going
records life cycle i.e.:
records creation
records inventory
records storage and retrieval
records security
public access to records
records disposition
Evaluate any potential effects that Agency actions may
have on the public, and state and local governments
Roles and Responsibilities
Goals .
24 July 1992 EPA Records Management
Policy and Guidance Framework
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Guidance Tomorrow _ Guidance Framework
Identify EPA's overall goals and objectives for clarifying
organizational and staffing responsibilities with respect to
managing and administering a records life cycle
Briefly describe importance pf clearly defining and
communicating organizational and staff responsibilities
for establishing and maintaining an efficient records
management network and conveying information
Responsible Organizations
On an organizational level, identify the offices with
delegated responsibilities for establishing and maintaining
a records management program, and their associated roles
OIRM
HQ Program Offices
HQ Administrative Offices
Regional Offices
Laboratories
Responsible Staff
Identify staff responsible for establishing, maintaining and
communicating all records management program
requirements and describe each position i.e.:
Director, IMSD
National Records Management Program (NRMP)
Manager
Assistant Administrators, Inspector General,
General Counsel, Regional Administrators, Lab
Director
Staff Office Directors, Assistant Regional
Administrators, SIRMOs
Division Directors, Branch Chiefs
Records Officers, Records Center Managers, Records
Clerks
Legal Authorities
Specify federal or Agency directives which require the
need to define organizational and staffing roles and
responsibilities in records management
Training __ __
EPA Records Management July 1992 25
Policy and Guidance Framework
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Guidance Framework Guidance Tomorrow
Goals
Define the goals and objectives for providing records
management training to Agency employees (i.e.,
communicating policies and procedures to all records
staff)
Identify the benefits and importance associated with
records management training, such as more effective and
efficient records program, etc.
Responsible Staff or Organizations
Identify what Agency organizations and staff will be
responsible for conducting periodic and on-going records
management training
Authorities
Specify federal or Agency directives which requires on-
going training for records management staff
Activities
Determine when courses should be developed (i.e.,
courses should be offered as policies or procedures change)
Identify several methods for presenting training material
(i.e., briefing format) and the targetted audiences
Identify any themes to be conveyed in all training courses,
regardless of location or staffing level, such as disposition
goals, etc.
Evaluations
Goals
Define the goals and objectives for conducting periodic
and on-going records management evaluations (i.e., in
terms of efficiency and effectiveness)'
Identify the benefits derived from performing
evaluations, such as determining if programs are
consistent with federal and Agency directives
Responsible Staff or Organizations
26 July 1992 EPA Records Management
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Guidance Tomorrow Guidance Framework
Determine where (e.g., HQ and field offices) evaluations
will take place/ and who is responsible for conducting
them
Authorities
Specify federal or Agency directives which require
conducting records management evaluations
Activities
Identify the frequency of program evaluations (i.e., every
yerar)
If possible, determine which records management
components will be included in the evaluations/ such as
disposition
Develop levels of achievement for each component under
review
If applicable/ communicate basic strategy for conducting
evaluations, such as comparing information, or
reviewing record books/ etc./ or identify where additional
instructions can be found
Identify major products/reports to be produced as a result
of an evaluation
Establish need for providing recommendations for
promoting improvements
Require that monitoring tools or mechanisms for follow-
up must be established after an evaluation in which
improvements have been identified
CHAPTER 2 - RECORDS INVENTORY
PURPOSE
State purpose of chapter as providing guidance on conducting
records inventories
GOALS
Define the goals and objectives for conducting periodic and on-
going records inventories to determine the Agency's holdings
Identify the importance and benefits derived from conducting
inventories such as identifying the quantities of records created,
collected and processed
EPA Records Management July 1992 ~
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Guidance Framework Guidance Tomorrow
RESPONSIBLE STAFF AND ORGANIZATIONS
Determine where (e.g., HQ and field offices) evaluations will
take place
Identify staff responsible for initiating or conducting a records
inventory
AUTHORITIES
Specify federal or Agency directives which requires the need to
conduct periodic records management inventories
ACTIVITIES
If applicable establish general timeframes for conducting records
inventories
Describe what is classified as an official Agency record, and what
constitutes non-record material and personal papers, etc.;
identify how to distinguish each and apply the definitions in
practice
Identify what records must be included in a records inventory
(i.e., both administrative and program, including textual, non-
textual, and machine readable)
Identify the major steps involved in conducting an inventory
Refer to more detailed guidance as provided in special topic
manuals or procedures
CHAPTER 3 - RECORDS FILING AND CLASSIFICATION SYSTEMS
PURPOSE
State purpose of chapter as providing guidance on developing
records filing and classification systems
GOALS
Establish goals and objectives associated with records filing and
classifying records
RESPONSIBLE STAFF
28 July 1992 EPA Records Management
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Guidance Tomorrow Guidance Framework
Delegate staff responsible for designing and maintaining filing
and classification systems in Headquarters program and
administrative, Regional, and Laboratory, offices
AUTHORITIES
Specify any federal or Agency directives which require creating
and records filing and classification systems
ACTIVITIES
Highlight main considerations for updating/revising filing and
record classification systems such as identifying the types of
records used in the office (i.e., program, administrative)
Identify the main types of filing systems (i.e., subject) and records
classification schemes (i.e., alphabetic)
Identify main steps associated with developing a filing system,
such as conducting a records inventory
Identify any required-use classification systems (i.e., the
abbreviation 'ENF must be used Agency-wide as a code for
identifying all enforcement files)
Address the advantages or disadvantages of personal filing
systems
State that each office should develop their own records
filing/classification system manual or file plan and why this is
important
Make reference to special topic manuals which provide guidance
on classifying contractor, non-textual and machine-readable
records
CHAPTER 4 - FILE MAINTENANCE AND USE
PURPOSE
State purpose of chapter as providing guidance for maintaining
and using Agency records
EPA Records Management July 1992
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Guidance Framework Guidance Tomorrow
GOALS
State goals and objectives that will accommodate Agency-wide
file maintenance in terms of providing prompt access to needed
records and facilitating record control and oversight
Identify benefits derived from effective file maintenance
practices, such as saving storage space, and eliminating
unneeded non-record material, etc.
RESPONSIBLE STAFF
Identify key staff responsible for maintaining the Agency's file
systems or establishing procedures concerning file use
AUTHORITIES
Specify any federal or Agency directives which require the
establishment of file/record maintenance practices
ACTIVITIES
As appropriate, designate office file stations, identify importance
of retaining records in designated file stations and identify
examples of misuse, such as employees taking records home
Outline the requirements for establishing tracking systems for
borrowing and returning Agency records from file stations
Describe the importance of performing general file maintenance,
while considering the following functions i.e.:
Creating new records
Following proper filing techniques (i.e., separating
temporary and permanent records)
Ensuring record availability
Handling special records (i.e., confidential, FOIA, non-
textual, machine readable)
Implementing file cut-offs
Refer to special topic manuals on space use and filing equipment
standards, as well as more specific guidance on machine readable
and non-textual records
30 July 1992 EPA Records Management
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Guidance Tomorrow _ Guidance Framework
CHAPTER 5 - PUBLIC ACCESS TO RECORDS
PURPOSE
State purpose of chapter as providing guidance for promoting
public access to Agency records
GOALS
State the goals and objectives for the Agency in terms of public
access to records
RESPONSIBLE STAFF AND ORGANIZATIONS
Identify staff and organizations responsible for ensuring public
access to Agency records
AUTHORITIES
Address federal and Agency directives which define the public's
right to information
ACTIVITIES
Identify the importance of easy record retrieval when
accomodating public access to records
Determine how records could be arranged, or located to promote
public access
Discuss basic considerations for locating frequently requested
public records, such as maintaining inventories
In general terms, discuss EPA's FOIA process
Discuss contractor access to Agency records
Discuss public access considerations for machine readable and
non-textual records
Identify types of records that the public cannot access/as they are
CBI, enforcement sensitive, or Privacy Act information, etc.
Refer to PA's public access policy and guide, and EPA Freedom of
Information Act Manual
EPA Records Management July 1992 31
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Guidance Framework Guidance Tomorrow
CHAPTER 6 - RECORDS DISPOSITION
PURPOSE
State purpose of chapter in terms of presenting a design for the
Agency's records disposition program and outlining key
considerations and practices
GOALS
Identify Agency goals and objectives in practicing records
disposition that relate to preserving historical documentation of
the government and reducing costs through timely destruction
of disposable records (i.e., transfer to NARA)
Identify importance of proper /timely disposal of Agency records
(i.e./ required under law, relieves limited space)
RESPONSIBLE STAFF AND ORGANIZATIONS
Identify individuals primarily responsible for establishing and
overseeing a records disposition program
Identify that all organizations are responsible for implementing
the Agency records disposition program
AUTHORITIES
Specify federal and Agency directives which define requirements
for establishing and maintaining a records disposition program
ACTIVITIES
Identify differences between temporary and permanent records
and outline how to distinguish each in practice
Identify key components of Agency's records disposition
program, i.e.:
Survey disposition schedules
Revise disposition schedules
Inventory records with new schedules and update
Transfer records to NARA
Review and update disposition schedules periodically
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State the importance of educating responsible staff on
interpreting and applying records disposition schedules
Indicate that the records disposition programs and practices must
undergo periodic reviews
Refer to other federal (i.e., NARA) or EPA-specific reference
manuals which provide more detailed guidance or procedures
on records disposition, including Agency disposition schedules,
and disposition of machine readable and non-textual records
CHAPTER 7 - INFORMATION/RECORD SECURITY
PURPOSE
State purpose of chapter as providing guidance for establishing
information or records security practices
GOALS
State goals and objectives in terms of providing for record
availability, protecting confidentiality, and ensuring integrity
Identify potential scope of a records security program (i.e., HQ
and field offices and covers all Agency records, textual, non-
textual, and machine readable)
RESPONSIBLE STAFF
Identify staff responsible for implementing and maintaining the
Agency's record security provisions
AUTHORITIES
Specify federal or Agency directives which require formal
information security as standard practice
ACTIVITIES
Outline framework which defines' overall responsibility for
information/record security in terms of information owners,
information users, information custodians
Identify the need for and general guidelines on determining
sensitivity of records
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Identify primary threats to records management systems in
terms of security and integrity, balanced against record
confidentiality and availability
Address measures to reduce threats to records security
Specify how to communicate record security provisions to all
Agency staff
Refer to additional guidance pertaining to information security
(IRM Security Policy), and securing machine readable records or
other non-textual
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VITAL RECORDS
INTRODUCTION
Purpose
Describe the purpose of the special topics manual
Scope
Describe what this manual covers and its applicability to the Agency's
records management program
Program Objectives
Explain the purpose and objectives of a vital records program. Possible
objectives include:
Safeguard Agency records during an emergency
Maintain continuity of operations during an emergency
Recover to full operations following an emergency
Protect rights and legal interests of citizens and government
- Legal Authorities
List legal regulations requiring the establishment of a vital reocrds
program, including:
Federal
Agency-wide
BACKGROUND
Answer some of the most commonly asked questions about vital
records, such as: How can electronic or audiovisual vital records be
identified?
RESPONSIBILITIES
Describe the responsibilities of the individuals responsible for
implementing this program:
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Senior Agency Managers (AAs, RAs, ARAs, etc.)
Emergency Preparedness Coordinator
Records Management Coordinator
Records Officer
Vital Records Officer
RECORDS MANAGEMENT GUIDELINES
Provide guidance on establishing an Agency-wide vital reocrds
program
Evaluation of potential emergencies and the extent to which
records are threatened
Emergency preparation and planning
Designate vital records staff and communicate
responsibilities
Identify vital records
Maintain master list of vital records
Locate alternate record storage facility
Prepare plans for record transfer
Actions during emergency situations
Mobilize vital records staff
Initiate steps for transfer of vital records to alternate sites
Retrieve vital records
Review vital records program effectiveness
Ensure staff understand responsibilities
Maintain constant listing and location of all vital records
OTHER INFORMATION SOURCES
List who to call for more information (e.g., hotlines, records centers,
etc.), such as:
EPA's National Records Management Program, (202) 260-5911
NARA's Records Administration Information Center, (202) 501-
6025
Also list reference documents, such as:
2160 - Records Management Manual, EPA, 1984
Model Records Management Manual
Facilities and Support Services Manual
GLOSSARY OF TERMS AND ACRONYMS
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AUDIOVISUAL RECORDS
INTRODUCTION
Purpose
Describe the purpose of the special topics manual
Scope
Describe what this manual covers and its applicability to the Agency's
records management program.
Program Objectives
Explain the purpose and objectives of an audiovisual records
management program. Possible objectives include:
Identify and protect the Agency's audiovisual records
Provide guidance on the creation, maintenance, use, and
disposition of audiovisual records
Establish guidance on the physical security and preservation of
audiovisual records
Improve recordkeeping practices through periodic reviews
Legal Authorities
List legal regulations requiring a program to manage audiovisual
records, including:
OMB Circular A-130: "Management of Federal Information
Resources"
OMB Circular A-114 for motion picture stock footage of
nondefense Federal agencies
44 U.S.C. 2904 and 3101
36 CFR 1232: Audiovisual Records Management
41 CFR 101-42.3: "Recovery of Precious Metals and Strategic and
Critical Materials" (for silver-bearing photographic film)
EPA's records management policy
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Guidance Framework Guidance Tomorrow
BACKGROUND
Answer some of the most commonly asked questions about
audiovisual records, such as: What are audiovisual records
(photographs? motion pictures? graphic art?)? Where are audiovisual
records likely to be generated and found? What are the components of
audiovisual records?
RESPONSIBILITIES
Describe the responsibilities of the individuals responsible for
implementing this program:
Senior Agency Managers (AAs, RAs, DRAs, ARAs, etc.)
Records Management Personnel (NRMP Manager, Records
Management Coordinators, Records Officers, etc.)
SIRMOs and other IRM Managers
EPA Librarians and Information Center Managers
RECORDS MANAGEMENT GUIDELINES
Provide guidance on the full lifecyde of audiovisual records
Identification and Filing Potentially Permanent Audiovisual
Records
Inventorying Audiovisual Records
Application of General Records Schedules
Disposition
Storage and Preservation
Transfer of Permanent Records to the National Archives
OTHER SOURCES OF INFORMATION
List who to call for more information (e.g., hotlines, records centers,
etc.), such as:
EPA's National Records Management Program, (202) 260-5911
NARA's Records Administration Information Center, (202) 501-
6025
NARA's National Audiovisual Center, (301) 763-1896
NARA's Motion Picture, Sound, and Video Branch, Special
Archives Division, (703) 756-6451
Also list reference documents, such as:
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2160 - Records Management Manual, EPA, 1984
Managing Audiovisual Records, KARA Instructional Guide
Series, 1990
Managing Cartographic and Architectural Records, NARA
Instructional Guide Series, 1990
Model Regional Records Management Operating Procedures
Manual, EPA, 1991
NARA General Records Schedules (GRS) 21: "Audiovisual
Records" and GRS 17 for disposable cartographic records and
remote sensing imagery recorded on film
GLOSSARY OF TERMS AND ACRONYMS
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CONTRACTOR RECORDS
INTRODUCTION
Purpose
Describe the purpose of the special topics manual.
Scope
Describe what this manual covers and its applicability to the Agency's
records management program.
Program Objectives
Explain the purpose and objectives of a contractor records management
program. Possible objectives include:
Create and maintain records to document and manage
contractor-operated programs
Establish guidance on the physical security and preservation of
contractor records
. Improve recordkeeping practices through periodic reviews.
Legal Authorities
List legal regulations requiring a program to manage contractor records,
including:
OMB Circular A-130: "Management of Federal Information
Resources''
44 U.S.C. 3101: The Records Disposal Act
36 CFR 1234: Electronic Records Management
EPA's records management policy.
BACKGROUND
Answer some of the most commonly asked questions about contractor
records, such as: What are contractor records? What is the importance
of contractor records? What background data are needed to support
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contractor records? How are contractor records acquired? Is it acceptable
for contractor records to be in electronic form?
RESPONSIBILITIES
Describe the responsibilities of the individuals responsible for
implementing this program:
Senior Agency Managers (AAs, RAs, DRAs, ARAs, etc.)
Records Management Personnel (NRMP Manager, Records
Management Coordinators, Records Officers, etc.)
Contract Management Staff, including Delivery Order Project
Officers
SIRMOs and other IRM Managers
RECORDS MANAGEMENT GUIDELINES
Provide guidance on the full lifecycle of contractor records.
Identification and Filing Potentially Permanent Contractor
Records
Inventorying Contractor Records
Application of General Records Schedules
Disposition
Storage and Preservation
Transfer of Permanent Records to the National Archives
OTHER SOURCES OF INFORMATION
List who to call for more information (e.g., hotlines, records centers,
etc.), such as:
EPA's National Records Management Program, (202) 260-5911
NARA's Records Administration Information Center, (202) 501-
6025
Also list reference documents, such as:
2160 - Records Management Manual, EPA, 1984
Managing Electronic Records, NARA Instructional Guide Series,
1990, pp. 7-8
Model Regional Records Management Operating Procedures
Manual, EPA, 1991
GLOSSARY OF TERMS AND ACRONYMS
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ELECTRONIC RECORDS
INTRODUCTION
Purpose
Describe the purpose of the special topics manual
Scope
Describe what this manual covers and its applicability to the Agency's
records management program
Program Objectives
Explain the purpose and objectives of an electronic records
management program. Possible objectives include:
Identify and protect the Agency's electronic records
Provide guidance on the selection of electronic media
Provide guidance on the creation, maintenance, use, and
disposition of electronic records
Ensure the physical security of information stored on electronic
media.
Improve recordkeeping practices through periodic reviews
Legal Authorities
List legal regulations requiring a program to manage electronic records,
including:
OMB Circular A-130: Management of Federal Information
Resources
44 U.S.C. 3301: The Records Disposal Act
36 CFR 1234: Electronic Records Management
36 CFR 1228.188: Transfer of Machine Readable Records to the
National Archives
EPA's records management policy
Implementation of Image Processing Systems, EPA OIRM Policy
Directive
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BACKGROUND
Answer some of the most commonly asked questions about electronic
records, such as: What are electronic records? What are the common
types of electronic records? How do you distinguish between computer
files which generate official records and computer files that replace
official records? Which electronic storage media are acceptable and/or
preferred by the Agency? by the National Archives?
RESPONSIBILITIES
Describe the responsibilities of the individuals responsible for
implementing this program:
Senior Agency Managers (AAs, RAs, DRAs, ARAs, etc.)
Records Management Personnel (NRMP Manager, Records
Management Coordinators, Records Officers, etc.)
NDPD and Information Systems (ADP) Managers
SIRMOs and other IRM Managers
RECORDS MANAGEMENT GUIDELINES
Provide guidance on the full lifecycle of electronic records.
Identification of Potentially Permanent Electronic Records
Inventorying Electronic Records
Application of General Records Schedules
Maintenance and Use
Labeling and Indexing
Media Care
Selection and Maintenance of Storage Media
Disposition
Transfer of Permanent Electronic Records to the National
Archives
Emergency Planning
Information Security
OTHER SOURCES OF INFORMATION
List who to call for more information (e.g., hotlines, records centers,
etc.), such as:
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EPA's National Records Management Program, (202) 260-5911
NARA's Records Administration Information Center, (202) 501-
6025
NARA's Center for Electronic Records, (202) 501-5565
Also list reference documents, such as:
2160 - Records Management Manual, EPA, 1984
EPA Information Security Manual, EPA, 1989
Managing Electronic Records, NARA Instructional Guide Series,
1990
Model Regional Records Management Operating Procedures
Manual, EPA, 1991
NDPD Operational Policies Manual, EPA, 1992
Use of Optical Disk Systems to Store Permanent Federal Records,
NARA Bulletins 88-8 and 92-2
NARA General Records Schedules (GRS) 20: "Electronic
Records" and GRS 23: "Records Common to Most Offices Within
Agencies"
Care and Handling of Computer Magnetic Storage Media (NBS
Special Publication 500-101), National Bureau of Standards (now
the National Institute of Standards and Technology), 1983
Electronic Recordkeeping, U.S. General Services Administration,
1989
Performance Guidelines for the Legal Acceptance of Records
Produced by Information Technology Systems, Association for
Information and Image Management (AHM), August 1992, (TR-
31)
GLOSSARY OF TERMS AND ACRONYMS
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MICROGRAPHICS RECORDS
INTRODUCTION
Purpose
Describe the purpose of the special topics manual
Scope
Describe what this manual covers and its applicability to the Agency's
records management program
Program Objectives
Explain the purpose and objectives of a micrographics records
management program. Possible objectives include:
Identify and protect the Agency's micrographics records
Provide guidance on the creation, maintenance, use, and
disposition of micrographics records
Establish guidance on the physical security and preservation of
micrographics records
Improve recordkeeping practices through periodic reviews
Legal Authorities
List legal regulations requiring a program to manage micrographics
records, including:
OMB Circular A-130: "Management of Federal Information
Resources"
44 U.S.C. 3301: The Records Disposal Act
36 CFR1230: "Micrographics"
EPA's records management policy
BACKGROUND
Answer some of the most commonly asked questions about
micrographics records, such as: What are micrographics records? What
are the different types of micrographics records and their advantages
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Guidance Framework Guidance Tomorrow
and disadvantages? How can micrographic records be linked with
computer systems? What is the Agency's policy on the continued use
of micrographic records?
RESPONSIBILITIES
Describe the responsibilities of the individuals responsible for
implementing this program:
Senior Agency Managers (AAs, RAs, DRAs, ARAs, etc.)
Records Management Personnel (NRMP Manager, Records
Management Coordinators, Records Officers, etc.)
SERMOs and other IRM Managers
EPA Librarians and Information Center Managers
RECORDS MANAGEMENT GUIDELINES
Provide guidance on the full lifecyde of micrographics records.
Identification and Filing Potentially Permanent Micrographic
Records
Inventorying Micrographic Records
Application of General Records Schedules
Disposition
Storage and Preservation
Transfer of Permanent Records to the National Archives
OTHER SOURCES OF INFORMATION
List who to call for more information (e.g., hotlines, records centers,
etc.), such as:
EPA's National Records Management Program, (202) 260-5911
NARA's Records Administration Information Center, (202) 501-
6025
Also list reference documents, such as:
2160 - Records Management Manual, EPA, 1984
Model Regional Records Management Operating Procedures
Manual, EPA, 1991
GLOSSARY OF TERMS AND ACRONYMS
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SPACE AND EQUIPMENT USE
INTORDUCTION
Purpose
Describe the purpose of the special topics manual
Scope
Describe what this manual covers and its applicability to the Agency's
records management program
Program Objectives
Explain the purpose and objectives of providing guideling on filing
space and equipment use. Possible objectives include:
Acquire and use filing space and equipment in the most efficient
and cost-effective manner
When feasible, design and use centralized (?) file stations
Request used or reconditioned equipment when available
Acquire new equipment only to meet current and future filing
needs; not to improve appearance, etc.
Legal Authorities
List any legal regulations requiring the use of standard office/supply
equipment:
Federal
Agency-wide
BACKGROUND
Answer some of the most commonly asked' questions about the use of
Agency space or equipment such as: Under what circumstances can
filing equipment or supplies be order outside of federal supply centers?
RESPONSIBILITIES
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Describe the responsibilities of the individuals responsible for
implementing this program:
Senior Agency Managers (AAs, RAs, ARAs, etc.)
Records Management Coordinator
Records Officer
RECORDS MANAGEMENT GUIDELINES
Provide guidance on planning and using Agency filing space and
equipment use.
Methods for desigining filing space with advantages and
disadvantages:
Centralized file stations
Decentralized file stations
Personal file stations
General equipment standards
Evaluate office needs and costs of filing equipment
Requesting mechanized or powered filing equipment
Proper filing equipment use
Requesting new and used filing equipment
Standard filing supplies
Requesting filing supplies
OTHER INFORMATION SOURCES
List'who to call for more information (e.g., hotlines/ records centers,
etc.), such as:
EPA's National Records Management Program, (202) 260-5911
NARA's Records Administration Information Center, (202) 501-
6025
Also list reference documents, such as:
2160 - Records Management Manual, EPA, 1984
Model Records Management Manual
Facilities and Support Services Manual
GLOSSARY OF TERMS AND ACRONYMS
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