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.
Records Management                July 1992                             11
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
Policy and Guidance Framework

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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
                                               Policy and Guidance Framework

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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                           ~
Policy and Guidance Framework

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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
                                              Policy and Guidance Framework

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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
Policy and Guidance Framework

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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
                                               Policy and Guidance Framework

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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
Policy and Guidance Framework

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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
32                              July 1992            EPA Records Management
                                              Policy and Guidance Framework

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Guidance Tomorrow	Guidance Framework


      •     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

EPA Records Management             July 1992                      "        33*
Policy and Guidance Framework

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Guidance Framework                                      Guidance Tomorrow
            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
 34                               July 1992             EPA Records Management
                                                Policy and Guidance Framework

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"^^^^^^^•^••'^S'':'' ^'
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Guidance Framework	              Guidance Tomorrow
36                                  July 1992              EPA Records Management
                                                    Policy and Guidance Framework

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Guidance Tomorrow                                    Guidance Framework
                         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:

EPA Records Management             July 1992                             37
Policy and Guidance Framework

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Guidance Framework	Guidance Tomorrow
            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
38                              July 1992             EPA Records Management
                                              Policy and Guidance Framework

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Guidance Tomorrow 	   Guidance Framework
                    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
EPA Records Management            July 1992                              39
Policy and Guidance Framework

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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:
40                             July 1992            EPA Records Management
                                             Policy and Guidance framework

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Guidance Tomorrow	Guidance Framework


      •    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
 EPA Records Management            July 1992                             ซ
 Policy and Guidance Framework

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Guidance Framework	            Guidance Tomorrow
42                                  July 1992              EPA Records Management
                                                    Policy and Guidance Framework

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Guidance Tomorrow	                       Guidance Framework
                   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

EPA Records Management             July 1992                     "        5"
Policy and Guidance Framework

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Guidance Framework	Guidance Tomorrow
      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
44                             July 1992             EPA Records Management
                                             Policy and Guidance Framework

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Guidance Tomorrow    	        Guidance Framework
                    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

EPA Records Management            July 1992                             45
Policy and Guidance Framework

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Guidance Framework	                   Guidance Tomorrow
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:
 46                             July 1992            EPA Records Management
                                              Policy and Guidance Framework

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Guidance Tomorrow	Guidance Framework


      •    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
EPA Records Management            July 1992                             47
Policy and Guidance Framework

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Guidance Framework                                         Guidance Tomorrow
 48                                 July 1992              EPA Records Management
                                                     Policy and Guidance Framework

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Guidance Tomorrow	                    Guidance Framework
                 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

EPA Records Management             July 1992                             49
Policy and Guidance Framework

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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
50                             July 1992            EPA Records Management
                                             Policy and Guidance framework

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Guidance Tomorrow	                             Guidance Framework
                 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
EPA Records Management            July 1992                             51
Policy and Guidance Framework

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Guidance Framework	Guidance Tomorrow
      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
52                             July 1992             EPA Records Management
                                             Policy and Guidance Framework

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