RECORDS MANAGEMENT
THE EPA
RECORDS MANAGEMENT IN EPA
AN OVERVIEW FOR REGIONAL MANAGERS
1989
4 OIRM - RECORDS MANAGEMENT []•
-------
SEMINAR SLI ES
-------
RECORDS MANAGEMENT
IN THE EPA
RECORDS MANAGEMENT IN EPA
AN OVERVIEW FOR REGIONAL MANAGERS
1989
•I OIRM - RECORDS MANAGEMENT ]•
ri
-------
PURPOSE OF OVERVIEW
• Clarify the EPA’s basic records
management goals and definitions
• Expand your understanding of the
records management life cycle
• Answer your questions
[ OIRM - RECORDS MANAGEMENT
V 10
-------
EPA’S BASIC PROGRAM
• TWO-FOLD GOAL OF INTEGRITY AND ACCESS
• CONGRESSIONAL MANDATE WITH NARA (44 U.S.C.)
• ESTABLISHED BODY OF EPA POLICY
• 1977 Delegation of Authority to Field
• 1985 Records Management Manual
• 1987 IRM Policy Manual
• 1988 EPA Notice
10
-------
UNIQUE EPA REQUIREMENTS
• ENVIRONMENTAL LITIGATION REQUIRES
DOCUMENTS, NOT JUST DATA
• LONG ACTIVE LIFE
• ACCESS BY PUBLIC
• SIGNIFICANT ANNUAL GROWTH
OIRM - RECORDS MANAGEMENT
vii
-------
EPA PAPER TIGER
SUPERFUND
RECORDS
I I
1979 1982
I I
1988 1991
OIRM - RECORDS MANAGEMENT
U)
0
0
C -)
w
I L
0
C l )
z
0
-J
-J
2000
1500
1000
500
TOTAL RECORDS
I
1976
I
1985
I ,
I I
1994 1997
(
I
V 10
-------
NON-
RECORDS
PERSONAL
PAPERS
AdminIstrative records,
e.g., personnel, travel
Program r.cord.
e.g., Suporfund sit. fibs,
state Implementation plans
I
OIRM - RECORDS MANAGEMENT
I.
V 1.1
-------
NARA’S DEFINITION OF A RECORD
Recorded Information of continuing administrative, fiscal, legal,
historical, or Informational value, including published materials,
papers, maps, photographs, microfilm, audiovisual,
machine-readable materials (ADP tapes/disks/optical disks)
or other documentary material, regardiess of physical form
or characteristics, made or received by the agency that
evidences organization, functions, policies, decisions,
procedures, operations, or other activities.
11
-------
OIRM GUIDANCE ON RECORDS
A record is any information, recorded on
any medium which may have enduring
value, be it for present operational or
future historical purposes.
( RECOR A GEME—
V 12
-------
OFFICIAL RECORD
ANY FINAL PRODUCT RELATED TO
ADMINISTRATION, ENFORCEMENT OR REGULATION
AND ALL DOCUMENTATION THAT
SHOWS THE DECISION TRAIL
-------
PERSONAL PAPERS
Personal papers are papers of a private or non-official
character which ordinarily pertain only to an individual’s
affairs and will not affect the conduct of Agency business.
Examples:
• Papers accumulated by an official before assuming office
• Materials pertinent solely to an individual’s private affairs
e.g., outside business pursuits or private political associations
• Diaries, journals or other personal notes not prepared for
transacting government business
• Convenience copies of official records kept for personal use
[ OIRM - RECORDS MANAGEMENT J
vii
-------
HON.8ENsIrlve
San
‘ [ RECALl
-,.. ---
‘F
I I
©fl 7 I
v NGj
S
I
I I• I
I I I I
I I I
I I I
aflUM*t
aacan.
S S
_o_ a
an s i is
wITS,
NA if!
RECORDS MANAGEMENT LIFE CYCLE
I
I
1
OIRM - RECORDS MANAGEMENT
-------
ELECTRONIC RECORDKEEPING
FLOPPY DISK
PERSONAL
COMPUTER
HARD DISK
OIRM - RECORDS MANAGEMENT
OPTICAL DISK
[ 1
Q
0
I
11111111 IIIIIIIIII1 _ I _ I ,
L
J
V 10
-------
ROLE OF TECHNOLOGY
• MEET NEEDS THAT OBTAIN FROM FREQUENT
USE OF LARGE SETS OF DOCUMENTS
• POTENTIAL APPLICATIONS FOR EPA’S BASIC
WORK
• LITIGATION SUPPORT FOR ENFORCEMENT AND COST RECOVERY
• REGISTRATION AND INVENTORY OF CHEMICALS
• ADMINISTRATIVE PROCESSING
• FACILITATE PUBLIC ACCESS
• FIRST STEPS ARE ORGANIZING RECORDS AND
EVALUATING THE NEEDS AND ALTERNATIVES
TO MEET THEM
[ OIRM - RECORDS MANAGEMENT 1
vii
-------
TECHNOLOGIES FOR
RECORDS MANAGEMENT
• MICROFORM
- ROLL
- JACKET
- MICROFICHE
- CARTRIDGE SYSTEMS
- APERTURE CARD
- COMPUTER OUTPUT TO MICROFILM(COM)
• OPTICAL DISK
- CD-ROM
- WORM
- UPDATEABLE
[ OIRM - RECORDS MANAGEMENT I
V 10
-------
FACTORS FOR SELECTING
TECHNOLOGIES
MICRO FLOPPY OPTICAL
PAPER FILM DISK DISK
ROLL/CART. 5 1/4 INCH 5 1/4 INCH
STORAGE
CAPACITY
LIMITED
BY SPACE
2,250
DOCUMENTS
PER ROLL
1,250 PAGES
DBL SPACED
250,000
PAGES
DBL SPACED
MEDIUM
LONGEVITY
50 - 500 YRS.
5 - 500 YRS
5 - 10 YRS
10 - 30 YRS
ACCESS
SPEED
MINUTES
LESS THAN
1 MINUTE
LESS THAN
30 SECS
LESS THAN
15 SECS
COST TO
DUPLICATE
100,000
DOCUMENTS
$5,000
$675
$200
$150
OIRM - RECORDS MANAGEMENT
1
I
J
v ii
-------
SEVEN PHASES OF THE
RECORDS MANAGEMENT
LIFE CYCLE
f 1
OIRM - RECORDS MANAGEMENT
I.
vii
-------
POLICY/
OFFICIAL RECORDS
-------
— —
— -i I
—, -‘---—
—
•i
-—
C auüicauon No.: 3 l
A prov& Date: 9/12/88
Safeguardinc and Disposition of Officjaj, Records
As e near the end of another Administration, I wouj.d like
to call attention to EPA policy relating to the disposition of
offic a1 Agency records, extra reference copies (non—record
material) and personal papers. EPA policies contained in the IRM
Policy Manual, Chapter 10, and the Records Managen eri.t Manual are
based on the provisions of 44 United States Code (U.S. Code),
Chapter 31, 36 Code of Federal Regulations, 1220, and 41 Code of
Federal Regulations (CFR) , 201—22.
All EPA employees should become familiar with the policies
in these manuals and the EPA Records Control Schedules to protect
official records in their areas from unauthorized removal and
premature destruction. EPA personnel Should also be aware of
provisions in 18 U.S. Code 2071 which describe penalties for the
willful and unlawful destruction, removal from file and private
-use of official records.
Official records ittay be disposed of only in accordance with
the provisions of the EPA Records Controi Schedules. The
Schedules contain authorized retention periods and instructions
for the disposition of official Agency records which have been
approved by the U.S. Archivist, National Archives and Records
Administration.
Onqinaior Information Management and Services Division/Office of Information
Resources Management
-------
A CRDER 38—1
/12/68
ro ensure the safeguarding and dlsposi::on of official
:eccrds. 9m lOyees should refer o Attachment . -nich descr:bes
off:c al records, extra cc ies of documents 3reserved for
convenience and personal papers. xtra ccp es of docunents are
commonly regarded as nonrecord r tateria1s. Although these
materials cannot be considered as personal papers, a Government
official may accumulate for convenience of reference extra copies
of papers and other materials riic1i he or she has drafted,
reviewed or otherwise acted upon. GOVerIUfleflt officials may be
permitted to retain these extra copies, provided that retention
‘.ould not (1) djmini. h the official records of the Agency; 2)
violate confidentiality required by national security, privacy or
other interests provided by law; or (3) exceed normal
administrative economies.
Many Government officials maintain in their offices papers
oertaining to their personal affairs. Regulations contained in
36 C3R 1220.20 require that pacers oertaining to an lndividual’s
personal affairs be clearly designated as rionoff .c al. These
records must also be filed separately from the off c al records
of the Agency.
Questions relating to the safeguarding or disposition of
Agency records should be directed to your local Records
Management Officer or the Agency Records Management Officer
(382—5911).
Attacflment
Charles L. G ri’zzle .4)
Assistant Administrator for
Administration and Resources
Management
-------
EPA £ OTICZ 88—1
9/12/88
Attachment
Off±c:al ?ec:r s
Official records are made or received :n the conduct of Agency
business. They relate directly o the functions of an office and
they document those functions. They consist of recorded
information of continuing administrative, fiscal, legal.
historical or :nformaticnal value, nc1uding published materials,
papers, maps, photographs, microfilm, audiovisual, optical disks,
electronic records (computer tapes, disks, floppy diskettes) or
other documentary material, regardless of physical form or
characterisz .cs made or received by the Agency that evidences
the organization, functions, policies, decisions, procedures,
operations or other activities of the Government.
Extr2. er nce C v : on-r ccr :teria
Extra copies of docwnents maintained for convenience of reference
are commonly regarded as non—record mater aLs and are disposable
without complying with the provisions of the EPA ecords Control
Schedules.
Personal Papers
Personal pacers are papers of a private or non-official character
thich ordinarily pertain only to an individual’s personal affairs
and will not affect the conduct of Agency business. Examples
include:
o Papers accumulated by an official before assuming office
o 1aterials pertaining solely to an :ndividual’s private
affairs, such as outside business pursuits or private
political associations
o Diaries, journals or other personal notes which are not
prepared for transacting Government business.
-------
DISPOSITION
SCHEDULE
-------
REQUEST FOR RECORDS DISPOSITION AUTHOR IT?
(See Instructions n reversei
GENERAL SERVICES ADMINISTRATION
NATIONAL AR’ HIVES AND RECORDS SERViCE. WASHINGTON. DC 20408
FROM IA .W ,CV orej 4OhJ, m,nti
LEAVE DLANR
OB —
OATE RECEIvED
7— 2. . -
‘iCTIF CATION TO AGENCY
Euviro ental Protect o -c MetIcy
In ScCoraance wurn the Cro, 3Iofls or 44 USC 2305.
me ai oo I reouezi Inci ung amanamer i aQoroYe(
e cect (or tems tnat may marI eø dIsDOIItICtl ( ‘0
ora eo or w.th rawn • in cOlumn 10 ii no recoro
are cr os (ot RICOSSI. me uqna1ure of Vie A,clrivat
not reQuir
MAJOR SUBDIVISION
(Agenc jde)
3 MINOR SUBDIVISION
£ NAME OF PERSON .qITI- , WNOM TO CONFER s TELEPHONE EXT
aarold Webster I 38259l2
Thomas Taaker 382—5911
CERTIFICATE OF AGENCY REPRESENTATIVE
GATE ARCHIVIST QF THE UNITED STATES
I . S
hereby certify that I am authorized to act for this agency in matters cerraining to the oisoosa of the agency’s records
that the recoras proposed for disoosal in tn’s RPquest of S page(s) are not now needed for trie business or this
agency or WIll flOt be rteedecl after tre retention periods speciileO ana that written concurrence from the GeneraL
AccounEing Office. if repuired uncer me pro’sisrons of Title 8 of the GAO Manual for Guicance of Federal AgencLes. ‘s
a nacrted
A GAO concurrence is attacnea, or is unnecessary
STAP4OARO FORM 115 (REV 9-831
P,e,cruo.e Dy GSA
FDMR (41 CFR) 101-11.4
8
7
DATE
//1
C. SIGNATURE OF AGENCY REPRESENTATIVE 0. TITLE
Agency Records Manage nt_Officer
.
B DESCRIPTION OF ITEM
(W(ffi 1 iciiuw L etei or Rete,tnoa PIrIOaJI
9 ORSOR
SUPERSEDED
JOB
CITATION
10 ACTION
TAKEN
WARS USE
O LYJ
1
—
17
The Office Management Records Control Schedule is being
revised to incorporate son items co non to all A offices.
These items include schedules of daily activities, files
dealing with the Privacy Act a d Freedom of Information Act
and Office Administrative Files.
Appendix
B
Schedule
22
Attached is a copy of the revised Office F1amages nt Records
Control. Schedule.
( :i
.)
11 5-t08
PISN 7540-00-634-4064
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
II I LE O P SCI-IEOIJLE COvE RAGL OF SCHEDULE
OFFICE MANAGEMENT RECORDS AGENCYWIPE
RETENTION PERIOO AND DISPOSITION
NAME AND DESCRIPTION OF RECORO/FILE
Office Administrative Files . Records accumulated by
individual offices that relate to the internal
administration or housekeeping activities of the office
rather than the functions for which the office exists.
In general, these records relate to the office organi-
zation, staffing, procedures and communications: the
expenditure of funds, including budget papers, and
the use of office space and utilities. They may
include copies of internal activity and workload
reports (including work progress, statistical and
narrative reports which are prepared in the office
and forwarded to higher levels) and other materials
that do not serve as official documentation of the
programs of the office. Note: This schedule item
is not applicable to the record copies of organ !—
zational charts, functional statements and related
records that document the essential organization,
staffing and procedures of EPA.
Schedules of Daily Activities , Consist of calendars,
appolntnent books, schedules, logs, diaries and other
records documenting meetings, appointments, telephone
calls, trips, visits and other activities of Federal
employees while serving in an official capacity.
Materials determined to be personal records are
not covered by this item.
a. Records containing substantive information
relating to the official activities of high level
officials, the substance of which has not been
incorporated into memoranda, reports, correspondence
or other records included in the official files.
(High level officials include the Administrator,
Deputy Administrator, Assistant Administrators,
Associate Administrators, Regional Administrators,
Laboratory Directors, Office Directors, Staff
Directors and Staff Assistant to the afore-
mentioned officials such as special assistants,
confidential assistants and administrative
assistants.)
Retention : See Disposition.
Disposition : Destroy when 2 years old or
when no longer needed, whichever is sooner.
Retentioni See Disposition.
Disposition : Break file when official leaves
offices then offer records to National Archives.
If the offer is not accepted, destroy the records
6 years after the offer is rejected.
ITEM
NO
rn
n
0
0
S
p .
z
p.
C . ’
rm
S
rm
p.
z
C
p .
r
- EPA rórm 1340-7 p-eej
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
TITLE. OF SCHEDuLE (:ovl I1AGI 01 SculL L’IJLL
OFFICE M NAGPIIFNT RF’COPDS
HAMS ANO DESCRIPTION OF R(C0HC FILE
b. Records of other than high level Federal employees
as defined in “a above containing substantive infor—
nation relating to official activities, the substance
of which has not been Incorporated into official files.
c. Routine materials containing no substantive
information regarding the daily activities of other
than high level officials as defined In a” above
and records of all Federal employees containing
substantive information, the substance of which
has been incorporated into official files.
Privacy Act Requests Files . Files created in response
to requests from individuals to gain access to their
records or to any information in the records pertainina
to them, as provided for under 5 U.S.C. 552a(d)(l).
Includes original request, copy of reply and all
related supporting documents, which may include a
copy of the records requested but does not contain the
official file of records requested.
a. Granting access to all the requested records.
b. Responding to requests for nonexistent records,
to requestors who provide inadeouate descriptions and
to those who fail to pay agency reproduction fees.
(1) Requests not appealed.
(2) Requests appealed.
RETENTION PERIOD AND DISPOSITION
Retention : Retain 2 years.
Disposition : Hreak file at end of year. Keep
in office for 2 years, then destroy.
Retention : See Disposition.
Disposition : Destroy when no longer needed.
Retention : Retain 2 years.
Disposition : Break file at end of year. Keep
in office for 2 years, then destroy.
Petentlon : Retain 2 years.
Disposition : Preak file at end of year. Keep
Tn office for 2 years, then destroy.
I etention : See Disposition.
Disposition : Dispose of in accordance with
the approved disposition instructions for
related subject individual’s record or 3 years
after final adjudication by courts, whichever
is later.
rn
0
a
‘a
z
tl
m
m
z
I-
ITEM
NO
3.
EPA Fwun 13407 2 58 )
-------
U.S. ENVIRONMENTAL PH OTECTION AGENCY—RECORDS CONTROL SCHEDULES
TITLE OF SCHI DIJLU & CjvI I .I (1 SC:i( PULL
OFP CE MANAGEMENT RECORDS ACFNCYWTDE
lIE TEN;ION PSAIQO AND OISPOSITIOH
NAME AND OE5CAIPTION O AECOAO# FILE
c. Denying access to all or part of the records
req ue s ted.
(1) Requests not appealed.
Privacy Act Amendment Case Files . Includes records
relating to an individual’s request to amend a record
pertaining to that individual as provided for under
5 u.S.C. 552a(d)(2) , to the Individual’s request for
a review of the Agency’s refusal of the individual’s
request to amend a record as provided for under 552a
(d)(3) and to any civil action brought by the
individual against FPA as provided under 5 u.S.C.
552a(g).
a. Requests to amend agreed to by EPA. Includes
lndividuat 1 s requests to amend and/or review refusal
to amend, copies of replies and related materials.
b. Requests to amend refused by EPA. Includes
individual’s request to amend and to review refusal
to amend, copies of replies, statement of disanreenent,
justification for refusal to amend a record and related
materials.
Retention : RetainS years.
Disposition : Break file at end of year. Iceep
in office for 5 years 1 then destroy.
Retention ; See Disposition.
Disposition : Dispose of in accordance with the
approved disposition instructions for related
suhiect individual’s record or 3 years after
final adjudication by courts, whichever is
later.
Retention ; See Disposition.
Disposition : Dispose of in accordance with
the approved disposition instructions for the
related subject individual’s record or 4
years after agreement to amend, whichever is
later.
Retention : See Disposition.
Disposition : Dispose of in accordance with
the approved disposition instructions for the
related subject individual’g record, 4 years
after final determination or 3 years after
final adjudication by courts, whichever is
later.
(2) Requests appealed.
m
0
a
‘I ’
z
rn
In
z
I-
4
EPA ofm fl40-7 IZ 55)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
lIT LF OF SCIIUD(J1 F COVURAC, OF (I,I ‘LJLE
OFFICE IIANAGEMENT RF.CORDS AGPNCYWIDP
HElN ION PEHICO ANO DISPOSITION
NAME AND OESCNIPTION OF PICONDIFIIE
Privacy Act Accounting of Disclosure Files . Files
maintained under the provisions of 5 U.S.c. Sc2a(2)
for an accurate accounting of the date? nature and
purpose of each disclosure of a record to any person
or to another agency, including farms for showing
the subject individual’s name, requestor’s nainc’ and
address, purpose and date of disclosure and proof
of subject individual’s consent when applicable.
Privacy Act Control Fi les . Includes records
maintained for control purposes In responding to
requests, including lofls registers and similar
records listing date, nature of request and
name and address of requestor.
a. Log, Register or Listings.
Freedom of Information Act (FOIA) Request File .
Includes copies of Incoming requests for information
under the Freedom of Information Act, copies of the
replies and copies of any intra—agency memoranda
concerning the request. Piles contain correspondence
and supporting document but does not Include copy of
the document requested.
b. Other Files .
Retention : See Disposition.
Disposition : Dispose of in accordance with
the approved disposition instructions for the
related subject individual’s records or 5
years after the disclosure for which the
accountability was made, whichever Is later.
Retention : Petals 5 years.
Disposition : Break files at end of year. Keep
In office for S years, then destroy.
Retention : See Dispositon.
Disposition ; Destroy 5 years after final
action by EPA or final adjudication by courts,
whichever is later.
5.
6.
7.
‘ 5
0
0
U,
z
ci
‘5
‘5
x
I -
EPA Fom I1 O.Y 12.08)
-------
‘ CHLiD 110
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
T IT t t or SCHE OIJLE
OF’FTCP MANAGEMENT RECORDS
I Ovi 1 1 501 C SCI41CI4.ILL
AGFNCYI lTflI’
ITEM
NAME A ltO UESCR1PTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
a. Granting access to all the requested records. Retention : Retain 2 years.
I)lspos lt ion : Break fi le at end of year. Keep
in office for 2 years, then destroy.
h. Responding to requests for nonexistent records;
to rewlestors who provide inadequate descriptions and
to those who fail to pay agency reproduction fees.
(1) Request not appealed. Retent ion : Retain 2 years.
Disposition : Break file at ehd of year. Keep
in office for 2 years 1 then destroy. rn
(2) Request appealed. Retention : See Disposition.
flispositioni Destroy 4 years after final deter—
minat ion by agency or 3 years after final z
adjudication by courts 1 whichever is later.
(See Appendix C , Schedule 4, Item 4).
rn
c. Other Copies. Retention : Retain 1 year.
Disposition : Break file at end of year. Keep
in office for 1 year 1 then destroy.
r
B. FO IA Control riles . Includes loghooks and other records
used for control purposes which show the receipt date,
date of reply, office of referral, payment receipt,
nature and purpose of request, name and address of
requestor and other processing information concerning
FOTA requests.
a. ooks, registers or l istino. Retention : Retain S years.
Disposition : Break file at end of year. Keep
in office for 5 years, then destroy.
b. Other Files. Retention : See Disposition.
Disposition : Destroy 5 years after final action
or after final adjudication by courts, whichever
is later.
•orcn i f S- v (2
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
1 1 I E OIr SC -II DuLl OVE r AGL OF SCIII t)(ILL-
OFFICE MANAGEMENT RECORDS ACF ’IJCYWTIIF.
ITEM
NO _________ __________________________________________________________
NAME AND OESCRIPTION OF NECORO/FILE
Reading or Chron Files . Includes unofficial copies of
all correspondence and memoranda prepared by an office,
filed chronologically and kept for convenient office
reference. (Reference copies only.)
Travel Expense Files . Includes reference copies of travel
records user) to account for employees while on travel
status, and to reauest reimbursement or balance due on
travel funds authorized. Records consist of travel
authorization record, travel advance applications,
transportation requests, travel voucher copies,
reimbursement claim copies, copies of hotel, meal,
and other expense receipts and related correspondence.
(Reference copies only.)
Personnel Reference Files . Includes reference copies of
personnel records maintained at the supervisory level.
Records consist of copies of personal aualifications
statements, position descriptions, personnel action
forms, performance evaluations, and other related records
(Reference copies only.)
Employee Training Files . Includes reference copies of
employee training records, maintained at the supervisory
level. Records consist of training request, authorization,
and record forms, nomination forms, interagency training
agreement forms, and other related correspondence and
records. (Reference copies only.)
Requests/Requisitions for Supplies or Services . Includes
reference copies of requests for office services or
supplies, printing, etc. Records consist of procurement
reguests/requisition forms, requests for duplicating or
printing, building/labor services, machine requests, and
other related records. (Reference copies only.)
14. Office Equipment Service Contracts File . Includes
reference copies of service agreements for office
equipment maintenance, or other contractural agreements
for office services. (Reference copies only.)
RE TEN EION ermoc AND OISPOSITION
Retention : Retain current plus 1 year.
Dis ositIon : Keep in office current plus I
additional year, then destroy.
Retention : Retain 2 years.
Dis?osition : Dreak file each year. Keep in
otfice for 2 years, then destroy.
Retention : Retain until separation or termi-
nation of employment.
Pisposition : Keep in office until separation
or termination of employment, then destroy.
etention : Retain current plus 1 year.
pis osition : Keep in office current plus I
additional year, then destroy.
Retention : Retain current plus 1 year.
flis osition : Keep in office current plus 1
additIonal year, then destroy.
Retention : Retain until obsolete or superseded.
D1sposition Keep In office until obsolete
or superseded by new agreement, then destroy.
m
0
0
0
z
ci
m
cm
z
C
I-
9.
10
1]
12
13
LEA Fø ,m 13 10-7 p
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
III LF OF SCHEI)I ILE
OPPICE MANAGEMENT RECORDS
c.VI l ACI ( sL-II:I UL I
ACENCYWIDF.
SM
NAME ç R(COflO/ 4LC
RETEHVIQN PERIOD ANO DISPOSITION
15 EPA Directives . Includes copies of all iscuances of the Retention : Retain until obsolete or superseded.
Agency directives systems, used by operatinci personnel as
a reference to Agency policies and procedures. Tncludes Disposition : Keep current in office until
all orders 1 manuals, notices, and olher official issuances. obsolete or superseded, then destory.
(Peference copies only.
Tinekeeper’s Records . Includes records maintainerl by time- Retention : Retain current plus I additional
keepers at the supervisory level to account for employees year.
time for pay and other purposes. Records consist of copies
of Time and Attendance Reports and copies of all supportinq flis osition ; Keep in office current plus 1
report forms, includlnq loqs used to make oriqinal entries ac ditIona1 year, then destroy.
of hours worked and leave expended. 4Reference copies only )
Ill
17 ApplicatIon for Employment —— Persons Not Hired . Includes Petent on : RetaIn 2 years.
personal qualifications statement, interview records, and
other records used In recruitment and selection of persons Disposition ; Keep In office for 2 years, then
considered for employment. (Reference copies only.) destroy providing all equal employment oppor—
tunity requirements have been met. z
C l
m
ml
z
C
I-
TA Form 1340712 8 )
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
IITLE OF SChEDuLE
ASSISTANCE AND INTERAGENCY AGREEMENT RECORDS
NAME AND DESCRIPTION OF RECORO/FILE
Program Management File . Records relating to development,
management, and evaluation of assistance agreements.
a. Policy and regulations which establish and implement
operational procedures for the administration of assistance
agreements.
b. General administrative correspondence pertaining to
normal day—to—day activities of the Grants Administration
Division.
c. Inquiries Files .
(1) Congressional .
(2) Controlled .
(3) Uncontrolled.
Administrative Reports and Data Relating to Assistance
Agreements .
COVIflAGE O( SCIIEDUL
RETENTION PERIOD AND DISPOSITION
Retention : Permanent.
Disposition : Break file when material has
been superseded or cancelled. Keep in office
2 years, then tran8fer to the FRC. Keep in
FRC 10 years, then offer to the National
Arch I yes.
Retention : Retain 2 years.
Disposition : Break file at end of 1 year. Keep
In offIce 2 years and then destroy.
Retention : Retain 2 years.
Disposition : Break files at end of 1 year. Keep
In office 2 years and then destroy.
Retention : Retain 2 years.
Disposition : Break file at end of year. Keep
in office 2 years and then destroy.
Retention ; Retain 1 year.
Disposition : Break file at end of year. Keep
In office 1 additional year, then destroy.
Retention : Retain 4 years.
Disposition : Break file at end of year. Keep
In office 1 year, then transfer to the FRC.
Destroy when 4 years old.
ITEM
NO
1.
2.
m
0
0
CS
m
z
EPA Form 1340-7 (2-Up
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY— RECORDS CONTROL SCHEDULES
TITLE OF SCHCOIJLE COvIRACL OF .CIICDULC
ASSISTANCE AND INTERAGENCY AGREEMENT RECORDS AGENCYWIDE
ITEM RETENTION PERIOD AND DISPOSITION
NAME AND DESCRIPTION OF RECORD/FILE
Regulations, Standards, and Guidelines . Contains informa-
tion relating to the development of rules and requlations
used for the management and processing of assistance
agreements. Records consist of drafts of proposed regu-
lations and guidelines, internal comments, journal articles
and other supporting literature, proposed rules, response
to proposals, EPA press releases, newspaper clippings, etc.
Deviation Requests . Includes requests for deviation from
established assistance policies and procedures submitted
by award officials.
Assistance Agreement Files . includes records that document
all significant actions and decisions having to do with the
application and resulting agreement. Consist of application
phase, preaward review, funding decision, award documenta-
tion, active projects, non—compliance/disputes, closeout of
completed agreements/projects and audit.
a. EPA Assisted Activities (Research, Demonstration,
Training, Fellowship, Investigation, Surveys , or Studies,
Retention : Permanent.
Disposition : Break file upon final publication
in the Federal Register. Keep in office 1 year,
then transfer to the FRC. Keep in FRC 15 years,
Ihen offer to the National Archives in 5 year
blocks.
Retent ion :
a. Paper Records . Retain until conversion to
microform has been completed.
b. Microform Copy (Official Record Copy) . Retain
4 years.
Disposition :
a. Paper Records . Keep in office until convers-
ion to microform has been completed and microform
is verified for completeness, then destroy.
b. Microform Copy (Official Record Copy) . Break
file at end of year. Keep in office 1 year, then
transfer to the FRC. Destroy when 4 years old.
c. Microform Copy (Working Copy) . Destroy when
no longer needed.
Retention :
a. Paper Records . Retain until conversion to
microform has been completed.
h. Microform Copy (Official Record Copy) . Retain
4 years.
m
0
0
Id
z
c i
m
m
z
I -
etc;. agreements aiministerea Dy Ileaaquarters Grants
Operations Branch or by Regional Office by specific program
delegation.
EPA Form 1340-7 2 08)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
TITLE OF SCHEDULE
ASSISTANCE AND TNTFRAGENCY AGRFF.MENT RFCORDS
COVE AC.I 01 SC,lI LIULt
AGENCYWIDE
EM
NAME AND OESCRIPTION OF RECORO/FILE
RETENTION PERIOD AND DISPOSITION
Disposition :
a. Paper Records . Keep in office until convers-
ion to microform has been completed and microform
is veriCie 1 for completeness, then destroy.
b. Microform Copy (Officia] Record Copy) . Break
file Immediately after closeout of the agreement,
then transfer to the FRC. Destroy when 4 years
old.
c. Other Microform Copies . Destroy when no
longer needed.
b. Continuing Environmental Program Su port Agreements. PAPER RECORD SYSTEM 2
Agreements administered by Regional Offices.
Retention : Retain 4 years.
Disposition : Break file immediately after
closeout of the aqreement, then transfer to the
‘RC. Destroy when 4 years old.
Iii
MICKOGRAPHIC RECORD SYSTEM
Retention :
a. Paper Records . Retain until conversion to
microform has been completed.
b. Microform Copy (Official Record Copy) .
Retain 4 years.
Disposition :
a. Paper Records . Keep in office until
conversion to microform has been completed and
microform is verified for completeness, then
destroy.
b. Microform Copy (Official Record Copy) . Break
file immediately after closeout of the agreement,
then transfer to the FRC. Destroy when 4 years
old.
c. Other Microform Copies . Destroy when no
longer needed.
EPA Fom 1340-712 BaI
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
TITLE OF SCHEDULE (OvrI AGL OF SCHELILILE
ASSISTANCE AND INTERAGENCY AGREEMENT RECORDS AGP.NCYWIDE
SM NAME AND DESCRIPTION OF RECONO/FILE RETENTION PERIOD AND DISPOSITION
c. Waste Water Construction Grant Agreements . Agreements PAPER RECORD SYSTEM
administered by Regional Offices/States.
Retention : RetaIn 20 years.
Disposition : Break file following physical and
administrative completion immediately after
closeout of the agreement, then transfer to
the FRC. Destroy when 20 years old.
MICROGRAPIIIC RECORD SYSTEM
Retention :
a. Paper Records . Retain until conversion of
microform has been completed.
b. Microfoçm Copy (Official Record Copy) . Retain
20 years.
z
Disposition :
In
a. Paper Records . Keep in office until con—
version to microform has been completed and
microform is verified for completeness, then
destroy. Z
C
b. Microform Copy (Official Record Copy) . Break
file following physical and administrative com-
pletion Immediately after closeout of the agree-
ment, then transfer to the FRC. Destroy when
20 years old.
c. Other Microform Copies . Destroy when no
longer needed.
Effi A i0rm1340-7 (2-Ia)
-------
U.S. ENVIRONI4ENTAL PROTECTION AGENCY—RECORDS CONTROL SChEDUlES
TITLU O SCEIEflIILE LOVE flAGE (II SCIIII’ULL
ASSISTANCE AND TNTPRACENCY AGREEMENT RFCORDS AGENCYWII)E
NASIC AND DESCRIPTION O RECORD/FILE
d. Superfund Remedial Planning and Implementation
Aareements . Agreements administered by Regional Offices.
Interagency Agreements File . Record copies of agreements
with other Federal, State, and local government agencies
providing for program assistance or support or other sharin
of agency resources and services. Includes copy of agree-
ment, commitment notice 1 transmittal, and )ustitication
and cost estimate. May also include scope of work,
correspondence, and other supporting papers.
RETENTION PERIOD ANO DISPOSITION
Retention : Retain 20 years after completion of
all cost—recovery litigation.
Disposition : Break file Inmedlately after close-
out of the agreement, then transfer to the FRC.
Destroy when 20 years old.
MICROGRAPHIC RECORD SYSTEM
Retent ion :
a. Paper Records . Retain until conversion to
microform has been completed.
b. Microform Copy (Official Record Copy) . Retain
20 years after completion of all cost—recovery
lit (nation.
Disposition :
a. Paper Records . Keep in office until con—
version to microform has been completed and
microform Is verified for completeness, then
destroy.
b. Microform Copy (Official Record Copy . Break
file immediately after closeout of the agreement 1
then transfer to the FRC. Destroy when 20 years
old.
c. Other Microform Copies . Destroy when no
longer needed.
Retention : Retain 6 years.
Disposition : Break file upon termination of
agreement. Keep in office 1 year, then transfer
to the FRC. Destroy when 6 years old.
ITEM
NO
PAPER RECORD SYSTEM
6.
m l
n
0
0
‘a
z
C)
m
in
z
C
I-
LEA FoIm 13407 l 55)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
luLL OF SCHEI)IILL ‘OVI U GC or SCIIE [ ILILC
ASSISTANCE AND INTF’RAGENCY AGREFMENT RECOPDS CENCYWIDE
ITEM NAME ANO OESCRIPT ION OE RECORD/FILE RETENTION PERIOD AND DISPOSITION
7. Recipient/Contractor Debarment and Suspension Records .
Documents relating to investigations of contractors and
recipients for debarment or suspension from contracting
with or receiving assistance from the Federal Government.
Includes copies of Inspector General reports, attorney
recommendations for actions, notifications to respondents,
respondents’ submissions, hearing transcripts, briefs
and motions, final determinations, and settlement agree-
ments for debarment and suspension cases per 48 CFR
Subpart 9.4 and 40 CFR Part 32, and other related
documents.
a. Case File. Retention : Retain 6 years and 3 months.
Disposition : Break file after case is closed,
period of debarment or voluntary exclusion is
completed or all provisions of the settlement
agreement have been completed, whichever is last.
Feep in office 3 months, then transfer to the z
FPC. Destroy when 6 years and 3 months old.
m
b. Other Records. Retention : See disposition below. m
Disposition : Destroy when no longer needed for
reference.
C
I-
ErA 10mm 1J4U-1 S 00,
-------
TITLE OF scI IEnuLr
REGIONAL ADMINISTRATOR AND STAFF OFFICES
Regional Administrator’s Program Development File . Contains
information related to the development of Regional environ-
mental programs and policies. Records consist of reports
on Regional environmental projects, surveys, special
studies, position papers, legislation, enforcement actions,
and other program documents related to water, air,
pesticide, toxic, and hazardous materials, enforcement,
and environmental services programs. Records used by
Regional Administrator in policy evaluation and program
planning.
Regional Administrator’s Correspondence File . Contains
copies of all program documents that the Regional Adminis-
trator is required to sign and approve. File arranged by
program division, then chronologically. Also includes
copies of correspondence originated by the Regional
Administrator himself.
Regional Administrator and Deputy Administrator’s Program
Management File . Contains information used in the internal
administration and management of the Regional environmental
programs. Records consist of internal budget documents,
personnel planning records, program reports and statistics,
delegations of authority, and other related records.
Continuing Environmental Program Support Agreements Adminis-
tered by Regional Offices . Agreements administered by
Regional Offices.
Public Affairs News Releases File . Contains copies of all
news releases from the Regional Office.
Disposition : Break file at end of year. Keep in
office for 3 years, then transfer to the FRC.
Keep an FRC for 10 years, then offer to the
Regional Archives.
Retention : Retain 5 years.
Disposition : Break rile at end of each year.
Keep in office current plus I additional year,
then transfer to the FRC. Destroy when 5 years
old.
Retention : Retain 10 years.
Disposition : Break file at end of year. Keep
in office 2 years, then transfer to the PRC.
Destroy when 10 years old.
Retention : Retain 4 years.
Disposition : Break file immediately after close-
out of the agreements, then transfer to the FEC.
Destroy when 4 years old.
Retention : Permanent.
Disposition : Break file at end of each year.
Keep in office 3 years, then transfer to the
FEC. Keep in FRC for 10 years, then offer to
the Regional Archives.
1 CIIEO NO
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
,Fu
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD ANO DISPOSITION
I:ovrnACE or sc.IcclIne
REGIONAL OFFICES
Retention: permanent.
1.
2.
3.
4.
5.
m
(1
0
0
z
0
m
m
z
I-
(PAFOim 1310-7(2 B8J
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
TITLE OF SCHC UULE COVE IiAGE 01 S HE11IJLE
REGIONAL ADMINISTRATOR AND STAFF OFFICES REGIONAL OFFICES
ITEM RETENTION PERIOD AND DISPOSITION
NAME AND DESCRIPTION OF RECORO FILE
Public Affairs Program Reference Pile . Contains records
used in the public information activities of the Regional
Office. Records consist of biographical information on
EPA officials, documents on program activities sent from
the program divisions, reports on major program and policy
developments, and other records used in formulating news
releases.
7. Congressional Inquiries File . Contains copies of congres-
sional correspondence received and referred to the program
offices for reply. Includes copies of response.
Regional Program Planning File . Contains records used in
organizational planning and management studies and surveys
related to the Regional Office. Records consist of manage-
ment surveys, organizational and functional statements,
program planning monthly and quarterly status reports,
resourc’s management surveys and reports, and other
related records.
Environmental Impact Statement Preparation File . Contains
information related to the in—house preparation of environ-
mental impact statements by the Regional Office staff.
Also, includes those statements prepared by consultants
for EPA. Records consist of manuscript drafts of state-
ments, notices of intent, correspondence with citizens
groups, news clips, comments on the draft made by all
interested parties, transmittal letters, manuscript for
final statement, and comments on final statement. May
also include copies of environmental assessments 1 special
studies, and other supplementary material created in the
course of statement preparation.
Environmental Impact Statement Coordination Pile .
Contains documents used in review and coordination of
Regional Office comments on projects that may impact on
the environment. Project categories include transpor-
tation 1 urban renewal, water resources, energy develop-
ment, and Federal land use plans. Includes copies of
printed draft statement and printed final and correspon-
dence. Nay aiso include news clips or other materials
relating to the environmental impact statement.
Retention : Retain] years.
Disposition : Break file at end of each year.
Keep in office 3 years, then destroy.
Retention : Retain 5 years.
Disposition : Break file at end of Congressional
session. Keep in office 1 year, then transfer
to the FRC. Destroy when 5 years old.
Retention : Retain] years.
Disposition: Break file at end of each year.
Keep in offic 3 years, then destroy.
Retention : Permanent.
Disposition: Break file upon preparation of final
statement and record of decision. Keep in office
4 years, then transfer to the PRC. Keep in FRC
for 10 years, then offer to the Regional Archives.
Retention : Permanent.
Disposition : Break file upon preparation of
final statement. Keep in office 5 years or
until completion of project, whichever is
earlier, then transfer to the FRC. Keep in
FRC for 20 years, then offer to the Regional
Archives.
6.
8.
9.
10.
m
0
0
z
1%
m
z
C
r
EPA loim 1J40-1
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
TITLE OF SCIILDULE OvfriAGE OF SCI EDULE
REGIONAL ADMINISTRATOR AND STAFF OFFICES REGIONAL OFFICES
ITEM
0
NAME AND DESCRIPTION OF RECORO/FILE
Section X/404 Public Notices File . Contains information
concerning the potential environmental impact of proposed
projects. Projects involve disposal of fill material or
dredged material into the waters of the U.S. as well as
dredging and structure done in water declared navigable by
Corps of Engineers. Records consist of a copy of Notice, a
description of the project plans, EPA evaluation on the
environmental impact of the proposed project, and EPA com-
ments, recommendation, or denial of the project.
Federal Facilities Monitoring File . Contains information
used to monitor the environmental controls in use at in-
stallations and facilities operated by the Federal Govern-
ment, including military installations. Monitoring in-
cludes both air and water program areas. Records consist
of correspondence with the facilities, survey reports
showing inventory of pollution control equipment in use
at the facilities, nature and location of pollution
dischirge, and other factors.
Federal Facilities NPDES Permit Working File . Contains
information used in granting permits to Federal facilities
permitting them to discharge pollutants into the water.
Permits issued under the National Pollution Discharge
Elimination System (HPDES). Records consist of permit
application, correspondence with Corps of Engineers
and applicant, copy of public notice, summary report and
permit copy.
Freedom of Information Response File . Includes copies of
incoming requests for information under the Freedom of
Information Act, copies of replies, and copies of any
interagency memoranda concerning the request. Note: This
file does not contain the Program’s official record of
information being requested.
Speeches by Regional Administrator, Deputy Regional
Administrator, or Staff . Speeches prepared for delivery
at civic functions and professional conferences and
meetings.
RETENTION PERIOD AND DISPOSITION
Retention : Retain 5 years.
Disposition : Break file upon
and comments. Keep in office
destroy.
Retention : RetainS years.
Disposition : Break file each year. Keep in
office 5 years, then destroy.
Retention : Destroy upon expiration and re—
issuance of permit.
D sposttion : Break file upon issuance of permit.
Keep in office until expiration of permit, then
destroy.
Retention : Retain 2 years.
Disposition : Break file at end of year. Keep in
office current plus 1 additional year. Destroy
when 2 years old.
Re tent ion :
a. Record Copy . Permanent.
b. Information Copies . Retain 1 year.
completion of review
for 5 years, then
m
0
0
0
4 1 1
z
CS
m
m
z
C
11.
12.
13.
14.
15.
PA Form lilO-? (2
-------
Ct Efl NO
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
I t ILE OP SCHEDULE Lov(I AGt or
REG [ ONAL ADMINISTRATOR AND STAFF OFFICES REGIONAL OFFICES
ITEM
NAME AND DESCRIPTION OF R(C000/FILE
flETENTION PERIOD AND DISPOSITION
5 Spos it ton :
a. Record Copy . Break file after presentation.
Keep in office 5 years, then transfer to the FRC.
Keep in FRC for 5 years, then offer to the
National ArchLves when 10 years old.
b. Information Copies . Destroy when 1 year old
or sooner if no longer needed.
tn
n
C
a
t
z
0
m
in
C
r
EPA form 1340-7 (2 - 18 )
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY— RECORDS CONTROL SCHEDULES
TITLE OF SChEDuLE
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
NAME AND DESCRIPTION OF RECORD/FILE
State Implementation Plans File . Record copies of plans
developed by each State for the attainment and maintenance
of national ambient air quality standards, as required by
Section 110 of the Clean Air Act, as amended. Plans
approved by Regional offices. Records consist of plan
and amendments, public and industry comments, public
hearing documents, compliance schedules, status reports,
transportation control documents, Section 307 lawsuit
documents, contracts, program reports, and other relaterl
records.
ITEM
NO
1.
2.
Continuing Environmental Program Support Agreements .
Agreements administered by Regional Offices.
COVERAGE OF SCIILLIULL
REGIONAL OFFICES
PAPER RECORD SYSTEM
Retention : Permanent.
MICROCRAPHIC RECORD SYSTEM
Retention :
a. Paper Records . Retain until conversion to
microform has been completed.
b. Microform Copy (Official Record Copy) .
Permanent.
Disposition :
a. Paper Records . Keep in office until conver-
sion to microform has been completed and micro-
form is verified for completeness, then destroy.
b. Microform Copy (Official Record Copy) .
Offer to NARA when 20 years old silver halide
microfilm plus one silver, diazo, or vesicular
duplicate. Transfer certified microfilm in
cubic foot blocks to FRC pending offer to NARA.
c. Other Microform Copies . Destroy when no
longer needed.
PAPER RECORD SYSTEM
Retention : Retain 4 years.
Disposition : Break file immediately after
closeout of the agreement, then transfer to
the FRC. Destroy when 4 years old.
Disposition :
superseded.
to the FRC.
the Regional
Rreak file as plans are revised or
Keep in office 1 year, then transfer
Keep In FRC 20 years, then offer to
Archives.
RETENTION PERIOD AND DISPOSITION
r u
(1
0
0
I - ,
z
C l
m l
ml
z
I-
EPA Form 1340-712 eaj
-------
IT EM
NO
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SChEDULES
1lTLE OF SCHCOIJLE
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
NAME AND DESCRIPTION OF RECORD FILE
Fnvironmental Impact Statement Review and Comment Pile.
Contains Information related to the potential impact of
proposed projects on the environment. used by all air
and hazardous materials programs to prepare EPA comments
on the projects. Records consist of manuscript work
papers used as input to printed draft and final
statement, and other related records.
Air Quality Ilodelin9 Printouts . Printouts showing ambient
air quality data collected at air pollution monitoring
stations. Used as planning models to determine necessary
changes in State Implementation Plans or air quality
regulations.
3.
1.
LOV(l A(,L 01 sclIru%ILt
REGIONAL OFFICES
MICROGRAPIIIC RFCORD SYSTE1I
Retention :
a. Paper Records . Retain until convers 1on to
microform has been completed.
b. Microform Copy (Official Record Copy) .
Retain 4 years.
Disposition :
a. Paper Records . Keep in office until
conversion to microform has been completed
and microform is verified for completeness,
then destroy.
h. Microform Copy (Official Record Copy) .
BreaJ file immediately after closeout of the
agreement, then transfer to the PRC. Destroy
when 4 years old.
C. Other Microform Copies . Destroy when no
longer needed.
Retention : RetainS years.
Disposition : Break file upon preparation of
final statement. Keep in office 1 year, then
transfer to FRC. Destroy when 5 years old.
Retention : Retain 5 years.
Disposition : Break file upon completion of
modeling study. Keep in office 5 years, then
destroy.
RE IENTtON PERIOD AND OISPOSIT(ON
S i’
( 1
0
0
p.
z
p.
C)
Fm
Fm
2
p.
I-
EPA FO,m I3 O 7 (2.B8J
-------
CHED NO
U.S. ENVIRONMENTAL PROTECTION AGENCY —RECORDS CONTROL SCHEDULES
JITLE OF SCHEDULE
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
COvL UAGL OF SCIIC )ULL
RFGIONAI. OFFIrF’s
ITEM
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOC AND DISPOSITION
5. Safety Analysis Reports . Consist of nuclear plant Retention :
construction and process design reports received from
NRC and DOE and reviewed and approved by EPA. Reports a. Tnitlat Report and Changes . Retain until
consist of preliminary or initial report, changes to receipt of final report.
report, and final report.
h. Final Report . See Disposition below.
Disposition :
a. Initial Report and Changes . Destroy upon
receipt of final report.
b. Final Report . Keep in office until super-
seded, then destroy.
0
6. Technical Program Reference File . Contains information Retention : As below.
on nuclear facilities and regulations. Used for
reference. Records consist of printed technical docu— Disposition : Review In office every 2 years,
ments, work papers, and other reference materials retaining files with continuing reference value
concerning nuclear power plants and facilities, and disposing of other materials.
7. Pesticide Producing Establishments Registration File. Retention : Retain 10 years.
contains records used to reqister companies that nianu— -1
facture pesticides, as required by Section 7 of the Disposition : Break file upon termination of
Federal Insecticide, Fungicide, and Rodenticide Act, as registration. Keep in office for 3 years, then
amended. Records consist of applications for registra— transfer to the FRC. Destroy when 10 years old.
Lion, reports submitted by pesticide producing estahlish—
ments, certified mall receipts, and related correspondence.
8. Pesticide Producing Establishments Printouts . Computer Retention : Retain 1 year.
printout reports showing pesticide establishments data
transferred from producers annual reports. Reports show Disposition : Keep in office 1 year after super—
data concerning the kind and amount of pesticides being seded by annual update, then destroy.
manufactured by the establishments.
9. Pesticides Compliance File . Contains information used Retention : Retain 5 years.
to determine compliance of pesticide products with
regulations. Records consist of collection reports Disposition : Break file at end of year. Keep
submitted from field inspectors, notice of inspection, In offIce 1 year, then transfer to the FRC.
receipt for sample, report of analysis, copy of sample Destroy when 5 years old.
label, copy of accepted label, history of official
sample, and acceptance letters.
•T & Form 13407(2 88)
-------
pesticides investigation Case File . Contains information
concerning the alleged misuse or accidental uses of pesti-
cides. Incidents of accident and misuse are investigated
by pesticides staff and referred to legal staff for legal
action if necessary. Records consist of pesticide accident
report or report of investigation, gross analytical diag-
nosis, hospital report and supporting papers, correspon-
dence, and other related records.
Pesticide Chemicals Reference File . Contains information
concerning the chemical properties and composition of
pesticide products. Used for reference. Includes techni-
cal data on the pesticides, testing methods, and other
related materials.
pesticides State Agency Reference File . Contains informa-
tion concerning pesticides programs operated by State
agencies, universities, agricultural extension services,
and other agencies. Records consist of correspondence,
copies of legislation, annual reports, technical docu-
ments, and other related records.
Transportation Control Plans Working File . Contains infor-
mation used in developing plans to achieve national ambient
air quality standards through a reduction of vehicle miles
of travel. Transportation Control Plans are incorporated
in the State Implementation Plans. Records consist of
systems planning information, work programs, studies,
employer incentive plans, strategy papers, copies of
emission standards, and other related records.
Section 109(j) Consistency Reports File , includes annual
reports used In determining the consistency of long—range
transportation plans with State Implementation plans, as
required by Section 109(j) of the Federal Aid Highway Act.
Records consist of consistency reports, correspondence,
staff comments, and revised reports.
Fnergy Coordination Program Reference File . Contains
information relative to the development and implementation
of Federal energy legislation and programs. Records
consist of copies of legislation, fuel availability data,
news articles, correspondence, technical documents, and
other related records.
Retention : RetainS years.
Disposition : Break file upon closing of case.
Keep in office 1 year, then transfer to the FPC.
Destroy when 5 years old.
Retention : As below.
rispositlon : Review in office every 2 years,
retaining files with continuing reference value
and disposing of other materials.
Retention : RetainS years.
Disposition : Break file at end of year. Keep
in office S years, then destroy.
Retention : Retain 7 years.
Disposition : Break file upon completion of
plans. Keep in office 3 years, then transfer
to the FRC. Destroy when 7 years old.
Retention : Retain 10 years.
Disposition : Break file upon completion of
review and comments. Keep In office 5 years,
then transfer to the FRC. Destroy when 10
years old.
Retention : Retain 10 years.
Disposition : Break file every 5 years. Keep
In office 5 years, then transfer to the FRC.
Destroy when 10 years old.
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
,TLE OF SCHEDULE
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
t0V1 I A(.E 0’ &(IICDULL
REGIONAL OFFICES
ITEM P lANE AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND OISPOSITION
10.
11.
12.
13.
14
15
m
( 1
0
0
z
0
m
En
z
C
1
EPA Form 1340-7 Z-U J
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES ,CIIEO NO
TITLE or SCFILOIJLE
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
Coy: I A(.L 01 SCIIC [ ’IJLL
REGIONAL OFFICES
ITEU
NAME AND DESCeIPTION Op R CORO/FILE
RETENTION PERIOD AND OISPOSII IOM
16. Special Studies File . Documents relatinq to the develop— Retention ; Retain 7 years.
ment of special studies for all air and hazardous materials
programs. Includes studies and surveys done in—house as Disposition : Break file upon completion of
well as those done on contract. Records consist Of study. Keep in office 1 year, then transfer to
contractor and grantee proposals, procurement requests, the FRC. Destroy when 7 years old.
task orders, bid evaluation, award notices, payment
records, progress reports, and project work papers.
17. Final Reports Resulting from Special Studieq . Includeq Retention:
printed final reports of special studies and surveys for
all air and hazardous materials programs. a. Record Copy . Permanent.
b. Information Copies . Retain 2 years.
ru
Disposition : 0
0
a. Record Copy . Rreak file upon completion of
study. Keep In office 1 year, then transfer to
the PRC for 20 years, then offer to the Regional
Archives. Ci
m
b. Information Copies . Destroy when 2 years
old or sooner if no longer needed for reference.
18 Program Mananement Files . Contains records pertaining Retention : Retain 10 years
to policy an program development of all air, pesticide
and toxic, and hazardous materials proarams. Records flisposit.ion : Break file at end of 2 years.
consist of correspondence and reports relative to policy Keep in office 2 years, then transfer to the
and programs, interarjency activity, research, manpower FRC. Destroy when 10 years old.
planning, and other related materials.
19 State Hazardous Waste Program Pile . Includes records Retention : Retain c years.
that document a State operated hazardous waste program.
Records consist of application requests to operate the Disposition : Break file when program Is die—
State program in lieu of the Federal program (background continued. Keep In offIce 1 year, then transfer
and supporting documentation), review and evaluation of to the FRC. Destroy when 5 years old.
State application, authorization to State, evaluation
and oversight of State program and related correspondence
between EPA and the State, cooperative arrangement between
State and EPA where authorization has not been given to
a State, monitoring of grant expenditures by State,
guidance to State on Federal financial requirements, and
advice to State to add or delete a hazardous waste from
the list of hazardous wastes.
Form 1340-7(2 iO (
-------
Hazardous Waste Technical Material . Contains technical
material relating to hazardous wastes, standards for
generators, transporters, and owners/operators of treat-
ment, storage, and disposal facilities, which are used
in technical evaluations. Pecords consist of technical
reference publications, manuals, and other technical
materials.
RCRA Training Material . Contains records used hy Regional
personnel to conduct training programs for State personnel.
Records consist of Instructional materials, participant
rosters, manuals, and other training aids and materials.
State Solid Waste Management Plans . Includes records
that document a State Solid Waste lianagement Plan for
closing existing or upgrading open dumps. Records
consist of a copy of the proposed State Solid Waste
Management Plan, review and evaluation of plan, corres-
pondence between the State and EPA, public notice
announcing receipt of plan, public comments, public
notice announcing approval of plan, copy of approved
plan, and other related records.
Hazardous Site File .
a. Contains documentation of policy and decision made
by Headquarters and Regional personnel concerning the
cleanup of uncontrolled hazardous waste sites. Records
include correspondence between the Region and head—
quarters and other Federal agencies, priority list for
cleanup of hazardous waste sites, reports, approval of
design and engineering of waste containment/remedIal
system, requests from Region for additional money to
continue cleanup operations, and other related records.
Includes Index (paper and microform).
Retention : Retain until superseded.
Disposition : Dreak file when superseded. Keep
In office 1 year, then destroy.
Retention : Retain until superseded.
Disposition : Rreak file when material is super-
seded. Keep in offIce 1 year, then destroy.
Retention : RetainS years.
Dispos1tion Break file when State program is
discontinijeti. Keep in office 1 year, then
transfer to the FPC. Destroy when 5 years old.
PAPE’R RE’CORD SYSTEM
Retention : Permanent.
Disposition : Break file upon completion of all
cost-recovery litigation. Keep in office 2
years, then transfer to the I’RC. Offer in 5
year blocks to NARA when 20 years old.
.cHcu NC
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
1 ITLE OF SCIIEDIILE
AIR AND hAZARDOUS WASTE PROGRAM RECORDS
I OVE I AG1. (ii St -Ii DULL.
REGIONAL OFFICES
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
20.
21.
22.
23.
m
( ‘I
0
0
(I ’
x
0
m
z
I-
EPA Fo,n, 1340 7(2 U)
-------
;rHCO NO
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECOHDS CONTROL SCHEDULES
I l YLE o SCIlfI)t)LF
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
0v1 ( ‘sC.I UI icllr:c tlLL
REGIONAL OFFICES
NAME AND D€SCSIPTION OF ALCONO/FILE
RE1EIITION PrAsOD AND DISPOSITION
MICRO(RAPIIIC RECORD SYSTEM
Re tent ion :
a. Paper Records . Retain until conversion to
microform has been completed.
h. Microform Copy . Permanent.
b. Contains documentation and information conc rn1ncj
the remedial investigations and feasibility studies of
uncontrolled hazardous waste (Superfund) sites. Records
include contractor notebooks of field observations,
calculations, maps, photographs, drawings, supporting
documentation, draft and final reports used in the
investigation and choice of a remedial action at a
Superfund site. Includes indexes (paper and microform).
Disposition :
a. Paper Records . Keep in office until conver-
sion to microform has been completed and micro-
form is verified for completeness, then destroy.
h. Microform Copy . Break file upon completion
of all cost—recovery litigation. Keep in office
2 years, then transfer to the FRC. When 20 years
oJd, offer to NARA in 5 year blocks.
c. Other Microform Copies . Destroy when no
1 ong r needed.
PAPER RECORD SYSTEM
Petentlon : Permanent.
Disposition : Dreak file upon completion of all
cost—recovery litigation. Keep in office 2
years, then transfer to the FRC. Offer in S
year blocks when 20 years old.
MICROCRAPHIC RECORD SYSTEM
Retention :
a. Paper Records . Retain until conversion to
microform has been completed.
b. Microform Copy . Permanent.
m
c -S
0
0
2
m
m
2
r
roim 1240 7(2 8
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY —RECORDS CONTROL SCHEDULES
TITLE OF SCuCOUIE COvE I AC,L 01 .CIIFDULL
AIR AND HAZARDOUS WASTE PROGRAM RECORDS REGIONAL OFFICES
RETENTION PE 5100 AND DISPOSITION
NAME AND DESCRIPTION OF RCCOR0 FILE
Cooperative Agreements . Contains records used in the
development of a cooperative agreement between EPA and
a State to take action to cleanup an uncontrolled hazar-
dous waste site pursuant to Section 104(C)(3) of the
Comprehensive Environmental ResponsP, Compensation, and
Liability Act. Records consist of application for assis-
tance 1 State plan for respondlnq to hazardous waste
incident, correspondence between the State and EPA
concerning the agreement, evaluation of application,
copy of approved agreement, claims submitted by State
for reimbursement, audit of State claims, reports, and
other related records.
Priority List for Cleanup of Hazardous Waste Sites .
Contains records used to develop a priority list of
uncontrolled hazardous waste sites that pose an Imminent
threat to the public health or welfare or environment.
Records consist of State list of priorities, correspon-
dence documenting coordination between EPA and the State
regarding ranking of sites, documentation of verification
by Region that documentation supporting the site scores
exists in State or Regional files, Regional list of
priorities, copy of worksheet for each facility scored
by the Region/State, summary document for each site
describing the site conditions or problems, document that
specifies the enforcement status for each candidate site,
and other related records.
Disposition :
a. Paper Records that have been microfilmed .
Keep in office until conversion to microform
has been completed and microform Is verified
for completeness, then destroy.
h. Microform Copy . Break file upon completion
of all cost-recovery litigation. Keep in office
2 years, then transfer to the PPC. When 20 years
old, offer to NARA in 5 year blocks.
c. Other Microform Copies . Destroy when no
longer needed.
1. f per records that have not been microfilmed .
Permanent. Keep in office 2 years, then transfer
to PPC. O(fer to NARA in S Vear blocks when
20 years old.
Petentlon : Retain 20 years after completion of
all cost—recovery litigation.
Disposition : Ereak file upon completion of all
Cost-recovery litigation. Keep In office 4
years, then transfer to the FRC. Destroy when
0 years old.
Retention : Retain 20 years after completion of
all cost—recovery litigation.
Disposition : Hreak file upon completion of all
cost—recovery litigation. Keep in office 4
years, then transfer to the FRC. Destroy when
20 years old.
I TEN
NO
24.
25.
m
0
a
‘ I.
z
C)
m
iii
z
(PA Form 13407(2 aej
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY— RECORDS CONTROL SCHEDULES
TITLE OF SCuEI)IJLF COvf I AGL OF S( IIrL ULL
AIR AND HAZARDOUS WASTE PROGRAM RECORDS REGIONAL OFFICES
ITEM RETENTION PERIOD AND DISPOSITION
NAME AND DESCRIPTION or RECORD/ruLE
Claims . Contains records used to dociinienf the settlement
of claims (fled against the Fund under Section 112(a) of
the Comprehensive Fnvironmental Response, Compensation,
and Liability Act. Records consist of the official claim,
determination by the Agency that the claimant had been
given preauthorization to respond to the hazardous waste
incident, EPA’s official notification to responsible
parties of the claim, documentation of the attempts and
arrangement to settle the claim between the responsible
parties and the claimant, verification that the claimant
did take the action to cleanup the hazardous waste
incident, determination by the Agency that the claim Is
not a duplicate or fraudulent claim, documentation of
claim submitted to Board of Arbitrators when claim cannot
be sett:led, and a copy of the agreement of the final
settlement of the claim.
Prevention of Significant Air Quality Deterioration (PSI))
Non—applicability Files . Contains records that document
the decisions relating to the PSFI Non—applicability deter-
mination. Records consist of source data and request [ or
non—applicability determination, related correspondence
between State and FPA, technical evaluations and EPA
determination.
Retention : Retain c years.
Disposltlorii Break lile upon settlement of
claim/completion of cost-recovery actions. keep
in office 1 year, then transfer to the FRC.
Destroy when 5 years old.
PAPER RECORD SYSTEM
Retention : Retain 5 years.
Disposition : Freak tile upon Issuance of non—
applicability deterslnation. Reep in office I
year, then transfer to the FRC. Destroy when
5 years old.
MICROGRAPF( [ C RECORD SYSTEM
Retent ion i
a. Paper Records . Retain until conversion to
microform has been completed.
b. Microform copy (Official Record Copy) .
Retain S year i.
Disposition :
a. Paper Records . Keep in office until conver-
sion to microform has been completed and micro-
form is verified for completeness, then destroy.
m
( 1
0
0
“I
z
C)
m
m
x
C
r
26.
27.
EPA Forni 1340-7 (2 88)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
TITLE OF SCIIL DIILE
AIR AND HAZARDOUS WASTE PROGRAM RECORDS
TEN
No
NAME * 1 10 DESCNIPTION OF RECORD/FILE
2B. Prevention of Significant Air Ouality Deterioration (PSD)
Permit Files. Contains records used in issuance of air
pollution permits under the Prevention of Significant Air
Ouality Deterioration (PSD) Program. Permits issued to
municipal, State, industrial and rederal air pollution
permit; correspondence with applicant and State agency;
technical support document; copy of the final determina-
tion: and copy of the final PSI) permit with conditionS.
Also, includes copies of permit revisions, extensions,
and other related records. Note: PSI) files on sources
which have been closed or which have not emitted pollu-
tants for a period of live years may be retained if the
potential for air pollutant emissions has not been
eliminated, I.e., process equipment for facilities have
not been dismantled or removed from the site.
( OVi ilA( i 01 S lit (‘IJLE
REGIONAL OFFICES
RE TEN TIOFI PERIOD AND DISPOSI TION
h. Microform Copy (Official Record Copy) . Break
file upon issuance of non—applicability determina-
tion. Keep in office 1 year, then transfer to
the FRC. Destroy when 5 years old.
c. Other Microform Copies . Destroy when no
longer needed.
PAPER RECORD SYSTEM
Retention : Retain 5 years.
Disposition : Rreak file when facility ceases to
be operable as permitted or is permanently shut
down. Keep in office 1 year, then transfer to
the FRC. Destroy when 5 years old.
MICROGRAPIIIC RECORD SYSTEM
Retent ion :
a. Paper Records. Retain until conversion to
microform has been completed.
h. Microform Copy (Official Record Copy) .
Retain 5 years.
Disposition ;
a. Paper Records . Keep in office until conver-
sion to microform ha9 been completed and micro-
form is verified for completeness, then destroy.
b. Microform Copy (Otficlal Record Copy) . Break
file when facility ceases to be operabYe as
permitted or is permanently shut down. Keep in
office 1 year, then transfer to the FRC. Destroy
when 5 years old.
c. Other Microform Copies . Destroy when no
longer needed.
m
I,
0
0
‘ I I
z
C-)
m
z
p.
r
EPA FOrm 1340-7 (2 lj
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
I IT LL OF SCIIEIIIPt r ( O\i! UAGL UI sc:ULI•uLL
AIR AND HAZARDOUS WASTE PROGRAM RECORDS REGIONAL OFFICES
PIAME AIlO O SCAIPTION OF RFCORO FILE
State Prevention of Siqniftcant Air Quality Deterioration
( PSD) Program Files . Contains records that document a
State-operated PSO permitting program. Pecords consist
of the permit application; State ’s technical evaluation,
preliminary determination and recommendation to FPA; FPA
comments, public notice 1 public comments; final PSD permit
with conditions; and related documents.
Medical Records Containing Tissue Samples Data . Includeq
copy of death certificate, patholoqy laboratory results,
autopsy reports, plutonium assay results (or liver and
lung tissues, consent form for the use of the tissues in
the study, results of telephone interviews with pereoris
who knew the deceased, and letters from the investigators
to the physician, friends, and relatives of the deceased.
PrrENTION PEHIOD AP40 OISPOSITIOH
PAPP.R RECORI) SYSTEM
Retentions RetainS years.
Disposition : Break file when facility ceases
to be operable as permitted or is permanently
shut down. Keep in office 1 year, then transfer
to the FRC. Destroy when 5 years old.
MICROCRAPIIIC RECORfl SYSTEM
Retention :
a. Paper Records . Retain until conversion to
microform has I leen completed.
b. Microform Copy (Official Record Copy) .
Retain S years.
Disposition :
a. Paper Records . keep in office until conver-
sion to microform has been completed and micro-
form is verified for completeness.
h. Microform Copy (Official Record Copy) . Break
file when faculty ceases to be operable as
permitted or is permanently shut down. Keep in
office 1 year, then transfer to the FRC. flestroy
when 5 years old.
C. Other Microform Copies . Destroy when no
longer needed.
Retention : Retain 50 years.
Dispositloni Break file upon completion of study.
Keep in oflice 1 year, then transfer to the FRC.
Destroy when 50 years old.
IT FM
MO
29.
30
m
n
0
a
z
p .
C,
m
is
z
C
r
E A Form 1 3 10 - 7 2 88)
-------
U.S. ENVIRONMENTAL PROTECTtON AGENCY—RECORDS CONTROL SCHEDULES
TITLE O SCHFDI:LE COVERAGE Ot SCIIIOULE
ENFORCFMENT RFCORDS RFGIONAL OFFTCFS
NAME ANO OESCRIPIION OE RCCOROIF,LE
UPDES Permits Pile . Contains records used in Issuance of
pollution discharge permits under the National Pollution Dim
charge Elimination System (NPDES) program. Permits issued
to municipal, industrial, agricultural, and Federal facility
dischargers by EPA Regional Offices or authorized state
agencies. Records consist of application for permit; corres
pondence with applicant, Corps of Engineers, and certifying
agency; copy of public notices and comments; public hearing
requests; copy of summary reports and permit rationale; and
permit copy.
RCRA Permit File . Contains records used in the issuance or
denial of a permit to an owner/operator of a facility that
treats, stores, or disposes of hazardous wastes under the
Resource Conservation and Recovery Act (RCRA) Program.
Records consist of the notification form, application for
permit (Parts A and B), background and supporting documen-
tation. pub]ic notice (FR document) announcing receipt of
application, comments and records of public meet m ci, tenta-
tive determination to issue/deny permit, statement of basis
PAPER RFCORD SYSTEM
RETENEION PERIOD AND DISPOSITION
Retention : Retain 5 years.
Disposition : Break file when facility ceases to
operate or emit pollution. Keep in office 1 year,
then transfer to the PRC. Destroy when 5 years
old.
PIICROGRAPHZC RECORD SYSTEM
Ret ent ion :
a. Paper Records . Retain until conversion to
microform has been completed.
b. Microfoçni Copy (Official Record Copy). Retain
5 years.
Disposition :
a. Paper Records. Keep in office until conversion
to microform has been completed and microform is
verified for completeness, then destroy.
b, Microform Copy (Official Record Copy) . Break
file when facility ceases to operate or emit pol-
lution. Keep in office 1 year, then transfer to
the FRC. Destroy when 5 years old.
c. Other Microform Copies . Destroy when no longer
needed.
PAPER RECORD SYSTEM
Retention : RetainS years.
Disposition : Break file when facility ceases to
operate or emit pollution. Keep in office 1
year, then transfer to the FRC. Destroy when 5
years old.
m l
n
0
0
z
0
ml
ml
z
C
ITEM
NO
EPA Fozm 1340-712 88
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
Ill Lt OF SCI4EOIILE C.OVF nAGE OF SCSIrPULI.
— PNFORCFMENT RECORDS RRC .IANA1. nFryrrc
RETENTION e ioo AND DISPOSITION
NAME AND DESCRIPTION OF RECORD/FILE
for minor facility or fact sheet for major facility, public
notice (FR document) announcing EPA approval or denial of
permit, comments and records of public hearinq, copy of
permit, exception reports, closure and post—closure actions,
copy of Inspection reports, compliance reports, manifests,
delisting of hazardous waste(s), correspondence between
EPA and the permittee, copy of liability Insurance policy
or document providing evidence of financial responsibility,
records and documentation relating to changes during interim
status, and other related records.
Notifications Excludzn Treatment, Storage, or Disposal.
Contains copy of notification, correcpondence between the
notifier and EPA, revised notification form, and other
appropriate records.
Compliance Files — All Pollution Sources . Contains records
used to determine Compliance with pollution regulations and
to recommend legal enforcement actions If necessary. Speci-
fic documents vary from source to source and program to pro-
gram, but generally include copies of compliance schedules,
permit revisions, monitoring or compliance reports, applica-
tions for compliance schedules and requests for schedule
waiver or modification. If source appears to be out of com-
pliance, file will include letters requesting additional
information from the source, technical evali,at ion reports by
Regional Office, and recommendations for legal action
against the source to enforce compliance.
IIICPOCPAPHIC RECORD SYSTEM
Retention ;
a. Paper Records . Retain until conversion to
microform has been completed.
h. Microform Copy (Official Record Copy) . Break
file when facility ceases to operate or emit pol-
lution. keep In office 1 year, then transfer to
the FRC. Destroy when 5 years old.
C. Other Microform Copies . Destroy when no longer
needed.
Retention : Retain 3 years.
Disposition : Break file when determination has
been made that information Is not needed. Keep In-
office 3 years, then destroy.
PAPER RECORD SYSTEM
Retention : Retain current plus 5 years.
Disposition : Break file each year. Keep In office
5 years, then destroy.
MICROCPAPIIIC RECORD SYSTE4
Retention :
a. Paper Records . Retain until conversion to
microform has been completed.
b. Microform Copy (Official Record Copy) . Retain
current plus 5 years.
Disposition :
a. Paper Records . Keep in office until conversion
to m 1 croform has been completed and microform is
verified for completeness 1 then destroy.
m
C.’
0
a
4. -I
p.
z
p.
C l
rn
z
p.
F.
3.
4.
EPA Fo,m 1340-7(2 68)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
III L OF SCHEOIJtE I OVE I GE ØF SC,ICIqJLE
ENFORCF.MENT RECORDS REGIONAL OFFICES
U NAME ANO DESCRIPTION OF RECORD/FILE RETENTION PERIOD AND OI5pO5I1iOI
b. Microform Copy (Official Record Copy. ) Break
tile when facility ceases to operate or emit p01—
lution. Keep in office 1 year, then transfer to
the FRC. Destroy when 5 years old.
c. Other Microform Copies . Destroy when no longer
needed.
Enforcement Action Case Files — All Pollution Programs . ___________________
Includes all cases referrel to Legal staff from all program
offices for legal action against a pollution source or dis-
charger. Document contents vary from program to program 1w
generally includes records used to determine compliance ______________________
(item 4 above) and in addition: memos or transcripts docu-
menting informal meetings with officials of pollution ___________________
sources, pre-consent order correspondence, briefino memos,
final consent orders, and court documents including briefs, ______________
pleadings, judgment documents, and appellate documents.
Disposition :
a. No Legal Action Required . Break file after
settlement or closing of case. Keep in office
year, then transfer to the FRC. Destroy when 5
years old.
b. Routine Legal Actions . Break tile after
settlement or closing of case. Keep in office 2
years, then transfer to the PRC. Destroy when 20
years old.
c. Landmark Cases . Break file upon settlement or
closing of case. Keep in office 5 years, then
transfer to the FRC. Keep in FRC 15 years, then
offer to the PRC. Keep in FRC 15 years, then offer
to the Regional Archives.
MICROCRAPHIC RECORD SYSTEM
Retent Ion :
a. Ho Legal Action Required .
I. Paper Records . Retain until conversion to
microform has been completed.
2. Microform Copy (Official Record Copy).
PAPER RECORD SYSTEM
Retention ;
a. No Legal Action Required . Retain 5 years.
b. Routine Legal Actions . Retain 20 years.
C. Landmark Cases . Permanent (EPA Administrator
designates actions as landmark or precedent cases.)
rn
a
U
z
m
z
C
I-
5.
EPA Form 1340-7 (2.88)
flCLaiII .} ycaL .
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
TITLE OF SCkIEDLJLC C OVE I 1ACE. 01 SCIIrDIILL
ENPORCF.MENT RECORDS REGIONAL OFFICES
ITEM NAME AND CESCRIPTION OF RECORD/FILE RETENTION PERIOD AND DISPOSITION
b. Routine Legal Actions .
1. Paper Records . Retain until conversion to
microform has been been completed.
2. Microform Copy (Official Record Copy) .
Retain 20 years.
c. Landmark Cases .
1. Paper Records . Retain until conversion to
microform has been completed.
2. Microform Copy (Official Record Copy) .
Permanent. 0
Disposition :
a. No Legal Action Required .
I. Paper Records . Keep in office until con—
version to microform has been completed and micro— rn
form is verified for completeness, then destroy.
2. Microform Copy (Official Record Copy) .
Break file after settlement or closing of case.
Keep in office 1 year, then transfer to the FRC. r
Destroy when S years old.
3. Other Microform Copies . Destroy when no
longer needed.
b. Routine Legal Actions .
1. Paper Records . Keep in office until con-
version to microform has been completed and micro-
form has been verified for completeness, then
destroy.
2. Microform Copy (Official Record Copy) .
Break file after settlement or closing of case.
Keep in office 2 years, then transfer to the FRC.
Destroy when 20 years old.
3. Other Microform Copies . Destroy when no
longer needed.
EPA rOIm 1340-742 eo
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY — RECORDS CONTROL SCHEDULES
TITLE OF SCHEDULE rOV1 flACE Of SCIIELLILE
ENF0RCFMF NT RFCORDS RFGIONAL OFFICFS
NAI4E AND OESCI IPTION OP PECORD!FILE
RETENTION PERIOD AND DISPOSITION
C. Landmark Cases .
Faoid Tei Amortization File . Contains records used to
grant Federal tax deductions to facilities that have In-
stalled pollution control equipment anti devices. Records
consist of applications, state certifications, technical
review by Regional Office, legal review by Regional Office,
Federal certification, and related correspodence.
Public Hearings File . Contains records used in conducting
public hearings at which interested groups comment on pro-
posed indirect sources regulations, compliance schedules,
and transportation control regulations. Records consist 01
citizen and congressional inquiries, administrative documen-
tation arranging the hearing, public notice of hearing, and
copy of hearing transcript, RCRA permit, 404(c), NPRS.
Adjudicatory Hearings File . Contains records used in con-
ducting hearings in which issues of fact concerning regula-
tion enforcement are decided. Records consist of adminis-
trative documents arranging hearing, public notices of hear—
inqa, prehearing transcripts, Adminisitrative Law Judge
judgment orders, transcript of hearing, all exhibits enter-
ed, and other related records.
State Regulations File . Contains copies of State environ-
mental regulations used for reference.
1. Paper Records . Keep in office until con-
version to nicrotoriiThas been completed and micro-
form is verified for completeness, then destroy.
2. Microform Copy (Official Record Copy) .
Offer to NAPA when 20 years old silver halide
microfilm pills one silver, diazo, or vesicular
duplicate. Transfer certified microfilm in cubic
foot blocks to FRC pending offer to NARA.
3. Other Microform Copies . Destroy when no
longer needed.
Retention : RetaIn 7 years.
Bisposit io n : Break file upon Federal certifica-
tion. Keep in office 2 years, then transfer to the
FPC. Destroy when 7 years old.
Retention : Permanent.
Disposition : Break file upon completion of hear-
ing. Keep in office until all required action
items have been completed, then transfer to the
FRC. Keep In FRC 10 years, then offer to the
Regional Archives.
Petention : Permanent.
Disposition : Break file upon completion of hear-
ing. Keep in office until all required action
items have been completed, then transfer to the
PRC. Keep in FRC 10 years, then offer to the
Regional Archives.
Petentioni See Disposition below.
Disposition : Destroy when no longer needed for
reference.
NO
6.
7
H.
9
F”
C l
0
0
I -.
z
C)
F”
m
z
LPA Form I340 7 (2 581
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
TITLE r SC.IIO ,ILr COvI IiAC.I O SCIII t LIL E
ENFORCF’MFNT RECORDS RFGIONAL OFFICES
NAME AND DESCRIPTION OFRLCOROIFILE
State rmplementation Plans Pile . Contains copies of State
implementation plans and revisions to plans approved by
legal staff.
Compliance Schedules File . Contains copies of schedules,
proposed Federal Register package and Final promulgation.
Schedules are approved by legal staff and used for
reference.
Enforcement and Liability Records . Contains records used
to document the liability and liananclal responsibility of
an owner or operator of an uncontrolled hazardous waste
site. Records consist of a copy of official notification
from the owner/operator of a facility that the facility is
in compliance with Section l07 k)(2) of the Comprehensive
Environmental Response, Compensation, and Liability Act;
documentation of determination by the Agency that the
owner/operator of a facility has or has not complied; copy
of any Administrative action for judicial review; official
notification from owner/operator that financial responsi-
bility has been established consistent with the risks assoc
lated with the type of waste at the site; documented verifi
cation by EPA that the owner/operator has established
appropriate financial responsibility; copy of notification
to owner/operator of the facility for the need to adjust
financial responsibility, demand letter, referral of case
for filing of judicial action; and other related records.
Legal Reference File . Contains records used by legal
staff for reference on legal programs, control strateoies,
hearing procedures, judicLal review environmental legis-
lation, and other reference materials.
Program Management File . Contains records pertaining to
all phases of the development and nmangaqement of the
Regional enforcement programs including permit adminis-
tration, compliance determination, and legal enforcement
actions. Records consist of correspondence and reports
relative to policy and programs, manpower and budget, etc.
RETENTION PERIOD AND DISPOSITION
Retention : See Disposition below.
Disposition : Destroy when no longer needed.
Retention : Retain 5 years.
Disposition : Break file upon approval of
schedules. Keep in office 5 years, then destroy.
Retention : Retain 20 years after completion of
legal and cost—recovery actions.
Disposition ; Break file upon completion of all
legal and cost—recovery actions. Keep in office
2 years, then transfer to the FRC. Destroy when
20 years old.
Retention : See Disposition below.
Disposition ; Review in office every year retaining
files with continuing reference value and disposing
of other materials.
Retention : Retain 10 years.
Disposition : Break file at end of 2 years. Keep
in office 2 years, then transfer to the FRC.
Destroy when 10 years old.
m
I - ’
0
0
I -I
z
C ’
m i
in
z
I-
I T EM
NO
10
11.
12.
14.
-------
U.S. ENVIRONMENTAL PIIOTECTIO II AGENCY—HECOHOS CONTROl. SCHEDULES
TITLr OP SCHEOIJLE (.OVFKAGL QF sc ifrouLE
ENPORCEMP.NT RPCOPDS REGIONAL OFFICES
— NAME AND OESCNIPTIOI4 OF R CORD FILE
Pntorcement/Corip liance Administrative Files . Includes ________
correspondence with States on EPA policy, state implemen-
tation plan revisions and comments, state enforcement
commitment, and results of State audits.
Retention : Retain 5 years.
DisEositlon : Rreak file at end at year.
office 1 year, then transfer to the FRC.
when 5 years o’d.
Keep in
Destroy
RETENTION PERIOD AND OISPOSIIION
n
rn
n
0
a
U I
z
C)
m
S
in
z
C
r
ITEM
‘ In
15
EPA Foim 1310-7 j2 I I I
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
TITLE OF SCHED(JLE COvE RP GE OF SCIII’IJLC
ENVIRONMENTAL SERVICES PROGRAM RECOPOS REGIONAL OFFICES
i• M REIENTION PERIOD AHO DISPOSITION
NAME AND OESCRIPTION OF RECORD/FILE -
Stationary Source Compliance File . Includes stationary
source Inspection reports showing measurements of emissions,
type of equipment installed, efficiency of control equipment
operation, and other information used to determine compli-
ance with air pollution regulations. Reports prepared by
field inspectors and transmitted to enforcement program [ or
possible legal action.
State and Local Agency Monitoring File . Includes records
used to monitor State and local air pollution program5.
Records consist of quality assurance reports of state and
local ambient monitoring networks, staff reviews and com-
ments on Section 105 grant applications, and audit reports
showing performance of the agencies.
Citizen Complaints File . Includes copies of complaints and
inquiries from citizens on various pollution problems and
copies of replies.
Standards and Regulations Review and Comment File . Includes
copies of standards and regulations sent from Headquarters
programs for review and comment by regional office.
Oil and Hazardous Materials Facility Files . Includes
records resulting from investigations of oil and other
hazardous materials spills and records related to spill
prevention program.
a. Spill Investigation and SPCC Compliance Inspection
Records consist of spill reports and supporting
papers showing case history of spills. Used in civil or
criminal actions against spiller. Also, includes SPCC plan
compliance inspection reports, time extension requests, and
other related records.
b. SPCC Facility Plans . Records detailing spill prevention
program of facilities, submitted to regional offices as re-
quired by regulations. Includes plans and amendments pres-
cribed by the Regional Administrator.
Retention : RetainS years.
Disposition ; Break file at end of each year.
Keep in office 5 years, then destroy.
Retent ion : Permanent.
Disposition ; Break file at end of each year.
Keep in offIce 5 years, then transfer to the FRC.
Keep in FRC 15 years, then offer to the Regional
Arch I yes.
Retention : Retain 3 years.
Disposition : Break file at end of each year.
Keep in office 3 years, then destroy.
Retention : Retain 2 years.
___________ Break file upon completion of review
Keep In office 2 years, then
Retention , Retain 5 years.
Disposition ; Break file at end of each year or
upon termination of case, whichever is applicable.
Keep in office 1 year, then transfer to the FRC.
Destroy when 5 years old.
Retention ; Retain 5 years.
Disposition : Break file upon completion of amend-
ment implementation or end of year. Keep in
office 5 years, then destroy.
pisposit ion ;
and comment.
destroy.
m
fl
0
0
I ’.
z
C ’
m
m
z
C
r
1.
2.
3.
4.
5.
EPA Form 1340-7 (2-Be)
-------
(1.5. EHVIIIONMENTAL PAOTECI1ON M Et1CY—flECOODS CONIHOL SCHEDULES
mi E SCHFntJLE CCJ jFI AGL 01 SCI 0ULC
ENVIRONI4ENTAL SERVICES PROGRAM RECORDS REGIONAL OFFICES
I TEM
NO ____________________________________________________________
NAME AND OESCNIPTIOH OF F1ECOHO/FILE
NPDES Compliance Monitoring File . Includes inspection
reports used to determine compliance with pollution dig—
charge permits Issued under the National Pollution Discharge
Elimination System (NPDES). Reports forwarded to F’nforce-
rnent program for legal action If necessary. Field offices
maintain copy plus supporting papers including lab analysis
records, field log books, calculation notes 1 permit Informa-
tion, and other records.
RCRA Compliance Monitoring File . Includes inspection re-
ports used to determine compliance with permits Issued to
facilities that treat, store, or dispose of hazardous
wastes. Reports forwarded to Enforcement program for legal
action If necessary. Field offices maintain report copy pi.i
supporting papers including lab analysis records, field log
hooks, calculation notes, permit Information, and other
records.
Water Quality Stream File . Includes survey inspection re-
ports on water quality of streams and rivers. Data Is used
to calculate effluent waste load allocations by water plan-
ning staff. Field offices maintain report copy plus suppor-
ting papers Including lab analysis data, working papers , and
other related records.
Special Studies File . Documents relating to the development
of special studies for all environmental services programs.
Includes studies and surveys done in—house as well as those
done on contract. Records consist of contractor and grantee
proposals, procurement requests, task orders, bid evalua-
tion, award notices, payment records, progress reports, and
project work papers.
Final Reports Resulting from Special Studies . Includes
printed final reports of special studies and surveys for all
environmental services programs.
EIEN lION PERIOD AND OISPOSITION
Retention; Retain current plus 10 years.
Disposition: Break file each year. Keep in
offIce 5 years, then transfer to the FRC. Destroy
when 10 years old.
Retention : Retain current plus 5 years.
Disposition : Break file each year. Keep In
offIce 5 years, then destroy.
Retention ; Retain 10 years.
Disposition ; Hreak file upon completion of survey
,report. Keep In office 10 years, then destroy.
Retention ; RetainS years.
Disposition ; Break file upon completion of study.
Keep in office 5 years, then destroy.
Petent ion ;
a. Record Copy . Permanent.
b. Information Copies . Retain 2 years.
m
n
0
0
U.
z
a.
C l
m
m
z
a.
I-
6.
7.
8.
9.
10
EPA Fo,m 134G.? (2 )
-------
Program Management files . Contains records pertaining to
policy and program development of all environmental ser-
vices programs. Records consist of correspondence and
reports relative to policy and programs, interagency acti-
vity, research, manpower planning, and other related
materials.
Natural Disaster Assistance Pile . Includes records conduc-
ting damage assessment surveys, as required by Presidential
disaster declarations. Records consist of correspondence
preliminary damage assessments, damage surveys, interim and
final inspection reports, and other related records.
Disposition :
a. Record Copy . Break file upon completion of
study. Keep In office 1 year, then transfer to
FRC. Keep in FPC 20 years, then offer to the
Regional Archives.
b. Tnlormatlon Copies . Destroy when 2 years old
or sooner if no longer needed.
Retention : Retain 10 years.
Disposition : Break file at end of 2 years. Keep
In office 1 year, then transfer to the FRC.
Destroy when 10 years old.
Retention : Retain 5 years.
fl1sposItion Break file upon completion of final
inspections for all applicants. Keep in office 1
year, then transfer to the FRC. Destroy when S
years old.
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES CHED NO
IFILE or SCHEDULE
ENVIRONMENTAL SERVICES PROGRAM RECORDS
CVI I AC.L 0 ’ S IIrI IJLL
REGIONAL OFFICES
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD AND DISPOSITION
Ii
12
m
(1
0
U
I -I
z
ci
rn
En
z
C
I-
EPA FQIm 1J40-7 z-isp
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
NAME AND DESCRIPTION OF RECORD/FILE
program Management File. Contains information relating to
ll phases of program management and planning for the water
planning programs. Records include policy and procedure
documents, legislative reference materials, program plannin
reports, budget materials, and other related records.
Continuing Environmental Program Support Agreements and
Waste Water Construction Grant Agreements Administered
Regional Offices . These types of agreements are covered by
the Assistance Agreement Files Records Control Schedule in
Appendix B, Schedule 4, item 2 b. and c. Note: this in-
cludes all agreements administered by your Program.
Wild and Scenic Rivers Studies File . Contains documents
used in making recommendations concerning classification
of wild and scenic rivers. Records consist of studies of
the rivers and reports reCommending classification.
Section 102(b) Studies File . Contains documents relating
to water quality storage in Federal reservoirs, under Sec-
tion 102(b) of the Federal Water Pollution Control Act, as
amended. Records used as basis for recommending water
quality storage in Federal reservoir projects. Federal
agencies include Corps of Engineers, Soil Conservation Ser-
vice, Federal Power Commission. Records consist of techni-
cal reports and supporting data and related correspondence.
Note: This program has been phased out.
Section 303(e) Basic Planning File . Contains records rela-
ted to the development of river basin plans submitted by
State planning agencies and reviewed and approved by the
Regional offices under Section 303(3) of the Federal Water
pollution Control Act, as amended. Records consist of tech
nical reports such as waste load allocations, recommenda-
tions for basin—wide abatement program, copies of final
basin plans, and related correspondence.
I OvEUAGE or SCHII’ULL
REGIONAL OFFICES
Retention : Retain 10 years.
Disposition: Break file at end of 2 years. Keep
in office 2 years, then transfer to the PRC.
Destroy when 10 years old.
Retention : See Records Control Schedule No. 4
stern b. and c. in Appendix B.
Retention : Permanent.
Disposition: . Break file upon completion of
Regional study and classification. Keep in office
5 years, then transfer to the FRC. Keep in FRC 5
years, then offer to the Regional Archives.
Retention: Retain 20 years.
Dis !itiOn: Break file upon completion of studies
and recommendations. Keep in office 10 years,
then transfer to the FRC. Destroy when 20 years
old.
Retention : Retain 7 years.
Disposition : Break file when plans are revised
or superseded. Keep In office 3 years, then
transfer to the FRC. Destroy when 7 years old.
Ill LE OF SC lCOIILf
WATER PROGRAM RECORDS
RETENTION PERIOD AND DISPOSITION
ITE N
NO
1.
2.
3.
4.
5.
In
0
0
( I l
p .
z
p.
0
m
In
z
C
p.
I-
EPA Form 1340712 88)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
IITLc OF SCHEDuLE COVF RAGE OF SCHEDULE
WATER PROGRAM RECORDS REGIONAL OFFICES
NO RETENTION PERIOD AND DISPOSITION
NAME AND DESCRIPTION OP RECORO FILE
water Quality Standards and Regulations File . Contains
records used to develop standards and regulations to imple-
ment provisions of water program legislation. Standards
originated by both States and Federal government. Records
consist of correspondence concerning promulgation of new
standards and revision of existing ones and supporting docu
mentation. hay also include news clips, Federal Register
tear sheets, and other related records.
1. Water Quality Modeling File . Contains documents pertaining
to various water quality niithematical models that are used
in basin planning.
b. Correspondence . Includes correspondence related to
the river model.
Nuclear Power Plant Thermal Pollution Pile . Contains in-
formation on proposed power plants. Used by Regional Offic
to prepare comments on the potential impact of the faciLity
on water quality.
Load Allocation Working Papers . Contains data showing the
technical basis for assigning load allocations to die—
chargers. Used as supporting papers for Section 303(e)
Basin Plans.
Final State Water Quality Management Plans . Printed copies
of State Water Quality Management Plans submitted by State
planning agencies and reviewed and approved by Regional
Offices. Includes plans formulated under the 303(e) Basin
Planning Program and the 208 Areawide Planning Program.
Retention : Retain 7 years.
Dispos&tion: Break file upon promulgation of stan-
dard or regulation. Keep in office 2 years then
transfer to the FRC. Destroy when 7 years old.
Retention : RetaIn 20 years.
Disposition : Break file at end of year. Keep in
office 20 years, then destroy.
Retention : Retain 2 years.
Disposition : Break file at end of year. Keep in
office 2 years, then destroy.
I etentton : Retain 10 years.
Disposition : Break file upon completion of review
and comments. Keep in office 5 years, then trans-
fer to the FRC. Destroy when 10 years old.
Retention : Retain 5 years.
Disposition : Keep in office 5 years or until
revised or updated, then destroy.
Retention : Permanent.
Disposition :
superseded.
to the PRC.
the Regional
Break file when plans are revised or
Keep in office 3 years, then transfer
Keep in FRC 10 years, then offer to
Archives.
a. Data Abstracts .
m
1,
0
0
z
C’
z
C
I-
6.
8.
9.
10.
tFA Porm liED-i (S EEJ
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
TITLE O 5CI EI)IJLE LOVtI AGE or SCHEdULE
WATER PROGRAM RECORDS REGIONAL OFFICES
________________________________________________________- RETENTION PERIOD AND DISPOSITION
NAME AND OESCRIPTIOII OF RECORDIFILE
Interagency Agreements/Cooperative Agreements Pile .
Contains documents used in coordinating interagency
activities in water planning programs. Records consist
of interagency agreenents, and procedures for coordination.
Water Programs Legislation Pile. Contains information
used as reference to Federal water pollution legislation.
Also, includes policy and procedures and other program
materials on the implementation of the laws.
Yearly Allocation Ledgers on Contructiori Grant Fund .
Ledgers show credits and debits to all grant project
accounts under PL 84—660 and PL 92—500.
a. Official Records .
b. Other Copies .
State Water Supply Program Evaluation File . Evaluations
of State drinking water programs prepared by Regional
Offices. Contains evaluation reports listing program
accomplishments and deficiencies, supporting documentation,
correspondence and other related papers. Also, includes
evaluation of drinking water laboratories operated by
State agencies.
Special Studies Pile . Documents relating to the develop-
ment of special studies of all water programs. Includes
studies and surveys done in-house as well as those done on
contract. Records consist of contractors and grantees
proposals, procurement cequest8 , task orders, bid evalua-
tion 1 award notices, payment records, progress reports, and
work papers.
Retention : Retain 3 years.
Disposition : Break file upon termination of
agreements. Keep in office 3 years, then destroy.
Retention : Retain 5 years.
Disposition : Keep in office 5 years, then
dest roy.
Retention : Retain 7 years
Disposition ; Break file as accounts are closed
and audit excb t ions are resolved. Keep in office
1 year, then transfer to the FRC. Destroy when
7 years old.
Retention : See Disposition below.
gisposition : Destroy when no longer needed.
Retention ; Retain 5 years.
____________ Break tile upon completion of
Keep in office 1 year then transfer
Destroy when 5 years old.
Retention : Retain 3 years.
Disposition : Break file upon completion of study.
Keep in office 3 years, then destroy.
Disposition ;
evaluation.
to the FRC.
11
12
13
14
15.
m
0
0
In
z
c i
m l
m
z
C
r
EPA oimI340-7 2 881
-------
CI4LD 140
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEOULES
TITLE or SCHrOIJLE
WATER PROGRAM RECORDS
COVE PAGE O SCIIEOIJLL
REGIONAL OFFICES
NAME AND DESCRIPTION OF RECORD/FILE
RETENTION PERIOD ANO DISPOSITION
16 Special Studies — Final Reports . Consists of printed Retention:
reports (final copies) on water proyram topics, prepared
in—house or on contract. a. Record Permanent.
b. Information Copies . As determined by users’
needs.
Disposition :
a. Record Copy . Break file upon completion of
study. Keep in office 10 years, then transfer
to the FRC. Keep in FRC for 10 years, then offer
to the Regional Archives.
m
b. Information Copies . Destroy when no longer
needed.
17 Water Supply Legal Work File . Contains records, related Retention: R5tain 3 years.
to input provided by water supply staff Into Regional z
Office legal actions taken to insure compliance with rules, Disposition : Break file upon completion of legal
regulations, and guidelines. Records consist of memoranda, action. Iceep in office 3 years, then destroy.
compliance reports, and supporting papers. u s
18. Interstate Carrier Program File . Contains information con— R etention : Retain 20 years.
cerning water supply sources on inter—state carriers, such
as buses, trains, airplanes, etc. Records consist of yearl Disposition : Break file each year. Keep tn
reports showing water quality on the carriers, letters office 3 years, then transfer to the FRC. Destroy
assigning water quality classification to the carriers, when 20 years old.
inspection reports of water supplies, and related records.
Note: This Program has been phased out.
19. Inventory of State Water Supply . Reference copies of a Retention : Retain 1 year.
data collection report showing the name and location of
water supplies, type of treatment and laboratory control, Disposition : Break file upon verification by
and other information. Original report sent to States. Keep in office 1 year, then destroy.
Headquarters and used as input to final water Supply
Report.
Form 1340-7(2 ES)
-------
U.S. ENVIRONMENTAL PROTECTION AGENCY—RECORDS CONTROL SCHEDULES
TITLE Q 5CI IEDULE I;OvEriAGL OF SCHEDULE
WATER PROGRAM RECORDS REGIONAL OFFICES
HAUL AND C€SCkIPTIOPI OF RECORD/FILL
Water Supply Program Reference File . Contains information
related to various technical aspects of water supply pro.-
gram and used [ or reference. Includes such topics as con-
taminants, cross—connection control disease and epidemio-
logy, pesticides and toxic materials, treatment methods 1
reference manuals, and other reference materials.
Water Supply Training File . Contains records used by
Regional staff to conduct training programs for State
water supply personnel. Records consist of instructional
materials, applications, participant rosters, manuals,
arid other training aids and materials.
Underground Injection Control Dl Files . Contains records
used in the issuance of underground injection control
permits under the Safe Drinking Water Act. Permits issued
to individual well owners by EPA Regional Offices or
authorized State agencies. Records consist of application,
correspondence with applicant, copy of permit, well inspec-
tion reports, and related records.
a. Files for permits issued by EPA Regional Offices.
b. Files for permits issued by States.
Sole Source Aquifer Piles . Contains information relating
to the determination of sole source aquifers. Records con-
sist of maps, positions for designation, summaries of
public comments, newspaper clips, and clips from the
Federal Register, etc., and information relating to the
development and implementation of regulations.
RETLH ION PERIOD AND DISPOSITION
Retention : As determined by users’ needs.
Disposition : Review in office every 2 years,
retaining iTles with continuing reference value
and disposing of other materials.
Retention : Retain 4 years.
Disposition : Destroy when 4 years old or sooner
it no longer used for reference.
Retention ; Permanent.
Disposition : Retain in office 5 years after the
w ll is closed, then transfer to the appropriate
field branch of the National Archives.
Retention ; Retain 5 years.
Disposition : Break file upon expiration of permit.
Keep in office 1 year, then transfer to the FRC.
Destroy when 5 years old.
Retention ; Permanent.
Disposition : Break file every 10 years arid
transfer to the FRC. Keep in PRC 15 years, then
offer to the National Archives.
m
0
0
I , ,
z
0
m
m
z
r
Nfl
20
21
22
23.
ro,inI54Q-7 2 R I)
-------
RECORDS MANAGEMENT MANUAL
-------
WA TRANSMITTAL
CLA IFICAflON 4O.
2160 —— 1984 Ed t c ri
APPMOV* . DATE
7’1 4
RECORDS MANAGEMENT MANUAL
I. PURPOSE. This tr .nsmi ta1 provides a. new version of the
Records Management Mar ual.
2. EXPIJ .NATION. The Records Management Manual, was revised
to prov e current pol.icy tnd procedures relating to the
rnartagernent of the Agelcy’s records. The EPA Records Control
Sci edule . cc’nitained ii Appendices of the old Manual have been
deleted and will be issued as a separate document. Chapter 4,
Preservation of Vital Records for Emergency Use is being
reserved and will be .ssued later.
3. FILING INSTRUCTIQI1S . Discard the old version of this
Manual arid file th .s edition in a three ring—binder.
Ga M. Katz, D ector
Man gement and 0 anization Division
PLEASE NOTE: The Cl ssjfication number for the Records
Management Manual has beer changed to 2160.
I TOF Office of Info atic• Resources ManageTnent
EPA F qm 1315.t2 (Qr . 1.821 REPLACES EP FORMS 1. ,5.IA ANi THE r? VIOUS EDITION OF 1316.12
-------
CHECKUST OF EPA TRANSMITTAL.S
‘Ane—. eot c r er.:. Y.s c,ec :.s oe n :s Lrte iser to see t nce tr rism1t a s iave been f ted.
CqIES
RI S
S ptss
NLJM CR
-
I
‘
IA
NUMBER
ILL.
I
oI 7
/# 1 f
/ V/.2/ff
__
_
I
I
I —
— —
.
1
1
j
I
—
I
—
I_
I
EPA Fo,m 3I 5.4 (Rep 7.73
REV OLJS CO .I.IOP £
-------
R RU6 ‘ NN3 €Nr MANUAL 2160 CIE 2
4/9/86
CONTENTS OF CHAPTE}
CHAPTER CHAPTER
nTh NUMBERS
OB3ECTIVESANDR ?JNSIBILITIES 1
REP TING R.D JIRE2€NT — R ERVET) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
DIS SITICV OF — DESTRUCTION 1 RETIREMENT AND REFRI EVAL ... 3
PRESERVATION OF VITAL R RES FOR EMER NCY tEE . 4
FI Ec JIPMEN’r AI4D SUPPLIES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
MI ( AffiIC MANPCEMENT — UXE I))QJMEI’W SYSTE IE ....... 6
FILES MAINTEMAICE .. 7
..... . . 8
3 .
-------
1 - OBJECTIVES &
RESPONSIBILITIES
-------
? E RDS MAN
CHAPI 1 - OB.JECTIES AND RES NSIBILITTES
1• PURPOSE . This Manual prescribes objectives, responsibilities, and
pr eaures for the conduct of the Agency’s records/information manage—
T flt pr ram.
2. S PE . This Manual applies Agencywide to both mission and a inis—
trative records.
3. L AL Azm oRITY . The statutory basis for the Agency records/information
rnanag ent pr ram is contained in the Federal Records Act of 1950, as
amended (44 U.S.C. 3101—3107). It provides that the head of each Federal
agency will establish and maintain a continuing pr r n for the econanical
and efficient management of the records of the Agency. The Act is in le—
mented in Goverrunentwide regulations (41 C e of Federal Regulations 101)
wnich in turn are ut l tented by this Manual.
4. RJIR lD TS RELATING IO JER ’1 Nr R RES . Records created or
acquired by an official or e!rployee of the Agency in the rse of con-
ducting Government business are the property of the United States Govern-
ment. Persons who create or acquire custody or possession of official
records by virtue of their positions as officials or loyees do not
necessarily attain a proprietary interest in such records. Official
records are public records and belong to the Govea nt rather than to
the loyee. The penalties for the willful and unlawful destruction:
reit val fran files, and private use of official records are contair d in
18 U.S.C. 2071. All A loyees are responsible for reporting any
actual or threatened unlawful loss or ren val of official records to the
Agency Records Management Officer, Information Manag nt and Services
Division.
5. UM TATICN . The Agency will make and preserve records to provide
adequate and proper doct.m ntation of the organization, functions, policy
decisions, pr edures, and essential transactions; and to protect the
].egal and financial rights of the Government and of persons directly
affected by Agency activities. See Chapter 4 for specific information
regarding vital records.
6. R L EG DISPOSITIQ . As required by law, the official records of
the Agency may not be destroyed with .it the prior approval of the
?Jational Archives and Records Service, GSA. This approval authority is
provided in the fo n of EPA Records Control Schedules. These schedules
list official records of the Agency (including many r official records)
and prescribe the periods of authorized retention. All EPA ployees
axe responsible for insuring that records disposal actions agree with
these schedules (see Chapter 3 for detailed instructions).
1—1
-------
E R S .MAN E T .2..
oa.3ECVES . The broad cbjective of rccrds/information rnanaqe r t s
o maximize the value and benefits of the Agency 1 s- Ln±oz ac: n resources
iile minimizing the c t of aciring, maintaining, and d: ceing of
these resources. S CifiC311V, the Agency records/tnfo t n rna.nagen n:
pr ri provides for t e estaolisnxnent of ac::ve and cntinuing pr rams
tO:
a. Prevent the creation of unnecessary records in any r dia:
b. Pr te the application of syste for the efficient organizati.oft,
maintenance, and use of records to facilitate retrieval and use.
c. Control the retention and dispceition of records to insure that
records of continuing value are preserved but that valueless or noncur-
rent information :s c. .sc ed of or transferred to storage n a ti ly
mariner.
d. Provide for the Agencywide manag nt of all direct paper to micro—
fo syst (s .irce dc ti’ nt) to insure that the a uisit on and use of
these syste and equi. nt is technica.U.y as, cost-effective and
a thistratively desirable.
e. Provide for the rrianag nt of information storage equip1 nt to
insure that appropriate criteria justifying the mana nt of such equip-
rtent are applied thr .zghout the Agency.
f. preserve and protect information that is vital to the essential
functions of the Agency during a national rgency cx that is essential
to the legal rights and interests of individual citizens and the Govern—
TTent.
g. Provide for the Agencywide manag nt of Tnach3.ne—readable and
audiovisual records to insure that they are maintained and protected in
accordance with 41 Ccde of Federal Regulations 101.
8. R R /INF IC1 J MA& F2 T . Both the te records managesent
and nformaticn manaq nt are used in this Manual. Traditionally the
term records manag nt has been used to describe the mana nt of the
i dia on which information is recorded. Managers are n i using the
term information aiariagen nt to describe the processes necessary for
the creaticn, use and isposal of information regardless of the nedia on
which it is recorded. While the title of this Manual r aths Records
Mana9e nt , its ob)ectives apply to many of the infcnMt3.on manage ent
concepts.
I fl
-------
2160
9 ‘ Q T ecor vital to the continued eration et the Agenc
and recoros esse t:a1 to the preservation of the legal rights and interests
of l ees and individual citizens, in wartii or disaster, are listed on
the EPA Vital Recoros Protection Plan, Figure 4-2. A r riate rr asures
will be taien to protect these vital records, as described in the Plan.
(See Ch ter 4).
10. RES SIBILITI .
a. Assistant ? nirLtstrators, Inspector General, General Counsel.
.ssociate ninistratcrs, cional Póniriistrators, Laboratory Directors ,
ana Staff Office Directors . These officials will provide for the
le ntaticn of the records/ information manager nt pr r n wi.thin
their respective areas. They will:
(1) Assure that the objectives of the EPA records managalEnt
pr r u are achieved:
(2) Designate individuals within their respective areas to act
as local Records Managa nt Officers and Vital Records Officers and
forward the organizational titles, addresses, and telepb e nt ers of
designees to the Director, Information Mana Tnent and Services Divi.sion
(PM-211A), Office of Information Resources Manag nt. (These individuals
should have appr riate status and sufficient t to devote to the
(3) Assure that files custc iaris are designated within their
area of responsibility (see Chapter 7).
(4) Assure that records control schedules are applied to the
records in their area.
b. Director, Ir,formation A anaga nt and Services Division . This
individual through a records managen nt staff, will provide overall
supervision and policy guidance in records rnanageuent on an gencywide
basis.
c. Records Manag nent Officers .
(1) The Agency Records Managellent Officer in the tnfo t ion Man—
agen nt and Services Division, wiLl:
(a) Develop policy, directives, and instructional materials
govern ng th Organization, maintenance, and disposition of all records,
ncluo.r acnine—rea a.le and a iciov:sual;
( ) ?rov id’ staff advice, guidance, assistance, and training
i all aspects of the recoros/information management pr ran?
1—3
-------
21.60
/l3/84
(c) Coorir a e pr ram efforts and evaluate pr am effect ve—
ness y n iUSig peri c surveys of nfo t on systeit
Cd) C rdinate the review and a proval of requests for scurce
doct ent mic çraphics systenE, equ] IEnt, and services;
(e) view and aoprove requisitions for infoation storeqe
equ t nt at Headquarters.
(f) Plan and coordinate the A Vital Re rds Pr qram; and
(g) Coordinate the retire nt and retrieval of Headquarters
records to the Federal Arthives and Re rds Center.
C 2) Local Records Manage nt Officers at Headcuarters will, serve
rdj.riators of the records pr r n in their areas.
(3) cords Manag nt Officers in gional offices and LarcEa-
tories, when designated, will ass responsibilities correspondir to
those of the Agency Records Manag nt Officer (see subç,aragraph c(1)
a ve) in their areas.
Li. ZF!NITI( G . See Figure 1-1 for definitions of te used in this
M a l.
L— 4
-------
REcORDS E 4T 2160
DEFINITICXqS 7/13/84
1. CCESSION ‘!‘JM ERS . m.ers a ned to each grouc of Agency recoros
ransferrea .c :.-ic Federal Records Canter. They serve as the primary
control or a 1.1 ct ions affecting the records, e.g., location on shelving,
retrieval, anc dispusition.
2. AG CY RECCRLS OFFIC . The title of the designated staff
official wnose resporisicility is to plan, develop, and coordinate the Agency
records manageu nt proran .
3. AUIINIS’rRATIVE OR H JS ING R . Records which reflect routine,
transitory, internal aäninistrative or housekeeping activities relating to
suolects and if unct ions ca rnon to all off ices.
4. APPRAtSAL OF RECOR1 . The deter tu.naticn of value of records by the
stucv of -ie r relaticnsni and contents.
5. At.TDZ TISUAL RECCRt5 . Pr r m and information tion pictures, still
pictures, sound recordings, video recordings, and related doc ntation.
6. AL 4ATE SITE . Selected bases of operations to assure continuity of
the cy’s functions during and ixzn diately foll ing a national iergency.
The sites house the Agency’s vital records.
7. ALT NATE SITE REPRESENrATIVES . The title of designated personnel in
the Agency alternate sites who are responsible for the maintenance and
retrieval of Agency vital records.
8. CASE FILE . A case file is a folder or other file unit containing
material relating to a specific action, transaction, event, person, place,
project, or other subject.
9. FID 1’IAL BUSINESS INFOI 1P 1 TICt . Confidential Business Informatior
is any nforTnat1on iii any form received by A fran any person, firm,
partnership, cnrporaLion, association, or l ’x.al, state, or Federal agency 4
or foreign goverrm nt, which contains trade secrets or xzm rcial or
financial information, and which has beert clathed as confidential by the
person su nittir1g it and which has not been determined to be non—confidential
under the procedures in 40 CER Part 2.
10. F ILITArrQE PECOPIS . Records which are used to process or forward an
action.
11. F!D PAI.. A HIVES D RECORDS C rERs . Depositories established by the
General Services A ninistration ifor the hous:rtg of nonourrent, inactive, or
permanent records pending ult iMte iispos1.tion in accordance with the Agency
Record Control Schedules.
Figure i —i
(1 of 4)
-------
RE BDS MANAGE T 7 /L3I 4
12. FILE BREAK . Cutoff point in a f ile usually based on a calendar or
fiscal year date.
13. FILING jir rr . Any equi zT nt used to provide storage for irtfo nation;
e.g. laterai, vertical, mecnanized, arid AlP.
14. FILE S IES . An identifiable portion (or segrent) of an oz anized
file wn.ich can be described, handled, used, or dispc ed of as a wndle; a
ca lete file or part of a file which requires separate description because
of variations in arange nts or sub3ect content, reti. nt or di al
characteristics. significant vol , or peculiar physical forTn (such as
maps, drawings, or other oversized files).
15. FILING )PPLIES . It such as folders, guides, cr s-reference
sheets, ano cxarge- .it cards.
16. NFOR AII MANAG 4ENI . The proper utilization of resc roes necessazy
for the creation, a u3.s1tion, p c ssing , storage, di ination, and use
of data. (It is not data (info tion) that is managed, it the processes
necessary for its creation and use.)
17. tVENlVR OF P. R1S . A list itemizing each type of record and
nonrecord material indicating description, quantity, and ot r pertinent
data.
18. MAC INE—REPCMLE B n i.S . Records wti e info atiat has been trar-
scribed onto a matha, such as magnetic disks, drtns, tapes. which is
acoessible by autanatic data pr essing equip ent.
19. MAINT ANCE OF R R • The grouping, filing, storing and safe-
guarding of records.
20. MI AP 3IC . The science and techncloy of ci. rLt and infor ation
microfihining arid associated microfcou syst .
a. Microfilm . A high resolution film containing an image or images
greatly reduced in size fran the arigiria.l which is recorded on the film.
b. Microfiche . A sheet of film containing i ltip1e microiiiu js in a
grid pattern. it usually contains a heading or title which can be read
without magnification.
c. Microform . Any form containing microimages.
d. Microimages . Information, such as a page of .ext or a drawing,
tco nall to be read without magnification.
Figure 1—1
(2 of 4)
-------
RECORDS MAN?ZE T
21. OFF CZ CF RECORD . The office designated to maintain official files.
Normally, it would be the office that created or received correspondence
relating to its assigned functions.
22. P _ RM RECORD . Records created, received, and maintained by an agency
in the conduct of the mission functions for which it is responsible. The
term is used in contrast with athinistrative, housekeeping or facilitative
records.
23. R RD QuiP NUMB . A rn er assigned by the National Archives and
Records Service to each ? ericy for convenience in identifying records.
Record GrtY p Ni er 412 is assigned to EPA.
24. RECORDS . Recorded information of continuing aã inistrative , fiscal,
legal, niscorical, or informational value, including published materials,
papers, maps, pnotngraphs, microfilm, audiovisual, machine—readable
materials (AD? tapes/disks) or other doc .u ntary material, regardless of
physical form or characteristics, made or received by the ency that
evidences organization, functions, policies, decisions, procedures,
cperations or other activities of the Goverrr nt.
a. Classified Records . Records designated as “r cret ”, “secret ”,
or “Confidential” which are restricted to processing or use by cleared
j jvjdual , and require special protection.
b. Current Records . Records or files presently in the physical
custody or organizational units, the maintenance of which is required for
the conduct of current work.
c. Nonrecord Material . Material of this nature includes blank fori ,
library materials and working papers of fleeting value such as drafts,
worksheets, jnfo l notes, slips, etc.
d. Official Record File . The ca lete doci.ri ntation including all
background material resulting fr specific transactions, operat1ons or
processes which are acc .zmzlated and maintained in files equip nt. They
may include any madia such as film, microfilm, cards, pa_pers, and magnetiC
tapes and disks.
e. Permanent Records . Records of continuing value which are con-
sidered to be so valuable or unique in doc nenting the history of the
ency or for informational content that they should be preserved “forever”
as part of the National Archives of the United States.
f. Record Cooy . The official file copy, either originated or received
by any element of A . ich doct ents an action relating specifically tO
the functions assigned Operating elements in the Agency.
Figure 1—1
(3 of 4)
-------
RE RDS MANAG T 2160
7/13/84
g. S niact ve anc Inacz ve I Corcs . Recoros wcrtriy of preservation
arid which have long term permanent value will be reti.red fran expensive
office space and eçui ent to the area Federal Recçrds Center for storino,
servicing, and ul:iriate disposition in accordance wi.th A records control
schedules.
h. T u Orarv cords . Records created incidental to performance of
the mission. They are ‘operational , “suppcrt and Nser r1ce type records
which are considered to be of te orary value to the Agency and will be
destroyed at sane time.
25. R R t L SaimYLES . A list for syst natic dispceiticn of Agency
records. incluth.ng their retention. transfer. retir nt or destruction.
perfo d in accordance with approved dispceition authority fran the United
States Arch.i.vist, National Archives and Records Services.
26. MAM? 1ENr . See Info tion Manage ent.
27. P R w rr OFFI . The title of designated staff officials
whcee responsibilities are to assist the cçerating Agency Records Manage-
ment Officer by carrying ait the policies of the records manag nt pi u
in their respective or anuzational units.
28. SUBJ CI’ FILE . Subject files consist mainly of general correspaxience
and material related to and functions which are filed arding
to the subject of the topic. Subject filing is the process of arranging
and filing records ac crdthg to their general inf” tiona.l content
29. VITAL R! C)RrS . Records which - within the fo11 ing categories are
vital records and are to be preserved under the provisions of Chapter 4.
a. Cateaorv A . Records containing information necessary to assure
continuity of operation of the Agency in an er ency and atE i n the p ers
and duties of the Agency in the restilT tion of operations after an nergency.
These records will be maintained in a manner usable to other than the
originators (paper copy preferably) at the alternate site.
b. Category B . Records containing information necessary to protect
rights arid interest of persons.
rigure 1—1
(4 of 4)
-------
2 - REPORTING
REQUIREMENT
-------
RECDRDS M .ANAGE 1ENT 2160
7/1 :184
C: - A ?TER - :Pos:Th REQUIREMENT - RESERVED
2— 1
-------
3 - DISPOSITION OF
RECORDS
-------
CDRDs tkN Z1 I 140
1 13184
: :- Ap r R 3 - IS? ITIcN OF PECOP . - DES U I L RETIR ’TI ND R RI ZAL
Ta-Die of Ccntents
PAR RAPH PAR RP .PH
TIThES Nt1IBE S
Purpose and Scope 1
Policy 2
Resroval of Official Recoras 3
Benefits of Syst natic Disposition/Retire tertt 4
Protection of Retired Records 5
Criteria for Retiring Records 6
Procedures for Retiring Records to Federal Records Center 7
Procedures for Retrieval of Retired Records 8
Figure 3-1. Records Trart nittal and Receipt
Figure 3—2. Calculation of Vol of Records
Figure 3-3. Instructions for Assembling Records Storage Box
Figure 3—4. Instructions for Packing and Sealing Records
Storage Box
Figure 3-5. Labor Services Request
Figure 3—6. Classified/Confidential Business Infon ation
Material Re ipt
Figure 3-7. Reference Request — Federal Records Center
1
-------
R.E RDS 1ANK,EME Tr 2160
7/13/ 4
CHAPTER - DES JSITIC OF ? ECOP - DEsTRucrIC R iP lDfl AND RETRThVAL
1. PURPOSE . This Chapter provides guidance and procedures for (1) the
destrucz cn of records 1 (2) the retire nt (transfer) of records to Federal
Records Centers (FRC), and (3) retrieval of records fran the F .
2. PDLIC? . Inactive records (whether mission or aãninistrative) will not
be r intained in costly office space. Inactive records will be disposed of
at the Agency or transferred to a Federal Records Center in accordance with
EPA Recorns Control Schedules. Records should not be maintained longer
than six trcnths after the tima specified in the records control s dule.
3. RE I(NAL OF OFFICIAL RECCRC$ . Official records of the Ager y will only
be rencved frau the Agency or disposed of in accordance with the provisions
of the Agency’s Records Control Schedules. (Ccpies of the cords Control
Schedules It ay be obtained fran your local Records Manage nt Officer.)
4. B EF ITS OF SYST lA C DISP ITI 4/PIR . The Agency s records
thsposition pr ram is designed to provide for (1) the rerrval frau valuable
off ice space of all records and nonrecord materials which are no longer
essential for current eratiorts (2) the release of filing equi ent for
reuse, and (3) the protection of records that should be kept for long peri is.
5. P IECflCt OF RETIRED Retired records of the Agency that
contain sensitive material cannot be retrieved or revie d by other than
the retiring office without prior consent of the retiring office. The
Federal Records Center ( ) will enforce restrictions lawfully iirpc*3ed by
the Agency on the use of transferred records. In case of de icnstrated
need, and subject to any Agency restrictions on their use, the FRC will
loan Agency records deposited with theTn to EPA loyees for official use.
Records subject to the Privacy Act of 1974 will not be disclosed by E
personnel except under provisions of Agency rules. EPA records that contain
confidential business information can only be accessed by the office retiring
the records or by another organization that obtains written approval fran
the retiring office. Note: Arrange tents for retrieving records 1 r .iSt be
made in accordance with paragraph 8 of this Chapter.
3 _ I
-------
2160
7 / 13 / 84
6. CRI1 IA FOR RETIRI? RECORLS . The criteria listed bel should be
used cor.jun:t ion iith ne A Records C itro1 Schedules in determinir g
wnen to retire (transfer) inactive records to the Federal Records Center.
Records to be transferred should:
a. Açpear on an approved A Records C trol Schedule; (If the records
are not covered by EPA Records Control Schedules contact the local Records
Manag nt Officer.)
b. Not be needed to carry out current Agency cperations;
c. Be referred to only occasionally in the normal .irse of business;
d. Not be eligible for destruction within three years of the date of
receipt by the Records Center; or
e. Cost less to transfer than the cost to retain then in the Agency’s
space and equi nt.
7. P EtXJRES FOR RETIRI R P TO F AL R RE
a. Recording the Transfer . To facilitate the transfer and to expedite
va, list records on Standard Form 135 (SF 135), Records Tran n.itta1
and Receipt, and Standard FO U 135 A, Continuation Sheet, in the aariner
which they are currently filed. This list will record the transfer and
provide an inventory sufficiently detailed for fu ire reference service.
See SF 135, Figure 3—]., for locations of the foll n.ng it :
(1) ncy Record Group NLII ber . All Ag5flcy activities will use
Record Group Ntm er 412.
(2) cession Nirtiber. Headquarters personnel will obtain Accession
Ni.unbers fr ri the ency Records Management officer. InfooltatiOn will be
required at the tii the Accession N .znber is requested as to the n rr er of
xes date the records will be ready for transfer, and any special handling
(CBI, etc.). Regional and field Records Management Officers will obtain
3—2
-------
2160
RE RDS 7/13/8’
Accession N rrtoers by s mt:: ng SF 135 to the aporopriate in advance of
snip nts Ot tne recoros. An Accession Nunber will be assigned by the FRC
upon receipt of the shi ent of records. A copy of the SF 135 with the
Accession Nuioer acded will be returned to the originator. In the case of
G?O site audit records, enter the Agency record group number when assigning
the Accession Nunber but specify in it n 6f of the SF 135 that these are
G D site audit records.
(3) scription of the cords . the description nust include a
general staten nt identifying the records being transferred. A li8ting of
each file folder is not necessary. Usually only the first and last folder
titles are necessary. The general stat ient m&. t give the foll ing
information:
(a) Full identification of the off ice that created the records
if riot shown in item 3 of the form;
(5) Inclusive dates of the records, and a brief description
of the type of records; such as grants, contracts, pesticide registration
jackets etc.
(c) The security classification of the records. Classified
information must not be revealed on the SF 135 arid SF 135A. All security
classified documents should be reviewed for possible doingreding prior to
the ret ir nt; and
Cd) ccrds subject to the Privacy Act of 1974 will be
identified by a statert nt at the beginning of the description of the records
which indicates that the records are subject to the Act and they y r t
be disclosed except in accordance with A rules and notices iblished in
the Federal Register.
(4) Disposal Authority . PA Records Control Schedules contain
disposal authority.
b. Preoaration and Distribution of the SF 135 and SF 135A . Prepare
SF 135 in original arid five copies when transferring records to FJ . The
SF 135 must be distributed as follc ’is:
(1) The original plus three copies xn.ist be forwarded to icoal
Records Management Officer.
(2) Place the fifth copy in the front of the first box of each
access ion.
3—3
-------
i o
RE RDS MAN?4 D I /13/84
(3) The sixth copy snould be kept by the retiring office until the
Records Hanagert nt Officer returns one copy which has been receipted by the
Federal Records Center. This copy has the stack location n .m ber annotated
on it which tuist be used in the retrieval of retired records.
c. Cbtaining cord xes . Pack records to be transferred to Federal
Records Centers (except all quantities of official personnel folders) in
standard Federal Records Center boxes which rriay be obtained thraigh the
Federal Supply Service (see Figures 3-3 and 3—4). ( Headquarters offices
may obtain F boxes fran the A Self Service Store). 3ef ore requesting
boxes estii ate the total n r of cubic feet of records to be retired.
One box holds one cubic foot of letter or legal size material. See Figure
3—2 for Table of Equivalents for Calculating Cubic Footage of Records.
d. Pacicing the xes . pack the records in the boxes in an upright
pceition to preclude acv nt or damage while in transit (see Figure 3—4).
Make sure yc pack the records in the same arrang nt that they re filed.
Avoid making shipients of less than one cubic foot. not pack records
with widely different retention peri s, or fran rrre than one office, in
the sama box. Wnen packing records that contain confidential business
info nat ion wrap the records with heavy grade br n wrapping paper to ensure
adequate protection of records during transfer to the FRC. After the
records have been packed, fasten the top of the boxes with nylon tape placed
lengthwise over the flaps and extending two inches ± n the side of the
boxes.
e. Identifying the . With a black waterproof maricer or crayon,
write the accession ru nber and carton r .m ber (cart 8 mmt be junbered in
nimerical sequence) on both ends of the box. ro not mark the security
classification of the records on the outside of the box, or that the box
contains confidential business info tation. See Figure 3-4 for an illustra-
tion of a box correctly identified.
f. Transfer of Readauarters Records fran Originator’s Office to EP
Storage Facility .
(1) Headcuarters . The originator nuist prepare ‘A Forn 5100—2
Labor Services Request to have the records rx,ved to Shi ing and Receiving
where they will be stored until pickup by the FRC. A Form 5100—2 is to
be suboitted with the SF 135 to the Agency Records Manag nt Officer at
Headquarters (see Figure 3—5). Note: Records containing confidential
business information will r nain with the Pr r n until the day of pickup
by the TC. The records will be aca pained by a staff n nber fran the
Records Manag nent Staff who will remain with the records until they are
officially received by personnel fra n the F .
3—4
-------
(2) Recicnai inc F:ei.c Offices . ?ersonnei should fcllc’ procedures
inc uicance ssuec : cal Recoras Managerrent Officer tO have recoras
:icked up Er i their of f ce. The local Records Management Officer snould take
action to insure the protection of records containing confidential business
riformation until they are officially received by the F .
g. Shippinc the cords .
(1) At Headcuarters , the Agency Records Manageitent Officer bill
arrange for pickup of Federal Records Center boxes when they are ready for
shi ent to the Washington National Records Center. Note: en records
containing confidential business information are ready for ship nt to
Shipping and Receiving must obtain a receipt (see Fi re 3—6) fr
the when the boxes are picked up. A copy of the re ipt is to be
;iven to the Agency Records Manageirent Officer.
(2) Recional and field offices located near Federal Records Centers
may arrange for the !RC to pick up 50 boxes or rtore at the location listed
on the previously forwarded SF 135 and SF 135A. The Agency may transport
any ru.m’ibe r of boxes of records to the r as often as deeiTed necessary.
The office shipping boxes with records containing confidential bvsiness
information must obtain a receipt fran the FRC wnen the boxes are picked
up. A copy of the receipt is to be given to the local Records Management
Officer.
(3) gional and field offices located outside the Federal Records
Center pickup area must ship their records according to voluT e, via United
States Postal Service, cormercial nctor or rail freight. To obtain the
l est tariff rate for “old” records, Agency offices using in rcial
carriers should enter the fo11 .ang statement art the bill of lading or
other shipping documents: “The agreed or declared value of this property
is hereby specifically stated by the shipper as not to exceed 3 1/2 cents
per pcund.” The office must make arrangements with the U. S. Postal Services
or carrnercial rmotor carrier for the protection of the records that contain
confidential business information during transit until they are received by
the FRC. If record5 are shi ed through the U. S. Postal Service, arrange
to have the records shipped by registered mail, this will serve as an
adequate receipt in lieu of EPA’S receipt of Sensitive Material. The office
shipping the boxes must obtain a receipt 1 Figure 3-6 when the boxes are
picked up. A copy of the receipt is to be given to the local Records
Management Officer.
8. P CEWRES FOR RETRIEVAL OF RETIRED R ORDS
a. General . Federal Records Centers operate a reference service which
provides for the retrieval of retired records.
3—5
-------
RE RDS MANAG 4 fl 2160
7/13/84
b. ? rocedures
(1) ployees can retrieve records fran a FRC by J.eting Optional
Fo II, Reference Request - Federal Records Centers. Only 1c ’ees who
have been authorized access to records containing confidential business
information can retrieve these records fran the F . f the request is not
made by the originator, a copy of the aut’iorizaticn fran the originator
granting access to the records must be attached to the OF 11. The OF 11
ntjst contain the Record Group Nut er, Accession Nui er, 3ox t er, and the
riaxi , ru . nber, or other identifying data of the records being requested.
This information appears on the copy of the Standard Form 135 which s u1d
be on file in the office that created the records. In addition 4 . the Records
Center location nun1 er n ist be entered ott the OF 11. Headquarters offices
may obta2.n this number fran the receipted copy of SF 135 retur ied by the
Federal Records Center; recional and field offices nay tain it fran the
local Records Management Officer (see Figure 3—7, for an ex 1e of a
cot 1eted OF 11). A separate form must be leted for each request for
records.
(2) Requests to be expedited for sate special reason (Freedan of
Information and Congressional inquiries are examples), must be indicated on
the form.
(3) Ieadauarters offices should suthtit the ca 1eted OF 11 to the
Agency Records Managen nt Officer; Regional and field offices to the local
Records Manag rent Officer. The form will then be forwarded to the Federal
Records Center.
(4) Retrieved records may be returned to the Federal Records Center
for ref iling in a mailing envelope, addressed Attention Reference Branch ,
with a routing slip attached indicating the accession nt er, ox ri Tber,
F location number and the notation ReturTt for Ref ile”. The local Records
Mariag nt Officer must be notified of the return so that the chargeout
record may be cleared. Records containing confidential business information
must be returned to the F in accordance with the procedures stated in
paragraph 7.
3-6
-------
C R DS CZ ’
torn 135. ecorc.s Transr :t 1 and ecef
‘(CORDS wswrr Ai ANO CCCIUPT • ‘ • --
I t I —
,_. — —
1 ecords “anaaev, nt StafT -21::)
AceessiOn 3rM ’sC S ran it&i. 1 rotection ACR .
) ,a!r . . )c t ‘ecordi .enter 401 — s. d
I, .a( ’ ‘ • C 0fl O ’C .S — — ‘C ..as . nq:o— : : 70463
•% 0•
=
,COi26iC Troc.jree’ent SeCilorl
f l
— •cc e, nc,.es •.crns .. . — —. D a l i
bicce to be u..d by
Perords Ce”ter Perionnel
SICOIRDS DATA
al.w •U5 1• I .tIW I, —
? sta ll ._ ... _ I a ’ “ ““
.e — taIl — on — —_ — — Da I a
I — Records er ated by or.3antzation — —
shown in item 3 sbov.. Inclu— I
I sive date, of records are 1976— I
1975. the,. recordi consist o
412 84. 0001 7 1 of 7 RIP *76—BO22 RIApp.ndis B Oct.59
I sr W 7S .5O2O Scisedul.s 5
I PT? ‘JI76—R483 Item ia. (1
PT? WA75.B025
2 of 7 SF? hA76—B019 I
prp W5 73—5459
I rp ws75.5025
RFP ‘—176—548]
I 3 of 7 5?? 4A76 .R142
I SF ? WA7S—R528 I I
‘10TE RECOPDS R!STPTCt!O TO PEISO14S RsDP OV!O 8Y OFFICIAL SHO ”4
I ’ S ItEM 3 A3OV( I
HI 51
—— In_ SN,
- as
— .45 Cf. Ill —It s
: :e: I E7:cr the address ef
tie Fedetel Records Center
serving ycur area In Wash-
ington Washington National
Records Center Suitland.
P’a?y i and
Itern 2 Enter the n e a d
titl, of the Records anage-
.ent Officer whosa address
appears in block 5 Also
tr.CJ.. ,de his/her telephone
nuber
! ceC 3 Enter the rsa e of
the efffce that created the
records Also enter the
nae end telephc’ne nueber
cC ihe off c si reiponsible
for tIre
Ite ( . For Recordi Center
se
I: ,? S e addess i e
in the isopie above should
alia s be used for records
t,as’erred fron EPA head-
quarters Regions, labs
and otier orgartzaticns not
located in Washington ihould
use the office address of
t e Records nag.ment
OClicer ser ’trsg chair
or 5 az%iZat iOfl.
Ice i. (a) - (e ) Head-
quarters personnel viii
obtain the accession nwsber
fro. ih Agency Records
iviageoent Officer
Reg.onai and f eid personnel
Rh o_ id obta?.fl it through the
lc ’csl Records Manageoeflt
Offtcsr ‘.“o obtains it Iron
•-e T4 t :a1 Peccrdi Ce ” ,ccr
Ite 6 Cd ) Enter the total
n... :s o: csss in the
Item 6 (e ) Enter sac , boa
nt oer ad 3 acemt to tie list
of its contents to ttr 6
(f).
Ic r. 6 If) . At the top of
:‘e bieCit enter (P s. In-
formation shown in th.
eaple showO above. along
with the inclusive datee
of the record.. If the
records are sub eet to ci.
Privac. Act or contain con-
fidential business infer-
ati0n. eo indicate. Then
descrIbe the contents of
each box, using continuation
sheet (ST 135—A) 11 neces-
sary You nay list the In.
clusive cO ’ttentl of each
box (t e A-C or 100-SCO)
if such a listing will
permit retrieval. Ociservise.
the crmplete box contents
cst be show’i
Item 6 D teT the re-
striction code if Sri i cr
records containing CB1. Use
“72” code).
Item 6 (Ps ) Obtain schedule
and iten ntber from the so-
plicable appendix in I 4 ie EPA
Records h .anagcment Manual
Iten 6 (j..) Cr.puce the
aispesal date by the reten-
tion period authorized by the
records control schedule
Coo, Preparation end Disca’i-
tion Prepare orIginal artd
fi ,e copies Send original
and three copies to your
,oca Recordi —aEe rn:
Officer Place fifth copy
in cisc first box of the
accession Retain ii,sth
copy ufltil a receipted copy
i i returned to you for
reterst ion
eon sddiI ral tnst—uC.OnS
see ; e reverie si c cf S
135
FIgure 3—1
-------
F11.fl& CABINGN:
One letter—size drawer = 1 1/2 cubic feet
One legal—size drawer = 2 cubic feet
FILlt43 CASES:
ShEll FILES:
Letter-size, 1 linear foot = 4/5 cubic foot
Legal—size, 1 linear foot = I cubic foot
UaULATIrx; CARES:
10,000 cards = 1 cubic foot
&7XJTSIZED FXJJIPMFNT:
Inside cubic measurement
MN3T€TIC TAPE:
Seven reels = I cubic foot
MIC ICFIU4:
STILL PICTURES:
Negatives
2300 35 inn 6 exposures strips I ciilnc fool
8640 2—by 2—inch eninted slides 1 cubic m a
2184 4—by 5-inch film sheets = I cubic foot
5980 2 1/4—by 3 1/4—inch film sheets = I cubic fool
Prints
2350 8—by 10—inch çjlossies or contact sheets = I cubic foot
9400 4-by S—inch glossies = 1 cubic foot
niricn PICI1JRES:
Six
35
tin
reals
(1000
feet) = 1
cubic
11
16
m
reals
(1200
feet) = 1
cubtc
foot
15
16
tin
reals
(800
feet) =
1
cubic
foot
3*JND REWRDINGS:
76 16 inch disc recordings = 1 cubic foot
144 12 inch disc recordings = 1 cubic loot
48 7 Inch audiotape reels = 1 cubic foot
16 10 inch audiotape reals = 1 cubic foot
VIDED REWRDIICS
Ten 3/4
Three 2
NIne 1
43 1/2
Inch cassettes
inch reels = 1
[ ch reels = I
inch reels = l
= I cubic foot
cubic foot
cubIc foot
cubic foot
One 3—by 5—inch case
One 4-by 6-inch case
One 5—by 8—inch case
= 1 1/10 cubic loot
= 1/4 cubic IQ )l
= 1/4 cubic foot
in
(-)
0
.-Jj
U
I n
¶ 1 :
0
100 16 t im reels (100 feet ) = 1 cubic foot
50 35 tim reeLs (100 feet) = I cubic foot
rlrcFcn’lcUE:
n
‘ U
10 1000 nicrof iche = 1 cubic foot
-------
“fl’ ’C
- :r.st:uct c .s f r .ssemoi .ng Records Stora e 3ox
Unassebled Record Storage Box
SN: 8115 CO 290 33 9,Size 15 X
12 X 10, Cu. 1.04 (Obtain box
through nonal supply channels)
Seal Bottom flaps of Records
Storage Box by using nylon
reinforced tape.
,‘ n
7/13/34
Records Storage Box - Open
with bottom side up.
Assembling Records Storage Box —
Fold in the four flaps as shown
above.
?:gure 3-3
-------
: DRrS ‘_ AG INT 2J f)
- Instrict .ons Packing and Sealji; Reccr s Storage 3 /i /84
Letter—Size Doc in entS
Legal-Size ocwnents
(Fold down four top flaps
and seal with nylon re.2 n-
foroed tape)
— — — — — — — — A
N ub.
Jo ’
J b
Packing Records Storage Box
Sealing Box
Figure J-4
-------
:ieo i i3/° ’
AC ’ ’
e P SCH 1OffIc Q’
LABOR SERVICES REQUEST
!WOTE Your Adnn,v,srrir,ve Q?t c r mu ir qiv m is ,v u z wnu ,ndicar .C .fer ic canoe Qf eZ a)
.AM OW RCQUCSTOR UILOIKG NOON NO ELLPHON( NO UA COO(
1125 382 —5 -h1
DA rt
C f::e of e iorai L:aisc•ri ‘°
SERVICE REQUESTED
JOELIVCPV : uovt (AtW .II af
OTPICR (Sp.cif j
COMPLLTE OUSCRIPTION 0? LASOR SERVICES TO SC ACCOMPLISPICO
?jc —u 14 Federal Records Center Boxes fros Re. 1135 WT Office of Regional Liaison
(Diane Snith) and take to the EPA Warehouse (Shipping and Receiving). These records
are for transfer to the Washington National Records Center, Suitland, Nd.
ACCESSION NU ER
412—84—0051 14 Boxes
APPROVAL SIGNATURES
PROGHAM AOMINISIRATIVL OFPICEM PROPERTY MANAGEMENT
FUND CERTIFICATION FOR MOVES
APPROPRIATION
ACCOUNT NUMUER
COLLAR AMOUNT
2526
I certify that funds are available.
SIGNATURE 0? COMMITMENT CLERK
ACTION TAKEN
ACTION
DATE
TIME
ACTION
TIME
LABORERS DISPArC).4E0
ARRIVED ON JOB
ABORERS RETURNED
JOB COMPLETED
FCRCMA S SIGNATURE
cUSTOMERS SIGNATURE
EPA Hq Ftwrn 5100.2 Rsv. 12•80 PREVIOUS COITIOP MAY St USED
COPY DISTRIBUTION
OrIgIn.tor, uDm.t three copies to Prop
IfW Office, retsin III 000W for your
records
Figure 3—5
-------
RE RDS
7 / 13 / S 4
UNITED STATES ENViRONMENTAL PROTECTiON AGENCY EPA CONTROL NLJMBE
oE PA CLASSIFIED/CONFIDENTIAL BUSINESS INFORMATION
MATERIAL RECEIPT DATE
(SIGN AND RETURN TO ADDRESS SELOW — RETAIN DUPUCATE COPV
ADDRESSEE
RETURN TO:
DESCRIPTION (AvOtO sny iO.fltif,CaUen wflich might n. ssitis ci.wfic.t,on o this rCSiOt)
NUMBER OF ITEMS
I ACKNOWLEDGE RECEIPT OF MATERIAL DESCRISED ABOVE
SIGNATURE AGENCY
TITLE DATE RECEIVED
EPA O?T 1 8O .13 IRSY 5.841 DISTRIBUTION ORIGINAL . . . .Ad ressee
P,pyi edit on msy be u$C until su g(y us sihaurtid SECOND Rec:D,ent
THIRD Suspense f:Ie
Figure 3—6
-------
RZCORDS : C !NT
1, € erarice ? e est edera1 ecor s Center
-r 7.
REFERENCE REQUEST—FEDERAL RECORDS CENTERS D1E Use s ze arate lorm ar eith request.
SECTION I—TO BE COMPLETED BY REQUESTING AGENCY
RECORD GRO jP NO AcCESsC NO AG CY 8O NUMBER I RECORDS CENTER LOCATION N JMBER
412 4::— 5—43 19 ° ocation: 14/2 :49—3
t)ESCRIPT1ON OF RECORDS) QR NFORMAflOe. REQUESTED (ThcI i,oe I’ie nun be &f,d fine I
F:2.e Nc. 1i-. .?- C ’E, 2.’ r i ’ of CaLiforn.ia, vera .da
REMARKS
Please ex edite. This r uest is to satisfy a Free n of InforTnation ? ct r p izy.
NAT
tiRE OF SERVICE
D
FUPNIS 4 COPY OF
RECORD(SjONLF
P R A IeEM
WJTI$D RAWAL
TEMPORARY
LOA O R€CORCIS ) REVIEW
OThER
(So.c:/vI
- ‘
NAME OF
Jo - n
QuEsTER
.M. c oe
TELE ON6 NO FT DATE
202-382—59 4
‘ ‘ °
AQORESS
OF AGENCY
Grant iszrat . Div s ( 4-2l6)
Bc n 3225, SJaters de Mall
k
p ,.r
O,n9
!
room, no
a ’e 1fF
COCI
tj. S. enta1 Protection Agency
SItP 460
401 M Street, S.W., Was1 ir ton, E).C.
(i Wav rnçon C at, .iio ,ncjute STOP niim v,
SECTION lI—FOR USE BY RECORDS CENTER
t e roes “ar
‘-
R SE PC-
SE VCE j’ E
SECTION Ill—TO BE COMPLETED BY REQUESTING AGENCY
General Services ACmIrlIs;rEIuDrr
Feoeral Recoras Center NAPS
‘ : eference Branch
TO S t1 n , arvlan STZ P 3E6
(C i i v i 5,ate i2 Cocei
NOTE n Washingtorl. D C area
send to STOP 386
$Q1 _ ‘06
NS ’ 7640—00--se:. 6423
PREVIOUS EDITION USABLE
FORM --
(i I, .
0 RECORDS NOTINCENTERCUS1’OD ’Y 0 RECORDS
0 WRONG BOX NuMSER— LE.ASE RECI-IECK
O ADDITIONAL INFORMATION REQIJRED TO IDENTIFY RECORDS
REQUESTED’
D MISSiNG fF.’e n1 ’e’ ‘ec ’dI$ ,,,Iorma,,on ro rarçe ca,d
contaIner(s) sRec ’I,eoJ
0 RECOROS FVIO.IS.’r CNARGED OUT TO Wavr e agerney
oa:ej
REMARKS
RECEIPT OF RECORDS
RsCuellef OIRUS I.Qfl Olie •r Feluni’ rrr$ (Orm
I l i la ui.na$I liI*. a0Q,e ONI.) .1 me biocl Co
riUlu has b.,n Ct .c6.G b ins Rocores Center
D
SIGNATURE
DATE
F3.qure 3—7
-------
4 - VITAL RECORDS
-------
RF PDS iAN EMENT • r1UAL
2160 CHr I
1/6/86
Ct 2T . - PRESEPV 1 TION ( F ‘JIT L RE PtS FOR E9E ENCY tEE
Puroose
uthoritv
ca
fl finitions
Purocse of ti ht 1 R corcs
at is an F rr r’c
A1t rnate S t .. .
esoons ib 1 :’.es .
‘roceaures : nc -
?roc€dures cr ‘ errim
1.ternate tes
Petr eval cf it1 c ’r’
T .BLE OF co r t rrs
F’icure 1—1
PA ‘J tal cor s
rot cr.ion Plan
Ficure d- . Icientifyir Vital 1 cords
F’lcure 1—3. Yita) Records Tran iittal
P.ARA(R PH
TITLES
11 corr s
.tat. Records to
PAP.A APH
JM E
3
4
5
6
7
9
10
11
1.
-------
CT1RDS IkNAGEMFN’T NUAL 2160 CHG I
1/6/86
: !-us.p’r:R 4 - PRESE ”ATION OF “ITAL RFCORDS OR EMERGENCY ITS !
1. pTJ E . This Chaoter F the Records Mana’ien’ent Manjal nrnviries rnticv,
uidance and nroce res cnr sc4ectino and makinc PA records vttal to EPA’S
oceration available t ‘alternate sites”——that is, sites where thei waild be
accessible ‘n an ‘rprcenci. Also, see the EPA Facilities and Siprort Services
1arual, ‘iemencv Pceoaredness, 4R6fl for additional colicy and guidance.
2. AUTHORITY . The nro’ilsions of this Chacter are based on 41 CFR 101—!l.?.
. SCOPE . The cuidance and r rocedures contained in this Chapter apply A genci—
..4110.
1. DEFINITTONS . C’acc°r 1 rigure 1—1 of tb s Manual contains definitions cot
ita1 F corrs 1t rratc 1:e, Siternate Site Reoresentative, and other tens
used n t-1s :hanr .
5. DTJ ( E OF THE VITAL RECORJt PRCGPN.1 . This pr ran is designed to protect
r—e Pnvir nrrental °rotectton Acency’s records/information whith are necessary
)C the ancv to cont:nue i.ts ‘ey functions and activities in case o F an
:ier’ flcV. If a fire, Flood, or other disaster destrtwed EPA records/inforM—
t on available tn ant of its r eratim locations it coild n an:
a. 0 F ‘aIuah1e nrccrarn records/information;
h. C’c,npleto or siqnif 4 cant diswntion of pr rr
cp rations;
c. SinniFicant delay in res%znirq nrcx ran
crerat tons.
It is therefore necessary that man ers identify records v’.tal to their prcxir ii
and assure the recor are also availab 1 .e at an alternate site.
A. WHAT IS AN E?IERGEtCF ? An nerqency is a major disaster or eneny attack that
would disrupt the normal and cont i nuais cnerations of the nvironmantal Protection
?gency. !xainnles OF an ,erqency are:
i. Vices
h. Hur ri canesttornaioes
c. i ’londs
1. Eneny Attacks
. Fart-hcuakes
a— I
-------
RECDPDS MANI CaMENT ‘-IANUAL 2161) C !G 1
‘6/36
-. ALTERNATE SITE . ri alt .rrete site s a selected base of onerations that
.-iould assure r t1ou it: ‘ ?A’s f nct cng d - rir arid j diatelv fol1 in an
a ergency. The a te:nace c re :s where s ‘ital ecor are stored. PA
will use t’-ie Federal Records enters (FRC) o store s of its vital recoros.
ien this is the situation i -ecorr s will oe t:ansf rred to the F RC in accordance
wit - i the Agency’s -ecords discosition schedules and do not need to be duplicated.
Refer to Figure 4—! for infoo tion on where records are to be sent and stored
for e-nergencv nurcoses. The ‘Location wnere :ecords are to be stored is octer—
-runed b , the type of records, ;aLue of the records, and volune of records.
The alternate sites a:e chosen hv the EPA r rqency Preparedness Coordinator,
and the location of the sites is classified info tion. PAcause of this
onh’ the EPA re cencv Precar- :iess Ccord: iator and the Vital Records Officers
can send records o an a errare site.
. Es )NSrBILIT:Es .
a. T e EPA arnernen i Prenareoness Ccordinator , Facilities and Suponrt
5e -’ ces Division, Dff ce of ;lranistration, Office of kiniinistracion and
Rosources Manacemerit :s resconsth]e for r ,erall adniinistraticn of the Vital
cords “rogr n and shall:
(1) Oversee t ie proceoures for vital records stor e and protection.
oluding the transmittal of vital records to the Alternate Site Represent
(2) Participate ‘4ith the EPA Records ‘an ement Officer to u ate the
EPA V ;-. Records Protection Plan.
(3) Seo.ire the ao o1nt -nent of Vital Records Officers and Alternate
site Reoresentatives (see Recoros Managen nt Manual, iapter 1, su aragraPh
lOa (2)).
(4) Verify that a seiuanrual inventory of vital records stored at
the alternate site is done ty the Alternate Site Representative personnel.
(5) Conduct periodic reviews of sites where records are stored to
docuirent that vital records are naintained and readily available in case of
an emert ency.
b. The EPA Records ManaaeTnent Officer , Information Manaqement and
Services Division, OII 1, Pff]ce of P rninistration and Resotrces ‘anageneflt
shall:
(1) Establish lic v and procedures For transfer of the Agency’s
vital records to alternate sites.
(2) Assist EPA personnel in identi irig and selectir vital records.
4—2
-------
RE DS MAN F 1FNT MANUAL 21 E50 CHC 1
1/6/86
(3) Participate with the E Trite rc ncy Prnparec1r ess (onrdinator
to u xiate the PPI Vital. Records Protection Plan.
(4) Assist the Alternate Site Representatives in establishing
f i1.e syst is for vital records.
c. Senior Agency Managers (Assistant and Associate Administrators,
Req ional Administrators, the Insoector General, the General Counsel,
Laboratory Directors, and Office Directors ) shall:
(1) siqnate individuals to act as Vital Records Officers for
their program.
(2) EstabUsh an effective Vital Records Program.
(3) Identify records that their program will need to continue
its key functions in case of an nergency.
(4) Insure that the program’s vital records are sent to an
alternate site.
d. Vital Records Officers . The Vital Records Off icers are the persons
designated hy each of the Assistant Administrators, the Inspector General, the
General Counsel, Associate Administrators, Regional Athinistrators, Laboratory
Directors, and Staff Office r 1rectors to be res nsth 1 e for their Vital T cords
Program (see Records Man e nt Marual, Chaoter 1, subpara raph 10 a). Each
Vital Records Officer shal b
(1) Identify all records in his or her program that meet the
definition of “vital records” in tapter I, Figure ]—l, of this Manual.
(2) In accordance with the FPA Vital Records Protection Plan,
Figure 4—1, for rd vital records to the alternate site.
(3) Maintain a record of all vital records for his or her program
that have been forc rded to the alternate site.
(4) Verify the senianr ial inventory of vital records at the
alternate site pertaining to his or her program.
(5) P.evi i anruallV the Program’s vital. records to ensure that
all, vital records have been identified which meet the criteria srecified
in nara raph 9.
4—3
-------
RE DR S M 1AG 1Er Tr M AI (1A .L ° ‘ 1
1/6/86
e. The Alternate Site Representative is ciesianated by the E’rnrc ncy
Preparedness Coordinator and is located at the alternate site. The
Alternate Site epresentative shall:
(1) Receive vital records fran the EPA E exxiency Preparedness
Coordinator or a Vital 1 corr1s C ficer.
(2) Process Vital Records Transmittal, EPA Fo n 1340—1.
(3) Maintain vital records at the alternate site on a current basis,
by disrDsirq of sunerseded rr terial in accordance with the instructions
specified on the Vital cords Transmittal, E Fcrnn 1340—1.
(4) Conduct a seniannual inventory of the vital records at the
alternate site.
9. PROCESS FOR IDENTIFYI VITAL RECORE . Vital records are records that
are essential to the Agency in carrying o.it its functions in en rgency and
oost—enezr ency situations, and in protecting the 1 a1 rights or interests
of individuals and the Agency. The selection of records nust include those
of ard i’7a1 or researd value as well as those that have no lasting value
b.it would be valuable ‘luring and after an energency. EPA records which
are essential for EPA or State or local agencies to perfo n the functions
described in the Facilities and 9.ip rt Services Manual, EMR 1—05, Essential
Functions must be includ d. They are suiinerized bel i (see FLMR 1—05,
Essential Functions for a detailed listing):
a. Ensure that ans for potable water supplies are . “ailable to i et
needs in case of an enerciency.
b. Provide guidance on what are acceptable levels of hazardous agents
that mid t be or have been introduced into the en 7ironrrent.
c. Provide rost—enerpency reconnaissance sunnort or water supply and
sewace systens and infornetion on the location and pro iucts/by products
of facilities that generate hazardous waste, hazardous T’iaterials
transport, storage, and disposal; or for location of hazardous waste
sites.
d. Provide guidance on the levels of radioactivity at whid protective
actions rrust be taken.
The foll ing quidelines are to be used when selecting vital records. In
addition, ‘igure 4—2 contains infornetion to aid in the selection of vital
records.
4—4
-------
RF CZFDS NAG c r ‘ 1tjAL 21 O CHG 1
1/6/86
1) General 1anaaement Pecords . These records include the 3t. t 1fl nt5
f the Agency’s nssion n an r enc nians ar nr rarr nr caro/1.rq o t
this lission; atern nts of del.eoations of authority and of succession to
ra nd on rhe location of the vital :ecords; formation ab it
Ageno/ personnet, nr erty, and activities sufficient to orovide a basis For
danaqe ass. sv nts • rd essential eiterqencv functions, as we ll as licy
directives, :eaulations, and Forms.
(2) Prcora Records . In seiectim proarai racords (For exa.’nole: Drinkir
ter Program - Drinkina ter Additives, I’wentory of Public Water j n1 ies,
at:.), care must be exercised in determinir what records are vital. for
cOntLnuitV of the Prooram’s mission in and after an errer nc ’ (For example:
Records dea1ir with ç tabl.e water, hazacriojs ents, etc.). 1€ the eiierqeflCv
nassion ca1 is cr conclnuati3n of a nortr l iroaram, cooies of records sup rt1ng
tth mission are iitai.
f 3 ) Dersonnel Pecords . nc 1 uded ln this cate orv are lists of key
nersonnel ass ianea to errergency duties, arid r ters of Agency en 1oyees,
-‘ctudir ejnoloiees’ skills that might be useful foll ir an e rergenc ’.
(4) Records . Included in this cat ory are nayroll and eave
nolcyees , rmplo ’ees’ equity in the retirei ent fund, financial,
end u aet records necessary to determine antunts cwed to, or payable t ,r, the
‘ . ency. 1so, grant and contract Files coritainir information necessary to
:rotect the iriter sts of persons and the Go ernirertt and to establish duties
and res ’ orisihilitie of EPA, the contractor, or the grante’ are considered
iital.
(5) Legal Rights and Interest Documents . Records concernirç the legal
rights and interests of individual citi ns (For exan le: Records arid infer—
matiori on social security, proof of o inership, citizenship, financial interests,
‘eaai oroc e1irir arid decisions, ‘tcj, private organizations, and the Federal
Toverrment CULre rirotect ion in case of an ai ergency, but stor e areas need
not be located at or near an alternate site.
10. PR E JRES FOR TRANSFERRTh)G VITAL RECORES ‘10 ALTERNATE SITE .
a. The Vital Records Officers shall:
(1) Collect arid :- - vi cc ies of vital records as the i are identified
and provide safeguards for teTr1r rary stora in accordance with EPA security
nrocedires .mtl.ined in the Facilities and Supoart Servic’ Manual, DOO .flT tit
Seci ity, SCR 2—(19. A file unit (Folder, rrenual, guide, etc.) ist be cartplete
when supersedtrg an o o]ete file unit. Alternate Site Representative personnel
shall not be resr nsihle for olacing ucxlatecl pages within any file .rnt. Oat—
dated r-eCOrdS shall be returned to the Vital Records Officer or destruction.
4—5
-------
RECC J)S ‘tA AG T ?1 fl C C, 1
I ‘ v’BG
(2 r- are ‘Lta) recorc to be forwarded to the al.ternate site, in
accordance witi t ’e re uii-e teflts necified in t ’e YA Vital Records otecticfl
P 1 an. This .icludes
. P— dir the records in F’edecal Records Center boxes.
v-’. reoarina an oricina]. and t .RD CCX)iCS of EPA Form 1340—1,
VitaL Records Tran ittal, Piriure 4—3.
c. F’orwarthn the oricinal and one c y of EPA Form 134fl—]
with the boxes to the alternate site.
. taintr one c v of EPA Form 1340—1 in a susoense il
until :he orioinal (sianed b,i the Mte:nate Site
eorPsentati’e) is returned. The Vital cords c Ficer
nould annot t the accession ntn iijer on the sus nse ‘j
arv file ano forward the orialnal. of the form to t ’e A ncV
Recor’ts Man ernent Officer at F eadquarters, for retention.
‘3) the records listed on the EPA Form 1340—1, by awing a
aenerai tatet ent ident fiir then. The foll im information should he
inciuaed rode nunber (if assianed); title and/or sub ect and iricluswe
dates of the records: and nate of the office originatir the doa.m ents.
(4) 4andle all ational Security Infozi etion (NSI) in accordance
with tie reouire ents outlined in the F’aciliti c and Su rt Services Manual,
r cuxrent cecuritv, SCR 2—08. C o not pad security classVied records with
unclas’lfied records. All secirty classiFi d doazrnents sh ilr1 he reviewed
for sible dc wr rading irior to their transfer to the alternate site.
(5) Any records containir confidential busin ss information (CBI)
shall be orocessed and stored as if it re SECRET national ecuritv infor-
mation. Suoerseded or outdated CBI material shall be returned to the Vital
cords Officer who transferred the material.
(5) Pad boxes n conformance with re uir nents helog.
(a) Use Federal F cords Center boxes. See C iapter 3,
suhoar r iph ?c o the FPA Records Man ement lanual on h .i to obtain Federal
Records Center boxes (FRC).
(5) Estunate the otal ni ither of cubic feet of records t )
transferred to the alternate site.
-------
RE PDS MANAGE 4 NT ‘ Nt3AL ?1 O c:rG 1
1/6/86
‘C) cK vita’ Lecords in RC boxes in an unriaht ‘ tiori to
nreclude movenert or oamace thi1e Lfl transit and to make retri ia1 easier (see
cords Manaa -en- ‘tsnual, ThaDter 3, Figure —4). o not nack r- cords with
. ndely diff rent Letention neriods or r ore than one office in the sane
box. tien pack -a recor ’ s that- contain NSI or C3I, iran the records with
he iv ar3 e bo n ,rap im naner prior to olacim the i in the padirq box.
After the recorcs teen nacked, fasten the too of the boxes with nylon
tane placed iernrr se er the flans and extendiro at least b. io i.nches c n
the side of t e oxes. o not marx the security classification of the ‘-eccrds
on the wtsloe off i- e box (security requir iients nrohibit this act). hth a
black waterproof -rerKpr write the fol1o iing irifon-etion on one end of the box:
“ nnDer ch ‘ox consecutively:
-- the Acency and Office transmitting the
nr’• scr:otion f the records;
4 rntent on ç riod.
. he F2 E rrenc . ’ Dr-eoaredness Coordinator 5hall transmit vital
cc:ds to the Alternate Site enresentative or arrange for them to
: ceive records dt:— ct.lv froii the Vital Records Of Ficer.
C. The Alternate Site Renresentative shall:
(1) Canpare the records received with the EPA Fo n 134 ( 1—i, Vital
‘ecords Transmittal, to assure comnieteriess f the shipient to the alternate
site.
(2) Caro/ cut the action described n the instructions given on
the form, and sian and date i t.
1. RETRIEVAL OF VITAL RECOREE . The Vital ecords Officer shall arrar e for
etrievir obsolete records fran, or ceturnir records to, the Alternate Site
eoresentatwe y submittirkg EPA Fo i 13’1O—1, Vital Records Transmittal to the
lternate Site Representative. In the event of an eiprqency, procedures o.it—
lined in the Facilities and Sup rt Services Manual, F 1R 1—08, Vital Records
Protection should be used to retrieve “ital. records.
. —7
-------
VIA V lAf . RrU)1fl3 PROFrfr ION PLAN
Recronsilti
Ma ine nf Recn,d System 0111cc’
Peciinrual ifluecti’rs
(0; d i ’; n aid Manual;)
Ealicuntory rrirectiucq
(fl;rinrs arid Maruats)
thr,acjrn’iii a nt
Or Jani7ai inn
Division U i
(Pt1—2 1 1)
Reqinnal
Off ices:
(Manacjerrnnt
Of F ic nc)
(ahorator its
(Office of
Mrniniiti atinri)
.‘ci 11 tic ’ s
arid ‘iJ(M it
Services
1)ivi Stan
l t D (rt1 7!)
Reqinns
rahni nh)) jr’ s
Fac t I itirs
and Ebppt t
c r vi ( ‘ 5
Dlvi 51011
IC) (PM—71fl
ROC I I 0115
Modi a — l ’r;r) ; (Is
Maintained in Methrxl of Protection
Par c ’ , Keep ccpies at rr’i\
alternate cites
Papr’ r
Paper
Keep conies at
alternate sites
in each Reqion
Keep ccpies at
alternate sites
in each Reqion
Ke ep conies at
each aoprcc)riate
alternate sit°s
Transfer Alternate Site
Frequency Disposition instructions
*lmnually ftiintain current; dispose
of superseded records as
indicated on transmittal
form
Annuafly Maintain currPnt; iisjxse
of superseded records as
indicated on transmittal
form
*Anrually Maintain current; dispose
of superseded records as
indicated on transmittal
31 Mar.
30 Jun.
30 Sep.
31 Dec.
31 Mar.
31) Jun.
30 Sep.
31 Dec.
form
Maintain current; dispose
of superseded records as
indicated on trnn,Mttal
Maintain current; disirciso
of superseded records as
indicated on transtrittal
form
[ ‘P1% flhr’ctiveR
((1, • 1 ri ‘ ,iyl tIii , irils 1
C ,
‘p
l iii’; v Pr nj ni n il; r,’rr-
r9 mr
0
f i n n ‘ ci •nn,y Pri sentine l
Posters (lists nf
- personru’l ansicinfl l I ’ )
our’; rr’eIr’v lurid r 1 15)
Keep conies at
appronr i ate
alternate sites
l’apr . I
( I )n’ in;lir-1)
I i ‘
j ut riirui in slunil rl Ii” lorwar cl od AcAP I n ‘ t t iat r it ical prcqran records are kept current.
-------
F ’ i il a hiC
I43naQflltPflt Syt;tnn
IFinM ruin)
t’i narini i i ti -i ’ i n t l I c Tnrw?c
lianaa’nrrnt.
Flivision tO
(rti— 776)
r i narw I
ftinaçjenen t
Division 10
(rtl—776)
lnspectnr
Oiner& 1-0
(A—i09)
1 1n , U tint I t’ Taics
Pa ei lCcwputnr
P 1 int-aits)
Method of Protection
Keep l i l l Y ’ S at tjie
EPA Ernnirncy
rlrieration Facility
(FOE) aiteinate sites
Keep cq i’ s at mr
alternate site
Transfer Alternate Site
Frequency Disposition Instructions
Maintili i i an ,ent f , i f iv?
pay periods; dispone of
supeiseded records after
that t tire rr ame.
Aftnnjahiy Maintain ciirr’ nt; dispose
of superseded recru ds as
indicatei n tr’ nsnlttaI
for -rn
Nnmr’i,f fl.’corcl 5yctcv
‘a
w
0
Responcihi n
Off ice
Media - Records
Maintained In
Every
two
weeks
0
C
‘0
8
II
Scinirity rlnniniice
Files
Keep ccpies at all
alternate sites
31 Mar.
30 Jun.
30 Sep.
ii D c.
current;
of superseded records as
indicated on tran nittal
form
Eb’cnt il tluhrkp hir’tit
Systnn (SI’ II)c —
Refeu riwn Pun In nrt)
Inlor-nat ion
Mana emnnt
anti Sei v 1 cpr
Division 1K)
(IN—71 ID)
Reqinns
1at ratoriu ’
Pi;ri
Keep ccpies at
apprcnriate alteunate
site
31 lIar.
30 Sep.
Maintain cii rent; dispree
o f superseded records as
indicated on tranmittal
fonn
flrTpluv /et’ Mnulicnl
rk,ni tot i iw Penn un
(k-’aipnI inn 1
health and
Safetv Starr
Ifl (PM?71)
I ’ u’u ( I rillutul u
lu u n nil ‘,)
K eep cqiies at rrur
nit einnte site
*Ani _Rial ly
Maintain cur ient; dis;nse
of superseded records as
indicated on tran’ nittaI
forn
0
r4
4
I
-------
Procut niient
and Coritract
tianF JenY3nt
Division 110
(V 1—2l4)
1ri nr’t1c Tnp. s Keep tapes at F’OF
alternate site
Transfer Alternate Site
Freauency Disposition Instructions
*Annually Maintain curtent; dispose
of superseded records as
indicated on transmittal
form
h. Contract Files
(1pcjal contract
dooime’it’ ard
nodif icat ions
sho iro Jeqal
ohliciatioris of
the Govc’rr,nent
or individua )s) —
Inactive cr t’ i
rr,ntr acts
Procur ’3tie nt
and Contracts
Mana r, i ient
Division 1-10
(PM—2 )4)
Keep cepies at
Federal t cords
Center, NARJ
31 Mar.
30 Jun.
10 Sep.
3 r c.
Grantc Information
and Control System
(Crmipiiter Syctrlfi)
*Annually Maintain current; dispose.
of superseded tecords as
indicated on transmittal
for m
Crarit an ’I
Cocrx’rat lye
Aqrernw?nto
Grants
IVimi nistrat inim
Division IF)
(111—21 ()
rim r : Ot irhe
Keep microfiche
ccpies at EOF
ait-ernate site
*A,lnually Maintain curtent; dispose
of superseded recor 1s as
indicated on transmittal
fo tm
1,c’r ’i i . (doii i rn
with h ’ t ( . iii
cl’. rm1 )
Grants
fdunin let ration
Division 110
(111—21 ( )
Ct amits I’ ,p.•’i
Idun( ‘ii sti at mm ii
Division 1W)
(111—21 ( )
Keep conies at
Federal 1 cords
Center, WAR/
31 Mar.
30 Jun.
30 Sep.
1I
ii Mar.
31) Jun.
30 Sep.
11 1) c.
RCSFY)1v ti))
tiTi 1 r Rer--i,d Syete!n Office —
U
‘0
0
Co
0
Conti ai I rimro,, .- .t- inn
ys I c i ii
•,. Au1i ’vit”d
rr’nt fl )CUrTTfltuI j )fl
Cyst-on (APIT )
Media - Records
Maintained In Method of Protection
Pap’ r
RetaIn 6 years and 3
nonths, then destroy
Grants M,’in ’ t- IC Tapes
Nlrni ntstrat nii
pivision IF)
(F1 1—2I6)
Keep tapes at
F .OF alternate site
I —
0
• . 1
‘-4
I - .
l iii
iV It iT i’i it
Keep • q 5 it
Feder i I Recot de
I i iitop •
RetaIn 20 years, then
113St roy
Retain years, th ’n
ilesti c’
-------
t 1a ne of Record Syst
Resjx. ns thl.’
Off I c’e
iledja — Records
Maintained_In
Method of Protection
Transfer Alternate Site
Frequency Disposition Instructions
Susrwnsioq air!
P .’ u in.’ nt
Nlrninis rat lye
Ilearlixi flecou .
Pl”adinqs. Tran-
scripts, and
Exhibits (Triact lye
files)
flad
-------
Rer on ih1e Media - Records Transfer Aiternat’ Site
Nire ofT eCO1dSVSt iTt Ffice_ Mainta!ned In - Method of Protection Frequency Disposition Instructions
tIa7l XI 5 Wash’ O1fic’ 01 ItsInPtiC Tapes Keep ccpi. s at Anrualty Maintain current; dispose
i ta r - nrriii nt j -j appronriale of superseded records as
ystnn P,rXJraTl alternate sit indicat cl on transmittal
4]n.1qeIu nt Form
and $ uppDrt
U) (W l—562)
TSCI\ Ri1 i akirti Office of rilcroflche Keep ccpies at E( *An al1y Maintain current; dispose
I cord (ll cket) Thxic alternate site of superseded records as
Suhstances — indicated on transmittil
Information form
Manajr’ment
Division Ifl
rs—793)
TSCA Section 5 Office of Piper Keep ccpios at E(W’ *Anrually Maintain current; dispose
essyrnnt Files Thxic alternate site of superseded records as
Substances - indicated on transmittal
Information form
Fian npnt
DIvision 0
(TS—793)
1SCJ Inventory Office of £liqrr”ttc Tapes Keep tapes at *An Ially Maintain current; dispose
of C1tenical Thxic alternate cite of superseded records as
cuhstance< - indicated on tran nittal
Infor m ation form
Manac merit
Division! )
U
s’- i• Keep cepie’ at .1\nrua1ly Maintain current; dispose
Inn,•itrnicy PIirn reqional alteniiaH of superseded records as
site indicated on transmittal
tore
-------
Resrvnc lb In
HanD of Record Synten 0 11 icr
Sitirrfuncl Sit
Ynvesi iq tinnc
(()i ly wtictc’ sit’?
3 nvt’st iqat inns have
hneii cr,ndijc ted and
the sitr’s hnvr’ tl(’r’ri
rai ’.nd)
Supeilund and Rt’RA
Enforcem nt and
litigation ret -nuts
RCRA Part B Permit
/\pplicatinn and
Permit Files (only
Pennit anti aittiatini
infOiTTfltioi) reD’ ,--
encirvj key ;nrosma—
tinn on RCPA Part B
I Apcit cnt inn)
t-lrdi a - Records
Maintained in Method o t Protection
tbtnet ft Tapes Keep tapes at FIT’
alternate site and
regional alternat
site
Keep ccpies and
tapes at regionaj
alternate cite
Ke cqm Ins at
regional alternate
cite
TransEer Mterriate Site
Frequency Disposition Instructions
‘P,nr*ially Maintain current; dispose
of superseded records as
indicated on transmittal
form
Anrtially Maintain current; dispose
of superseded records as
indicated on trananittal
lorni
*An ally Maintain current; dispose
oC suçe rseded records as
indicated on transmittal
form
*Mnuaily Maintain current; dispcse
of superseded records as
indicated on transmittal
form
‘i .h, 1 1. il’ .’1 i
Pr rice o l
fl’st wide
Pr rqr in’; -
Pr n-T I in
t in n.-,—temr’ nt
and 9rp;u’r t
Division tK1
Tc-7 7)
11 s;vi.’’t I c ’ tn;-w’c
Keep taix’s at I (1’
alternate situ’
*p nually 1-toint ain crirre u iL; dispose
of superseded recnu ds as
Indicated on transmittal
form
‘ :3
Inuentory of p, ! ,l ir
S’htet Supplinc
Paper and
riarpiet ir Ta;-ec
Itt’aclquar I-etc
and Regions
Regions
Regions
Regions
Keen ceptes at
regional alternate
site
I—
‘44
0
‘ C
I-
‘a
C
I i
-------
Respon’ ihlc Media — Records Transfer Alternate Site
Name of Record sLst8n Office Maintained In Method of Protection Frequency Disposition Instructions
Ccinpany Dita File Office of Microfiche Keep microfiche 31 Mar. Retain permanently.
(Tnaciiv’ FiI s) Pesticide copies at Federal 30 Jun.
Programs — Records Center 30 Sep.
Program 31 Dec.
Management
and Support
Division ITO
(TS—757C)
i v im”t ry Pn’,rds I’aper arid Keep copies and *Mnually MaLntaln current; dispose
ras Vegas M.iriiretic rapes tapes at Region 9 of superseded records as
alternate site Indicated on transmittal C
form
Radio r iucIid E)ISI., Paper Keep copies at *pj. nua11y Maintain current; dispose
Radioactive source las VeOac Region 9 alternate of superseded records as
1iiventorie site indicated on transmittal
form
l hoJ’—Body Count irq FYISI, I ri r ((crripuier Keep copies at *!lhnnnjally Maintain current; dispose
I)ita F’,!es and I . is Vc’ria Ii iriL’epIc) arid Reqion 9 alternate of superseded records as
Siuiiiory Ii ni ri.’t ir cite indicated on transmittal
p form
ParIiatin ’i Claims FIISI , I ij r Keep copies at *p,j nu l y Maintain current; dispose
and 1)rI-Sitn las V vr Reqt’n 9 alternate of superseded records as
irveiI1arw.’ cite indicated on transmittal
form
l)
0
Li
-------
.ECORDS NAGDIEY ‘t U\WkL l60 G-{C i
1/6/86
DENTFYING /IT L RECORDS
ihen seLecting emergency operating records is consiceration
iven to:
The types or information needed by EPA during an arnergency?
-. The value of the records in meeting this need?
3. The availability of this information elsewhere?
hen ;elect:ng legal rights and interests records is considera—
.iOfl .lVefl :0:
i. The question or dhac ri nts and interests require the
Agency’s protection?
2. e ia.’ a of the r’ corcs in protecting those rights and
nter :s?
3. Te availability of this information elsewhere?
.1• Do these rights and Interests records include records of
iebts wed to the Government hut not of those owed by the
Government?
5. Do they exclude records supporting legal rights that can
be reestaolished through affidavit and are well known to
c ose LflvrDlved?
Do they exclude records that are duplicated, as a matter
of standard practice, by local governments?
7. If the same records are needed for both emergency operat-
ing and legal rights and interests purposes, are they
either designated as emergency operating records and
handled accordingly or designated as both types and after
duplication stored separately?
8. Does your office designate for vital records purposes only
the minimum volume of records consistent with the program’s
objectives?
Figure 4—2
-------
? ECOR S ‘ YAG rr MANUAL
2160 Q- G 1
L
I / 6/86
I
I ACCESSION NO. (To b•
by Alum .,.
V)TAL RECORDS TRAN AITTAL z.
t
ee s:.isc:,o’,c 0’? ‘ev. ,se) 9—8 5—001
‘Am. .t , ,,,. ,o .s. 3. FROM (Na , ,. .1 Vu .) R.co,da OUic. . alp dS. aid
.i.pIIai• fli b.,1
Robert A. Jones
?A e ion Alterr ate sire Region 9 — Jater ‘tanagemenc Division
4
U.S. Environmental Protection Agency
i chingrr n , T)J ‘04f fl
SECURI’rv CLASSIFICATION AND/OR RESTRICTION ON USE OF RECORDS (tI air)
SUOJECT/DESCRIPTION OF RECORoS AND DATE(S)
8.
SITE MAINTENANCE AMO
DISPOSITION INSTRUCTIONS
I.
Retain until updated
Retain until uodaced
LSAM
• E
ACT ION
COOE•
1 ver tor .: of Public ‘ater Suoplies RP
—aster a netic tapes, Jul. — )ec. 198(.
‘entor’ ‘uolic ter Su phes A
- : -‘ ‘‘c’—cntat ion, OS 4
H p
5. PREPARED BY (Typ.d P4ii. aid TiuS.
“ert \. Jones
al ‘ ecords officer
1
I
le O SIGNATURE I .OATE
2-28-85
RECEIPT ACKNOWLEDGMENT (To br rurn 1.qet1 b aI l.ntas. Site pCPSORNCI)
(2
I
RECORDS RECEIVED BY (Typ.d Yam, aid Tlul. 13. SIGNATURE 4. DATE
John . Gflhit , ,
Alternate Site Representacjve 3685
EPA Form 1340.1 (P .r. 342) Pr .vious .dltlon n v OS uSSd until Supply ,sSal%LauId. Figure 4—3 (1 of 2)
ACTION COOES. A - Add. M - R.mor.. PP - Pso4 e
-------
CORDS ‘LW E’ET ‘ V JU L 2160 GIG I
1/6/86
STRUCT !ONS
ViTAL RECORDS OFFiCERS
Prepare uiis form in un riaJ ar.o two copies wrien requesting the addiuon. withdrawal, and/or disposal of
the virai records storea at the area alternate site Complete Items 2 thru ii Forward onguiai and one copy,
accompanied by pertinent records to me approprtate alternate site representaUve. Retain one copy in the sus•
cerise file until the original copy (signed by the alternate site representative) is returned.
LTERNATE SITE REPRESENTATIVES
titernaie site representatives wiil enter accession number in Item I, complete items 12 thru 14, retain one
copy of the form aria return the original lorm to u e ‘vial Records Officer listed in Item 3
TEM
-4 Srtf ’excidriaiorv
Enter e cn DOX -umo r t . the list of its contents.
o Enter chc title. subi ci ct ,r tr ’n anc date or inclusive dates ci the item.
— Erie: prooriate code iw i- .aIe action desired. “A” indicates thai a new record is forwarded
.:tion Into he i:le tM” indicates that a record is to be removed from the existing vita!
:cords file with no repidi.ement ‘P2” indicates that the record being forwarded replaces an
existing record ri the vital records file
5 Enter insirucuons that aliernace pcr onnel are requested to carry out regarding maintenance of
ea ,n record (t c • retain permanently, return superseded record to the sender for destruction. re-
tain until updiied revision is recerved I
9 II • Compleced by Vital Rec rdi Officers
:-14 C mpIeted by Records Alicrnatc Site Peraonnel.
SAMPLE
Figure 4—3 (2 of 2)
EPA Form 1340 ’I (Ri ,, 3421 Riu
-------
5 FILING EQUIPMENT
& SUPPLIES
-------
REOJRDS E T 150
— , ‘ .3 / 34
Ca PrER 5 - FILING ECCIP f AND SUPPLIES
Table of Contents
PAR RAPH PAR? aP
TITLES NU ERS
Purpose 1
Policy . . 2
Standard Filing Equi t nt 3
P ered or Other Mechanized Filing Equi rent 4
Utilization Standards or Filing Equipi nt S
Requests for Filing Equ1 ient 6
Standard Filing supplies .
File Foi.ders . . . . . 8
Folder J.a.bels
Guide Cards 10
Ordering Filing Supplies 11
Figure 5-1. C cklist for Determining Need for Filing Equi Tent
Figure 5—2. Procurez nt Request/Requisition
Figure 5-3. Labor Services Request
i
-------
2160
7/12/e4
1. PUR C E . This Chapter prescribes criteria and procedures for the
acquisition of filing equi ent and supplies.
2. POLICY . Filing equipment and su lies acquired for use within the
? Jency will be the ncst econanical possible to et filirç require nts.
Filing equipmnent is not to be requested solely to iitçrove a arance, office
decor, status elevation, nor because of a desire for the latest design.
Letter—size equipi nt will be used unless there is a requiret nt for legal—
size. tJsed or reconditicned equipm nt will be used when available. As
equipmtent becanes excess to local needs, it must be turned into the Property
office for further disposition.
3. t NW RD FILING Ex uIP!1fNr .
a. General i quir nents . Standard equip nt listed in the GSA Stores
Stock Catalog and/or the Federal Supply Schedules sha .ild be used in preference
to nonstandard iten , unless there is a requi.r tent for a special files
cperaticn. Letter—size equipnent should be used in lieu of legal—size
equipmi nt because:
(1) Legal—size file cabinets cost 13 percent re than the letter—
size for the upright variety and 28 percent i re for the bile or hanging
file cabinets.
(2) Legal—size file cabinets require 16 percent r ore ficor space
than letter—size cabinets.
(3) Supplies for legal—size equipmnent costs tore than letter—size
equipi nt.
(4) Inactive legal—size files require 20 percent r ore space in
Federal Records Centers than do letter—size files.
b. The five—drawer letter—size filing cabinet should be used for rrcst
na1ler files operations.
c. Shelf Files . he1f filing equipm nt costs less than file cabinets,
requires less space, and permits ease of filing cperations. Standard shelf
filing may be ri re appropriate than filing cabinets for records that are
alphabetically or ru.m erical1y arranged such as case or project files.
Shelf filing should be used when records total 50 cubic feet or n re and
when:
(1) The purchase of new filing equipe rtt is conte lated.
5—i
-------
RE RDS MAN 1 ( 2160
7/13/84
(2) Additional soace for filing operations is required and only a
lirruted artcunt of space is available.
(3) Tt e filing station is in a relative pe anent location.
d. Security Files . Classified doc rents and material are to be stored
in security equi ent as authorized by the Security office.
4. ER OR CI M ANIZED FILfl ’X EXUT Q ’T .
a. Mechanized filing equiprent is c tly to be utilized in EPA when
there is a result in savings over the use of standard filing equizx nt.
The savings must exceed the difference between the cost of standard and
machanized equi t€nt, prorated over a three-year period. A cost analysis
sh .jld be done to determine the savings. The cost analysis sk .iid cover
issues such as:
(1) Staff . The rn ber of positions that can be freed for other
çurposes, either existing or x dgeted.
(2) Space . The air nt of space saved through the use of the
nEchanized equi nt and h it may be used for other program require ntS.
(3) brk Production . To dete nine if the rkload will increase.
(4) Maintenance Costs . The cost of maintaining the equi nt on a
yearly basis.
b . Factors to consider when planning u e of chanized filing equiçrrent.
(1) The system far which the equi nt is used must be well
established and not subject to frequent change due to reorganization,
relocation, or other changes.
(2) Operation of the equi nt is limited to one person.
(3) The equi r nt imist be installed in a suitable location away
frQn ceiling lights, and heat and air conditioning vents.
(4) Adequate floor space must be available.
(5) The weight of the equi rent including the records may make it
necessary to reinforce the floor. Adequate electrical current must be
available to safely erate the equipeent. Check the floor load capacity
and the electrical current with the iilding engineer or with sate npeteflt
authority in the Agency.
5—2
-------
? E ?DS tANP EM 22 E
7/1 /84
(6) Adeauate maintenance and repair arrange nts must be nade.
5. LTILI2ATICt ST IND R FOR FILING EI 4Jfl!l I .
a. Dispose of all records that have been authorized for disosition by
the Archivist of the United States, in accordance with A Records Ccntrol
Schedules.
b. RBrcve office supplies, blank fo , publications, and other
nonr cord material fran filing cabinets to Ttcre suitable storage equi rent.
c. Transfer to the Federal Records Centers, or approved Agency holding
areas (to the extent that facilities are made available), inactive records
not needed in daily besiness t not yet ready for disposal, wnen filing
ecui nt can be released by such action.
d. Review records to determine if they can be Taicrof jilTed in accordance
with Chapter 6, Records Mana nt Manual. (Con lt Records Officer for
r re LflfOfll’ .3t ion.)
e. Use filing cabinets with locks only when they are required by
special needs which cannot be satisfied by less expensive equipTent.
f. use letter—size filing cabinets instead of legal—size.
g. Use five—drawer filing cabinets whenever available in lieu of Ecur—
drawer cabinets.
6. R (JESTS FOR FILING JI ’ T . A Checklist for Determining Need for
Filinc Equiçxnent, Figure 5—1, has been included as art aid to assist personnel
in determining the need for equip rit.
a. quests for New Filing Cabinets .
(1) The requesting office r ust c np1ete A Form 1900-8, Procure-
ttent Request/Requisition, Figure 5—2, including a statamant justifying the
purchase of the new filing equipTerit and a certification that the criteria
specified in Chapter 5 of the Records Management Manual has been Tplied
with. Each request for machanized filing equi nt rm.ist be acca anied
with ccriplete justification for need and use and a cost analysis which
describe the savings or benefits that may result. The requesting office
sh ild subitit the request thra gh normal channels to the appr riate Records
Managetent Officer.
(2) The Records Management Officer will evaluate the request and
determine if the file equi itent is necessary based on information furnished.
Recuests which are not approved w .ll be returned to the originating office
with art apprc riate explanation and recamendation.
5-. 3
-------
7/ f l /64
(3) The appr riate Pr erty Accountable Of ficer will certify all
requests as to the availability of excess equl nt.
(4) Requests for security cabinets will be approved by the Security
Staff at Headquarters, or the oesignated Security Officer in the Field.
b. Recuests for Used Filing Equii nt .
(1) Requests for used equi nt require the s utilization
standards and justification as n equipnent. In addition, Headquarters
offices nilst cu lete A Headquarters Fo n 5100—2, Labor Servi s Uest,
Figure 5—3 *
(2) The L a1 Records Managa nt Officer will evaluate the request
and dete nine if the file equi nt is necessary based on the info nation
furnished. Recuests which are not approved will be returned to the
originating office with an apprc r1ate e lanation and rec xn ndation.
7. STP N RD FILING &JPPLIES. use of standard types of file folders,
guides, and labels will provide for neat and orderly files. Standardization
of files supplies provide for interchar eability, 1 r ts thrcugh
quantity purchasing, sizçl if ied stocking, and unifo n a çearance. Standard
filing supplies are available frun the GSA Catalog.
8. FILE EOLD .
a. Kraft Fblders . Kraft folders should et the Ixiajority of filing
requireitEnts since tt st records are current for a relatively short peri
before they are retired or destroyed. The standard kraft folder is 11
point, flat type, bottan scored for 3/4 inch expansion, reinforced self
tab, and square Cut.
(1) Dras r Files .
(a) Letter size NSN 7530—00—663—0031, 9 1/2” x 11 3/4”.
(b) Legal size: NSN 7530—00—200—0031, 9 1/2” x 14 3/4”.
(c) Letter size with built—in 1 5/8 ’ prong fastener: NSN
7530—889—3555, 9 1/2” x 11 3/4”.
(d) Legal size with built—in 1 5/8” prcx fastener: N J
7530—00—559—4512, 9 1/2” x 14 3/4”.
5.-4
-------
p p 2160
7/13/84
(2) Shelf Files .
(a) Letter size: N 4 7530—00—8812957, 9 1/2” X 11 3/4”.
(b) Legal size: NSN 7530—00—926—8975, 9 1/2” X 14 3/4”.
(c) Letter size with built—in 1 5/8” prong fastener: NSN
7530—00—926—8974.
(d) Legal size with built—in 1 5/8 pr fastener: N9
7530—00—926—8976.
b. Pressboard Folders . Press ard folders are reca nded for case
and project files when the kraft folders will not withstand the added voli te
and/or use. The standard press ard folders are flat—cut, one—inch expansion,
with self-tabs, 1 5/8” prong fasteners, and square cut.
(1) Dra r Files .
(a) Letter size: N 7530—00—926—8981, 9 1/2” x 11 3/4 ’s.
(b) Legal size: N 7530—00—926—8982, 9 1/2” x 11 3/4”.
(c) Special pressb ard binder folders are re T rKied for case
files such as grant case files. These folders have two kraft inner dividers
with six built-in, two prong fasteners so that papers may be arranged by
type. N 7530—00—990—8884.
(2) Shelf Files .
(a) Letter size: NSN 7530—00—9268983, 9 1/2” X 11 3/4”.
(b) Legal size: NSN 7530—00—926—8984, 9 1/2” x 14 3/4”.
9. FOLDER LABELS . Use folder labels to place captions on the folder tab
in a neat, unifotm, and legible manner. pressure—sensitive labels which
require no water, solvent, or heat to apply are recarmended. They may be
fed directly into a typewriter or run on aut natiC equi nt. Labels are
3 1/2” x 5/8” and are available in plain white or with a 3/32” wide
identification strip in various colors (NSN 7530—00—577—4376).
10. JICE C?RE)S . File guides make files r ore usable, h ever tco many
guides will hinder files maintenance and cçeration. Guides serve to index
files, especially correspondence files, and support the folders.
5—5
-------
RE RDS MAN & T 2]. 6
7 / 13/84
a. Dra r Files . Press bcard, one—third cut, angular metal tab,
with it 1 ier projection, all p itions.
(1) Letter size: NSN 7530—00—989—0692
(2) Legal size: NSN 7530—00—989—0694
b. Shelf Files . Pressboard, one—third cut, center pcGition, with
straight black steel tabs and metal shelf i ks i o ceite edge.
(1) Letter size: N 7530—00—989—0184
(2) Legal size: N 7530—00—989—2425
11. ORD ING FILI SUPPLIES . The standard filing su 1ies cited in
paragraphs 8, 9, and 10 snould be obtained through normal su 1y channels.
5-6
-------
? E RDS 21E 1
7/i /S4
C-iEC LIST F. MINI r NEED F R FILI 4 UL? !E T
This checklist s an aid to assist yo. in determining need for additional
filing equiçxnent. Check either yes or no to the foLl .iing questions.
Yes Jo
1. Have inact we records been retired to the Federal
Records Center in accordance with A Records Control
Schedules?
2. Has d ispos it ion of te tporar! records not authorized
for ret renent to a Federal Records Center been
accarola.shed in accordance with A Records Control
Schedules?
3. Have records been re ,iewed to deternu.ne if they
shocid be microfiixted? (See Records tanaget ent
Manual, Chapter 6.)
I 4. Are all file containers being fully utilized at
present, including all tcp and ttan drawers?
5. Have extraneous iten such as supplies, personal
pr erty, and decorations been rvrcved frrm files?
6. Has filing equa ent within each office been
surveyed to determine whether existing equi rnent
cart be transferred to the office requesting the
equip1 nt?
L..J 7. Can bar locks be installed on existing file
cabinets so that they n et security storage
requ i rerrent? (Contact Security Officer.
8. Is this request for filing equi rent being made in
— an effort to unprove appearance, office decor, or
far scr siriilar reason?
Figure Er-i
-------
ZCC ‘...GE:E:
tShaoeo ar es are (or i n c or oroccnmenr o!1,ce on ) . ’ aaae or
US ENVIRONMENTAL PROTECTION AGENCY I 1 NAME CF ORIG 1t4ATCR 2 DATE OF REQUISITION
WASHINGTON 0020460 I Son Yran i: i vii, i 1 , LQSLi
PROCU REM ENT fl IAIL CDDE 4 TELEPHONE uM8ER DATE ITEM REQUIRED
REQUEST/ORDER t —52 I 382—37°3
SIGli.ATURE OF OP.IGNATOP 7 RECOMMENDED PROCUREMENT METHOD
0
8 DEJVER TO fPrc(ecr Manager , 9 ADDRESS 10 MAIL CODE 11 TELEPHONE NUMBER
12 FINANCIAL DATA NOTE ITEM 12 I d DOCUMENT TYPE—CONTRACT a C PURCHASE
181 APPROPRIATION ORDER a P I : A OTHER (Misc ) a X
0 DOCuMENT
FMO USE T CONTROL NUMBER I AC DOUNT NUMBER
I EI 113 0 9 : 1St c r d (6 thgnsi let ( 10 d’q’tsr
OBJECT
CLASS
III 14 di goa l
AMOUNT 191
DOLLARS I 015
— I
I
13 SUGGESTED SOURCE (Name Adorns lIPCode Phone/Contact 14 AMOUNTOFMONEY 15 CONTRACTiNG OFFICE 015 015 NOT AUTHOR
COMMITTED IS LZEO TO EXCEED AMOUNT SHOWN BY 10%
0. N. Owens Company 0 ORIGINAL
2215 1 Street, NW. 0 INCREASE 16 SERVICING FINANCEOFFICE NUMBER
r fl f l ’ 7 ODECREASE
17 APPROVALS
a BRANCH/OFFICE DATE a PROPERTY MANAGEMENT OFFICER/DESIGNEE DATE
Jonn__ crest
B DIVISION/OFFICE DATE a OTHER (Specify) DATE
Dn ,or _t’or.tp ll
c FUNDS LJSTED ABOVE ARE AVAILABLE AND DATE
RESERVED Bob Franklin
a OTHER (Spec’ly)
DATE
•. .
. 4. -
— - _ - — -
“r’ .. .. ... — . .. . •“L P •
— . ... .. . . . . - . . . .. .,. .. . . . :. .. - . . .
- — - - .4 -4 —
• — -—-t —.r.’ t —; t. .t* - a — . . _. t — — — —
-t.. 4a - , .
.... . . . . . . . . - . - . . t:. ..
- - - - -- “--- - -
Ltt t :; *‘:‘... . - . - .. .-... ; .-.
jt s : -: - - - _ _ _
.Zt 5 c > ‘- . -r -e-. sl-?ra ,av_ _._c_ J - 0 -
r •iaV ,• 44• . 1’ .. .
27 SCHEDULE
ITEM
lUMBER
181
SUPPLIES OR SERVICES
IbI
QUANTITY
ORDERED UNIT
c i Id)
ES11MATED
UNIT PRICE
I i i
Lateral File Cabinet — Type IV — Five
tiers high, style P — four shelves over
one drawer, model 1 — withoUt laminated
plastic tOO, ze 2 — 42” wide 18”
deet, 64 1/6” hi’h. color black.
JTSTIFICATION: File cabinets are needed
to houce RCRA regulations which are
currently being stored in boxes.
CERTIFICATION: This certifies that all
recuirernents of Chapter 5 of the
Records Management Manual have been met.
I
ea.
241.0
S’ATES OF .M(RiCA —. ——
BY (Signarrirei - T TYPED NAME AND TI’LE CF CONTRACTING OFFICER
EPA Form 1900 841 eo’aCeS D’4v’OLS editors Figure 5—2
arc EPA Form 1900 8T wr”cn arc obs’j’e’s fl Y 1_PRDUREMENTFILE/ NTRACu 1 NC DFFICER
TOTAL $
-------
AGENCY I 0 NU SC IQ(tI I
LABOR SERVICES REQUEST
VOT V jp 4 ,n,zrrsuv, Q ,cer musr iqri tPIiz ouefl wneT, ,nos ,rea berore r can oe oroce C I
AMC QV q QuCSToR 3UILDING ROOM NO Ct.LPNON( NO AIL C O
- =
orricc
- — - ‘J—••
- - - -
- SERVICE REQUESTED
= 3(LtV(RY MOVE (AIt3c CSflON wO *a tI
OTN(R (SD(e! I
COMP%.(Tt DESCRIPTION OF A•OR SERVICES TO SE ACC©MPLI$NI0
Del::ar from arenouse a i:ve drawer letter si:e file cabinet to Room 3&2, SMW.
JLSTIZICATtON: F 1 g caDinet is necoec to house data from industries study orogra .
Data anc recoras are currently being noused in soxes weich are creatIng a safety
hazarc.
c:R::Y:.;r:o:;: This :ert f1es ‘ at all :eaui:eents of C aocer 5 of : e Recorts
ana2e en: -‘. .anuai - a’;e oeen net.
APPROVAL SIGNATURES
PROGRAM ADMINISTRATIVE OFFICER PROPERTY MANAGEMENT
FUND
I certify that funds are available
SIGNATURE OF COMMITM& J -r CLERIC
ACTION TAKEN
ACTION J
DATE liMe
ACTION
DATE TIME
LABORERS OISPATCP4ED
ARRIVED ON JOB 1
LABORERSPETURNED
JOBCOMPLETED
FOREMAN S SIGNATURE
CUSTOMER S SIGNATURE
--.“- -— — ——
EPA I1q Ior n 5100.2 (Rsv 12.80) PREvIOUS EDITION MAY SC USED
COPY DISTRIBUTION
Orugiriiior iU flIt truee cooies o Proo
sflv Office. retain last Dy Or YOu’
ricoms
Figure 5—3
-------
6 - MICROGRAPHIC
MANAGEMENT
-------
-
- u ! ca -:: - cQ CE :rZY r SYE E
b1e of C . ntents
?AR? 1 P
TITLES ________
Purpcce • 1
Policy 2
Object_yes •.e 3
Pesoa’ sibtlity . . . . . . •4S•• 4
Definitions S
protection of Pec anenc Microfo n Records 6
Recoros Control Echecules - croform Recoros 7
Tests
Inwection of Master Films t Reolace Pacer Secoros
?er ic Review of M1c rapr. : Syst 10
Preli.xninary Detemlnation . 11
Project Just,ificaticn 12
Project view cf New Source c r nt Micr ra hic Syst 13
procedures for ?‘ircnase/Lease of Scurce C t nt Microfilm
Equi ntcrC3ntractswit. Serv1CeBureaus ....... 14
Figure 6—1. Standards and Guidelines for the Maintenance of
Microform Records
Figure 6—2. Standards for Film Tests
A endix A. Feasirility Study for 4ew Source c .nT nt
Micrcçrapnic S stein — C t-3enef it Analysis
1.
-------
- :cc :- :c t D r’r - CC T
1. PUR E . The urpose of this ChaDter s to estaclish the Agenc source
doci nt icr racru.os pr ram as reauired by the Federal Pr erty Mar ge nt
Regulations. This C .apter provides Agency policy and procedures for all
source doc.. nt t:cr raDhic systems. NCYIE: ?1icr raphiC systans involving
the use of C uter Output Microfilm ( 1 . ) and other A hardware are
excluded fran this directive (see C1 apter 9 of the ALP Manual).
2. POLICY . Micr raphic equi ent, services, and syst will be a ired
only wnen it i deter ni .neo that the use of such is: (1) technically
feasible, (2) ecor tically beneficial, and (3) aãninistratively desirable.
3. oai I’v . The objectives of the source d nt micr raDhic anaaen n
pr ram are tO:
a. Develop cr ter a to dete n.tne the cost—effectiveness of rtticr rapnic
applications over other meti s of info ation storage and retrieval, anc
to insure that these irethc’ s are applied unifo nly throughout the Agency.
b. Provide advice to potential users of micr raphic systans, equ1 nt ,
and technological advanc nts.
c. Review all requisitions for the a uisition of i icrcq phic equipt nt
or services in E ’A.
d. Provide guidance to organizational. ele nts concernlng the advisability
of Tnicroforln pr uction in—house or through contractual arrang nts.
e. velop Agencywide policies to insure that Agency syst are
atible and that microforms are pr uced in accordance with acceptable
quality control standards.
f. Estaolish an inspection pr ram for the review of all operating
systems to insure liance with the FPMR requirements for creating,
processing, and storing inicroforms.
g. Maintain an inventory of all mi.crographic applications/activities
being utilized by the Agency.
4. R SIBILITY . Director, Info nation Managextent and Services Division
has Agencywide responsibility for aoc it lishing the objectives cxztlthed in
paragraph 3 with respect to source doctu nt applications.
6—1
-------
::6o
13/84
E. EFIN S . For the curccse of this Chapter the llo iing defin .ons
aQply.
a. Archival Microfilm . Archival microfilm is silver halide microfilm
nic .- meets t e recw er nts cf:
(1) Federal Standard No. 125 D Film, Phot raphic, and Film,
Phctngrapnic Processed (for pe anent use);
(2 ? erican National Standards Institute (ANSI) Standard:
(a) PH1.25 — 1976 Safety PP topraphic Film, Specificati
(b) PE]..28 — 1976 Ptiot rathic Film for Archival Records.
Silver Gelatin Type on Cellulcee Ester Base, Specifications for;
(C) PH1.41 — 1976 Phct raphic Film for Arc.’iival Recoros.
Silver Gelatin Type on Polyster Base, Specifications for.
¶‘a n tested by ANSI Standard PW4 .8 — 1971, Methylene Blue Method for
Measuring Thiceulfate and Silver Densit netric Method for Measuring Residual
Ch icals in Fii , Plates. and Papers; and stored in acr rdance with ANSI
Standard P . .43 — 1976, Storage of Processed Safety Phot hraphic Film.
b. Microfilm . Microfilm is defined as:
(1) Raw (unexposed and unprocessed) film with d aracteristics that
make it suitable for use in iic c aphics;
(2) The process of reccrdir microi ges on film: and
(3) A fine grain, high—resolution photcy phic film containing an
image greatly reduced in size fran the original.
c. Microform . A teen used for any form containing microimages. for
ex le microfilm, microfiche, aper ize cards. etc.
d. MicrofOrm op1ications . Any process which reduces any form of
thf o at ion into a microform n diun in which the inform ition (microi ges)
is tco 11 to be read without ma ification. 1 se a licaticr include
any microfilm which has been produced by filming the paper copies or source
doctments of original records. Included are a.1l roil microfilms • microfiche,
micro-jackets. aperature cards, and all other microfilms produced fran
original records. Ca’çuter output microfilm (TM) is not a source doc’.rreflt
a lication since the film is produced by direct conversion of crrnputer-
generated data rather than by filming of paper records.
6—2
-------
:163
713/84
• he s::ence and tecnnoi .’ f doc rerit and :nfor ati n
- tcrc :1.-ning anc ass iatec cro otn syst s.
f. Microlinace . A unit cf : . - fcr riat cn, sucn as a page of text or a
:rawin;, at :s mace t to read wLthout mafioation.
g. icrcoracnic S stein . .; configuration of equi nt and pr edures
or the coucr .ion, epr uc::on. maintenance. storage, retr eval. dis lav,
or use or rnicrofcons.
h. Iew Micr Dhic Svst n . A new micr raphic syst n is any microfiaming
prolect in wru.ch the information to be micrcfi] d has not previ .isly been
maintained in microimage form.
6. ? TECrIa4 OF P ANU’ T MI FO 1 R . ii original microform
arcr.ival microfilm) m zt e protectec against d nage at all t.zt s.
il ir proceaures can usec to insure the protection of original
microform records.
a. Upon letion of the microfi).mir application and verification of
the in o nation on the microfo, the silver halide origina.l (or a silver
halide duplicate microfo n record created in accordan with FP? 101-11.506-
3), plus one copy (Silver, diazo, or vesic.ilar) will be transferred to the
Nat ion.al Archives and Records Services; or
b. The originator may elect to maintain the original microform records
in accordance with the approved records control schedules. If these records
are maintained by the Agency, the standards specified in FP 101—11.507—1
and Figure 6—1, for storing original microfcon records, will be x lied
with until it is tt to transfer the records to MARS or Federal Records
Center in accordance with the approved records control schedule. The
originator will certify that the records are to be maintained in accordance
with the FPMR reui itents.
7. R ORCS I L SQ JLES - MI FO 1 R RE . enever paper records
are convertea to microform, a new records control schedule must be develcçed
even if the paper records are scheduled. All prcpceed schedules which
describe the dispceition of microform records must be su nitted to the
Agency Records Manag nt Officer for analysis and forwarding to the U.S.
Archivist.
6—3
-------
! RCS • ‘; - GD
7/13/84
E’ILM TES . rganizat cnai • ernertts pr csinc iic fiL’n cor
i11 on u: tests sur at the standaros soeci .eo in Figure —
are c .:ec :ur g e n crofilming aoplicaticn (see FP? 101—11.5).
: sts sz-iouid oe coricucted periocic.3 ] .1/ during tne rnic ilrning application.
Film tests :rmust be forwarded by tie ‘ r:ginator to the Agency Records
Manag nt :er. The Recor s ‘ . _ament Officer will review the tests
to dete ine if the micrcfilmniriç adhere5 to the standards specified in F?
101—11.5.
9. INSPECCN OF !‘.AST FullS 1?.AT R L E PAP When a micro-
grapnic system replaces paper recoras that are scheduled to be kept ten
years or longer (including petinanent records), the master (original)
microfo s tist be inspected every two years in accordance with
101—1]. .5. Guidance can be f .znd :n the NA Hand k, Evaluating Micro—
gracriles Managenent. The system project officer or the local records
officer shall nuintain an “jflspecf .irDn 1o ’ in a for n best suited to local
eeas. The local records officer sn .ild report major diffi 1ties to the
. ency Records Managemant Officer.
10. P ICDIC REVIEW OF MI AP IC SYST lS . A peri ic review of all
operating micrngraphic systems will be ducted by the local records
officer. The purpose of the review is to determine if each system is
relevant to the prngr n ’ s current needs and remains in conforT!tance with the
FP requir nts f or creating, processing, and storing microfuLi . Guidance
can be f ind in the MARS Handbcok. Evaluating Mi L Jhice M nt.
The local records officer nu.zst maintain a review loga in fo best suited
to local needs. local records officer sh ild ort major difficulties
to the Agency Records Managen nt Officer.
11. PRELIMINARY DE’rE1 1INkTIC . Use of microforms in A requires thor gh
analysis aria planru.ng within the fran work of the Agency’s records/information
pr raxn. Records/information mnanag tent procedures frecuently offer rrcre
sirt ie and econ nical solutions to informnation storage and retrieval probleii
than do micrngraphics. These procedures include:
a. tright destruction of the records;
b. Retiren nt of semi—active and Inactive files to a Federal Records
Center or storage or holding area;
c. Improved rreth s of maintaining the records. such as better
classification, indexing, p.arg1.ng superflu s or d Licate material, or
other filing practices; and
A.. 4
-------
? E DS p u 1 O
:. sta l:s .ir g cCntCl Cver the creat:ori of records.
12. ? J T 5IFEC TICN . f t’ie crocedures outlined in paragracn 11 do
r ot ra resent aoecuate or acorocriate soluticns t: art irifo ation storage
and retrieval :roolem, a acr raoruc sysr.en may be justified under one of
the f:1lo ing categories:
a. Archival . Microfi.lmirtg is often justified as a means of preservation
for recoras having peroanent a ninistrative, legal, or historical
value. ?reservation by microf izning might be justified if records are
deteriorating, fading, be ing brittle, or be xzairx rmitilated througn
constant use. Also, micrcfiizning mtght be justified to insure file int rity
Lf out-of- Life materials are frequently lost or otherwise not te irred to
the file.
5. Securit; . Microtilming may be justified to insure the protectIon
of records that are vital to continued eratiorts in the event of a national
rgenc, major natural disaster or other catastrophe. Security microfii.ming
may also justified to provide security to records which safeguard the
rights and interests of individual citizens or the Govert nt. Microfilnu.ng
for this .irpc6e would not usually be justified if ies of the docu ntation
already exist in alternate locations.
c Sv _ stan rov vtt . ‘ticrofi2z ing may s ti ’ e be justified if it
can be de nstrated conclusively that substantial ber f its will be achieved
over the cOst incurred by the conventional systan. Although it is sat tines
cost-effective to microfilm active records, it is generally uneccranical to
microfilm records which may be destroyed or retired to a Federal.Records
Center within 10 years or less. Micrcfilining for system ir rcvatent may be
justified to effect reduction in cost or tisE of work operations; save
large scale repetitive operations fr being perfor d; expedite the work
floe; provideimiltiple , l i-cost copies in systa where Tmlltiple users
require access to a file; reduce the requiree nts for supplies. equip nt.
and space; reduce retrieval eiite; reduca duplication and mailing costs; or
insure file integrity.
d. Centralized or centralized Infort ation Sources . iiicrofiisning
may sanetu s be justified to establish a central infc ation point when
the sources fr many icoations; or conversely, a nicr raphic-systa
may be justified to provide a t eans- f- convenient dispersal of: large am.ints
of irtfoc ation to decentralized points, such as field office locations.
Savings fr duplication and mailing of paper records can sa etimes be
substantial. MicrofiiJning proposals for this purpose m st be supported by
proven benefits. - -
6—5
-------
2160
7/13/84
:3. ? JEC RS7Il OF NEW SOURCE XCUM T MI APfjIC SYST! 1 .
a. A Reaocuarters or field organizational e1 nt who has identified
an area where conversion to a micr rdpnic sysfàn might i rove t
nfo ticn storage and retrieval system should su nit a written proposal
to the Agency Records Manag nt Officer (PM-211D). The Agency Recoros
Manag nt Officer wifl review the prc x al and advise the organizational
el nt concerning the tecnnica.l feasibility and cost-effectiveness of the
pt osed new system. This procedure applies to a.U pr a d projects in
which the info tion to be mi.czofil d has r t previ ly been maintained
in microi.mage fo n.
b. i1 organizational el rent initiating a prc c 1 for a new
rnicrngraphic system xm.ist conduct a feasibility study which includes a t-
benefit analysis foll tng the guidelines sh n in Appendix A, Feasibility
Study for New S rce Micrc raphic System. The fea.sioility so.idy
is an essential part of the project planning and evaluation process. and is
required as supporting doc nt.ation for the Proc.1r nt Request/Requisit:cn,
EPA Font 1900-8, for all new micrngraphic syst in su aragraph ].4c bel i.
N fl : NO or xsed source e i nt mictc rathic svst will be a v d
i st1ess a feasioilitv stucv has been done wnich clearly dn r nts and
justifies tr need for t system . All requests received wiuon 00 r t
include a feasibility study will be returned to the originator i diately
with a -‘ e laining that a feasibility study is to be in accordancE
with Appendix 6-A. - -
14 • P i uR F R IASE/LEPSE OF S XJ MI FIt21
-. flRPCIS WI’IH s vici JREAL . -
-a. ‘ft requesting office iust c i lete CPA Fa n 1900-8, Procure nt
Request/Requisition and subnit the request thzough noal channels tO the
Agency Records Manag ent Officer (PM—211D) at Headquarters. This procedure
applies to all procur nent requests/requisitions nitted by Headquarters
and field organizational e1e nts, for the purchase or initial lease of all
source doc oent micrcfthn equipnent and for the pr uction of microfilm by
contracts with service bureaus. It excludes supplies needed to operate art
ongoing system, such as fi]m stcok, printing paper, cf njcals, and the
like. -
b. AU requests for purchase or lease of the equipi nt or tract
for service ist be acc r ained by a justification. - -
c. If the procu nt request/requisition is to support a new souroe
doct nt rnicr raphic system (defined as a project in which a service
contract or equi cnt is requested to film a group of previously uzifilmed
records), it naist be ained by a feasibility study sh ing the
6—6
-------
- ISO
:: /
nfc c cr. c-a: ..- ADe’-i::x 5— (see r ::a:n 13 5 ). 2 ies c
any ctr er eas:::L::: s ::es nave een cueo by a corisubant
contractor :n : e c .irse of t e orc3ect ;lanrurc sr .iid e f:wa ec to tne
encv Recor s ‘ anac nt Officer along tne ;rocur Tent reiest/reqW.Sit:Cfl
and cif:ca:icn st at nt.
d. The pr ur r uest,’ uisiticn rrn.izt also .ric1ude a ‘standaro
quality control clause” stating tnat the sc.ancarcz specified in FPP 101—
11.5 will be clied with wnen contracting witn a service bureau tO
microfi1 A recoros. The folJ. ’ing standaz cuality control clause is to
be ncluded in all re ests for acr raphic services or syst .
fl rnicrofi1n:ng acolicaticn of A records must i et the
requirer ncs specified in Federal P erty Mana e nt
gulat on 1O1—ll.5 , Micr rachic.s , n tes of (1) Film
stcck used, (2 indexes or registers, (3) resolution,
(4) density, )5) icrofo s and formats. ar (6) crofllm
duolicat:nc. The service bureau rri.ist eeD a lng of the
resolution and density tests. Spot cnec s will be uaoe by
the local Records ?iarug rent Off i r during the microfilm-
ing a lication.
6—7
-------
ZRS ‘ 1 . N?LFY T
AVT 6 - i A2HIC - RCE XCJM SYS MS
Sancar nc fcr the Maintenance cf crofor ? eccrds
Micrcfo ts stereo :n roil form iru.ist be .ino oct cores of reels made cf
ncnccrr ing mater ais sucn a nonferrous metals or inert plastics. Other
metals may be usea Provided that they are coated with a corrosicn—resistant.
fiiusn. plastics ano coated metals that may exude f’ rres during storage riust
not be used. tbber cands must not be used f or confining film on reels or
cores. If paoer anos are usee, the paper must meet the specificaticcts of
ANSI PH.l.53 — 1978.
2. Storage containers for microfo must be r de ‘of inert materials.
sucn a.s metal or plastic. Containers made of paper products snould be
avoided unless the conditions prescribed in N SI Standard P ..53 — 1978
are met. The containers must be ciceed to protect the microform.s fra u
envirormental ür ur:ties and iror er hiidities.
3. Storage £- ris or vaults for archival microfo must be fire—resistant
anc not be used for other puro es such as swr e of other rnater:als,
office space, or working areas. The National Fire Protection . ss iation
(NFPA) publication NFPA 232, Protection of I cords. 1970, provides further
guidance. Protection fran d. n ge by water will be accai lished by storing
pe anent record microf ores above reasonably anticipated fl d stages.
4. wironmental conditions required.
a. It relative htrnidity of the storage r or vault trust range 20
to 40 percent with an optir t of 30 percent. Rapid and wide-range hi.inidity
changes must be avoided and not exceed a 5 percent change in a 24—hair
period.
b. T erature must not exceed 70 F. R id and wide—range t tperature
changes must be avoided and not exceed a 5 percent change in a 24—hair period.
A storage te!I erature of 35 F or below must be used for color film.
c. Solid particles, which may abrade film or react with the images,
must be r nved by mechanical filters fran air supplied to housing or
roans used for archival storage. The mechanical filters are preferably
of dry media type having an arrestarice or cleanir efficiency of not less
than 85 percent as dete nined by the stain test described in AS AE
Standard 52—68(11).
d. Gaseous irrurities such as peroxides, oxidizing agents, sulphur
dioxide, hydrogen sulfide, and others which cause deterioration of
microfoans must be ren oved fran the air by suitable washers or absorbers.
Archival microfo must not be stored in the same roan with nonsilver
gelatin films. They also must not be stored in another roan using the
s ventilation system because gases given f by the other films may
damage or destroy the images on the silver archival films.
Figure 6—1. Standards and Guidelines for the Maintenance of Microform Records
-------
5 - - ccu rr s s t s
f r’ e’ t : cc s : anr ec f:r tne curpcse c: :s c ai of
: C$S3ãO $t : 2osu t9 .cn ccn—
- o : eec .‘ c:c: r :er s are cer t_- ete: a ciear
a a. ? r Of f::es or $er’Ilces tnat :cnouct tests for ? :en Off toes
us: meet : s t t nt er:rr :ng - metnvlene olue test cif tea
:n ANSI PH4.S — .971.
2. :f tne orocess:n; ts to e cf the reversal type. :t imist e full
pnct rapnic reve rea. , • e., eve ioo, :leacn • ex e. deve Ic. f :x anc
waan.
3. The rceth for determir.tng minixmm resolution on microfcr of source
coc .zrent .s must conform to the Quality Index Method of dete ining resolution
and antictpated losses when du 1icating as described in the National Micro—
;:a:nics association (NMA Rec mnoed Practice MS1O4.
a. or periz anent recoros, a Quality noex of five :s recuired at the
enerati:n level.
o. For nonoermanent recoros, a QuaL i. tv I r ex of f i.ve is recutrea at
the evei of the specific rwi er of generations used in the system.
c. Resolut:cn tests will be perfor7ted using the lOlOa Micr y
Resolution TeSt Chart ano the patterns will be read foll ing the iristruc-
ticns provided with the chart.
d. The character used to determine the height used in the Quality
Index fo ila will be the nallest character used to di lay record
infc nation.
4. The background phot raph1c densities on rnicroforms irust be appr riate
to the type of doct . nents being filmed. Recaiinended background densities
are as fol1 ws:
3ac grcUflQ
Classification
scription of c irients
ns1tv
Group
1
Migh-quality printed books. peri icals.
1.30—1.50
Group
2
and dense typing
Fine—line originals, letters typed with
a worn rib n. pencil writing with a
soft , and doct nts with nafl
1.15—1.40
Group
3..
printing.
pencil drawings, faded printing, graph
paper with pale, fine colored lines,
and very ll printing such as
footnotes.
1.00—1.20
GrouD
4
Very week pencil manuscripts and draw-
ings, and poorly printed, faint
doc r nts.
0.90—1.10
Group
5
Ca uter output microfilm (COM)
1.50—2.00
me rocecure for density reasurerflent s described in WMP RecaTmended
?rac::ce MS 104 — 1972.
ri i e A_2. Standards for Film Tests
-------
APP L’ A - F ASI3ILITY STUDY F R NEW £C JFCE U? T MI PHIC SYST -•
C T— EFIT ANALYSIS
1• ( AL DAI? .
As required Lfl su aragra n 14c of Chapter 6, if equi nt or service
:s recuisitioned to su ort a ‘new source d r nt inicrograthi.c svscem
(defined as a project in which a service contract or equi nt is requested
to film a group of previously unfi d records), the Pr .ar nt Request!
Requisition, A Fomn 1900-8 imist be a x - anied by a feasibility study to
serve as supporting docu ntation. The foll irç infoation must be
included:
a. Project Justification . Write a brief narrative stat ent indicating
the our: e of micrfilrnirig, i. • e •, archival, for security, for syst t
torcveffenz • to decentralize LnforT iation soirce, etc. Sl. ar1ze advantages
f wuaturizat cn over other trethcds of info uatioci storage and retrieval.
b. of Records Series . E4st the n of each file or group of
records that you wish to m .crofilm. Include the inclusive dates of each
file and a brief description of the record content.
c. Use or Value of Records . H ’i are the records used and what value
o they have; i.e., adsiiustrative value, legal value, fiscal value,
historical value? If a ninistrative value, what ni n rative p. rpose do
the records serve? If historical, what research value do the records. have?
If legal, what legal pr eedir s might the records be used in? what J.s
their evidentiary value and what i asures will be taken to insure that the
fi1 d records will be a nissible as evidence? Will the fi2 d records be
subject to audit?
d. n or Closed Files . Is future interfiling necessary? will
updates or annotations ever have to be made to the filned record?
e. Disposition of Origirial ccrds . List the records control schedule
and item ni Der of each file or gro. of records you wish to film.. If
records are unscheduled, what disposition is proposed for the original
records after fiiming?
f. rar nt of Records • H is- each file- arrar ged? Nu rical,
alphabetical, chronological, or a bination of arrange nts? Ia. re-
arrange ent necessary prior to inicrofi]ming?
g. Physical Characteristics of Records . List size and col6rof papers.
Are any oversized docurients in the file? Carton copies? Is info iiatiofl on
one or two sides of the paper? Are there rn. rous fasteners such as staples
arid oaoer clips? Are the records in bound vo1 mes?
-------
:1 o
- ‘l /94
)olL2ne c± .St Lu T (:n cubic feet) of eac f e you
isr. f:rn . .‘ 1-ia: :enr.ace . . cz:ve. inactive, backing? What rcentage
us: :e ;;e f: f:iminc ia: the race o file g itn eac tcntn?
.. tmace Prcouct ion anc D . D.LiCaticn . What type of c ra film do y
plan to use ano wnar. .s i.r .s crucx.ness ano width? What kind of duoU .c ting
film? What reduction ratio? What image orientation and film format?
j. Film Distr:outicn cuir nents . many copies of the film will
be made? Will r.ne film copies e distri ted to otber offices or to the
ibli.c? i so, describe the distribution requir nts.
k. Quality Control Prccedures . What rreasures will be taken to insure
that the file prcouceo s of acceptable quality? D s the film need to
conform to standaros of aronival quality? List ;r freading and testing
rccecures and standarc.s to be used.
1. etrieval Svst n . Descr:oe the retrieval syst t’ at will be
necessary to maKe references to the information on fi]a. E will tne
in fo r.ion be arranged and indexed on the film to all .i retrieval? What
type of external i.ndex m. st be created? WiLl. P equipwtt be used?
m. ference Acti.vitv . What is the rn. er of tii s per day each file
must be referencec? What is the purpose and na .aze of these film references?
Will this reference activity be evenly distri .ited over a given peri of
t i or will it occur in spurts ? E iwich tix is needed to fill each
reference? Will extracted data fran a fi1s d record satisfy reference
demands or is the entire record needed? Are hard copy prints fran the film
needed? If so, by wttan? What percentage of the film references will
require prints? Is retrieval or viewing equi nt to be located in te
stations?
n. Filinc cui ent and S ace cu ied . List r, .rrber of type of filing
cabinets that will be clearec anc mace available for re—use by the filming
project. H nr. ch flocr space (in square feet) do they occupy?
a. Cost of Pro ect . Estimated cast of project, including equi ent
and filming supplies. List and describe each piece of equip ent, in
paragraph 2, cast-osrief it analysis. Include make and i odel numbers.
Include estimate of costs savings in pers nel, work facilitation, etc.
Assistance or advice in ans ring these questior may be obtained fran the
aecords Manager nt staff, Information Managenent and Services Division.
6—k- 2
-------
- 34
- r _ Mr -— AY - :
? ircse . T e ; e c t e ccst—oenef:: analysis s to:
(1) Systernat:a .y examine t. e alteL-nac ;es for accat l shing an
eo: ;e; and
(2) ank the a.terrtatives acccrding to their benefit to cost
re .Lat1.onship.
5. Ei nts of a Cost—oenef it ?nalvsis . A cost—benefit analysis should
contain the foll ing:
(1) Objectives cf the syst n being considered;
(2) A staterre’ .t of the assunpt:ons and constraints used in the
fl i 515:
(3) Identifiat on of alternatives;
(4) A cost estinate for each feasible alternative;
(5) A lease/pu hase analysis
(6) A listing of benefits (outputs) for each feasible alternative;
(7) The savings/investn nt ratio of alternatives considered, in
order of their respective econaiu.c perforn ance.
TS OF A ST-B EFIT P 1 NALYSIS
OB 3ECVES
A clear state nt of the objective of a systen is essential to the
analysis. 1f there s more than one ob)ective, the priorities must also be
stated. A major object:ve r .ist be:
C] ,) Measurable or quantifiable,
(2) Realistic and achievable, arid
(3) Output or-results oriented.
6—A—3
-------
a’i
u rcts .AtcD c s i
ss .rt or.s are always de :‘ cie cost—oenef:t analysis. ? .ss n tions
rovice a means for treating urucno.in cr difficult to duant fv e .ements and
are usec : - oerf:r tirig calculations and reporting study results. JJ.
ass t::rts in tne analysis sna.iid e stated as ass t ons ana the reasons
for usinc tnat asscion should be çiven. Con straints tnat affect the
sce of the analysis- mist be ident f:ed, and the reasons given.
D rIFIC ICN OF AL1 ATIVES
Alternatives may include new Drocedures i me -of new equi nent. and new
ways Cf octauung equi ent or services. Continuing the present c irse of
acticn :s alitost always one of the alternatives. Tt e alternatives that
meet the cojective and do not violate any of the constraints are cons iderec
feasi le.
= ES 4 ATE
The cost—oenef it analysis should contain an timate of all the
ant c: ated costs directly or indirectly associated with each alternative.
All resources required to acnieve the stated objectives should be presented
in dollar terms if po si .ble. The cost of eacn alternative s ild be ex tined
in detail and described in the folla irç cost cat ories to avoid overlapping
figures:
(1) Nonrecurring costs. ts occur on during the life cycle
of the system. Nonrecurring costs are usually associated with equipnent
that is purchased for a system, .it these ts can also cover the cost of
a feasibility study, or the cost of renovating a facility to acti cxiate
the new system.
(2) curring costs. These are costs that occur at sane regular
period of t ine throughout the life of the system. It might be a ri nthly
lease cost, a yearly equip nt maintenance charge, or the bi ekly pay for
personnel. The key is that it occurs on a regular cycle.
Recurring and nonrecurring costs in a mic c hic system usually fall
into one of five separate sub—categories. These are:
(1) Equip rent. Equiptent costs form a large part of the expenditure
f or any mic ographiC system. Equipnent may be leased or p.zrchased and rr t
systen will have a canbination of txth. Large pieces of equipnent are
often leased while readers and other naller piec of equiptent are
purcnased.
6—A—4
-------
N E EN
-
—ca:ecc-. : cl des a mult tude of larce and
::en :• .i: .re easil overlocKec :n an analysis. A reaoer—prir.ter
-eecs a regular suoo.w of oaoer, anc readers use lamos that burn out per:-
icaLy and have to e replaced. “ cst of these suppplies will e recurr:ng
::sts in a system because tney have o be purchased in mall lots on a
recular scnecule. . J .J. of the film cannot be purchased during the first
iear and qualify as a nonrecurring cost because the film has a rtcre limited
rielf-life tnan the l:fe of the normal micrcgraphic system. These nailer
:tems snould not be overlccked in your effort to design the overall system.
(3) Personnel. The people that ouerate your system are definitely a
ecur::ng cost. This cost includes not only salaries, it e l ’ee benefits
nc training.
(4) Facility. The facility that houses the system adds a recurring
:cst to the system. Fac litv costs include not only the space for equi nt,
uooi:es, anc cersonnel. but also includes the costs for tele noc s,
overneac, and other suoport services.
(5) Other costs. There are many miscellaneous ts that will be
associated with the devel ent of a micr raphic system. Nonrecurring
miscellaneous costs might include the cost of a sultant to assist in the
system design, the one—t1.r cost for training system rators, managers,
and users, or the developt nt and printing of directives and operating
manuals for the system. Other recurring costs that may be ena antered in
the system are the r cnth1y or yearly maintenance contracts on equip nt
and, of course, the cost of service bureau contracts if tbe wor1 is to be
perfo d outside the Agency.
LASE/ JRQ ASE NALYSIS
There are several things to remarr er as you conduct a lease/purchase
analysis, one being the sub)ect o egui nt maintenance. In rt t cases,
equi rent maintenance is included in the lease, and price, t not in the
purchase price. Accord ingly maintenance costs must be considered in the
pircnase of equ ip tent. Another consideration is. rental credits. Sate
manufacturers will all i you to apply a percent ge of the rental price
t iard the purchase of equi ient. This percentage usually decreases as the
length of rental increases.
6-A-S
-------
E RDS
— / 13/84
S ;JR’-L : A A 3:3 R.MAT
per i of tir e .zi rent will be used
JRC ASE ?RICZ $ a
M T I E (S ) x y / c s s b
ppj S (1) a+b
..EASE PRIG (S ) X YI / S S c
MAINT ? 1 NCE (S ) X / S S d
(i a iicaole;
$ (2) c d
S X YPS/!’ S S e
RENTAL CREDIT _____ $ f
RE TAr IT $ g (exfl
1 ASE PRI $ a
PPLICPIELE R AL IT $_____________________________
JRQ ASZ ?RI BAt.. NcE $ h (a—g)
MI? AN Z CX ) X Y / OS S i
BALJ NCE OF R rAL. PAID $ j (e—g)
IOTAL p i S (3) (rt+i+j)
Below s art exairtple of a 1ease/purc tase analysis.
6—A—5
-------
—
- :3/34
iE cr e’ t .L1 e usec — 3 ‘T!.
?R AS PJCZ S 28,515
MP INT ANC $1C27/ ) X 10 YPS S 18.70
J.. c- ?P IC 5 46.735 (1)
EASE ppj (S1190/ ) ( 120 cs S142,800
UAINT ANC? (S ) X RS/ S S______
‘ ‘ L SE PRI S142.300 (2)
S:: 0/ D x 3 ()S s 3, 7o
— • ———— —— — —
— — —
ApPr.. CAB.E ? TAL CP IT S 2,677.50
PU AS $ 28,515
APPLICABLE R T AL IT $ 2,677.50
PU ASE PRI EL? N $ 25,837.50
MAINT 1AN E (S1827/YR) X 9.75 YRS $ 17,813.25
AL? OF RENTAL PAID $ 1,072.50
TCTAL ..EASE/? RC- A5E PRICE S 44,723.25 (3)
L.EASE PRICE (Si190/t O) X 36 f ’CS $ 42,840
RZ AL. c - . ::: S .50
APPLICABLE RENTAL EDIT $ 21,420
P JR ASE PRICE $ 28,515
APPLICABLE R TP .L IT $ 21,420
PURC- ?SE PRICE 3AU NCE $ 7,095
MAIN ANCE ($1827/YR) X 7 YRS S 12,789
3ALA 4C! ? AL 9AID S 21,420
TOTAL S.’PJ ASE PRICE S 41,304
6-A-7
-------
2163
‘13/84
• —
:
Tt e anaiys s nouid denti fy the oenei its of eac. alternative. 3 ef its
snoij.d be exoressec tents Cf a quantified itft oer ninacor, ich as
oollars, the ri noer cf files c:ansferrea, the rz. er of pag fi].ned, the
rn mi r of personnel spaces released. and the ri r r of file cabinets
excessec.
Ix orr.ant n quantifiable benefits. s.ad health, safety, or iz roved
rking c diti is, should be specifi Lly lt±Z th the Mniy is, If
the info tiori is pertinent to a decisicr . A list of antitative benefits
also ridica:es wr at will not be ac r liShed if the syst is di3a rcued.
R XIO
The savir s/iwes nt rat c can be used to te rane the st
effective alternat.ve wnen benefits and c t .s are unequal. rstic s
taineo by divithr the total dollar benefits by the totsi. dollar t.s.
A r er larger than one indicates a t effective syst .
Objectively evaluate all of the alternatives and te na at
nicrcgrap1uc a licati or equ.t nt is best suited to the rw ds of your
pL1 qr w . Re tn nd in the prcp al the rnic raphic appliceti or equi ient
you want approved.
6—A--8
-------
7 - FILES
MAINTENANCE
-------
.RECflS A\CC
- - rrtrc
Table of Cr tents
?uttcse
File S z:ons . .
File Cust ian
riles Main:enance Plan .
FL1e Labels, Guide Cards, Su 1ies .
cirentat cn of Filing
Avoid Unnecessari Ftl ng .
P :ant on anc C1assif cation of File Matertal
Maintenance of Files
Ava:lani:tv of Reference Material
Files Raintenance Plan
F le Labels, Guide Cards, and Supplies
Chargecut Record
Files Classification Systan for
A nin1strat1Ve Records
?AR?G?APH
rrrr rc
?AR RAPH
&MBERS
1
2
3
4
C
8
9
10
r:gure
Ftgure 7—2.
F igure 7—3.
Figure 7—4.
-------
-
? JRPCSE . T”: :-.ao:er :res:r:D S :rtceoures for : e eff.:ent r ai :enance
:: je’ c; ::2 .
2. FILES TA::: E . -: : _.:—: r : s t-at ofE c al file
::i s 5 ::: s o . ._: ze s: Lsnec for t e f .l ng of official
raccrcs. . file station :s ever seoarate location at nich records of any
:nc are acc rr uiatec in an organlzea manner.
:. i s CtJSIDDL N . ; files custocian s an Lndividuai who has en
ass r.ec responsi lit; or t e ccerat.ion of tne E:les station.
-. FILEE ‘ AIN T ANCE ?L . Files intenance Plan, Figure 7—1, ts
:ec r nenceo for ai. f sza::cis. cop’, of tne F:les 1aintenance Plan
:reDarec snoulc e su n ::eo to t e local P.ecorcs “anag rent Off:cer.
FILE LABELE.. GUIDE CAPJ • ND SUPPLIES . Figure ‘—2 contair guid..ance
on the tvoe of fi!e iaoeis, cuioe carus, arid other fihirv supplies to be
usec :-i tne maintenance of A records. In addit:tn.. :t contains guidance
on the reparat on of folners anc zui e cards.
6. DXUMENTATIC OF FILES .
• a. The integrt:v of tne Agericy’s official files tust be ir ured at all
times, so that all official records relating to the c erations of the Agency
are docuierited in the official files. It is r st uT ortant to have all
riforrnation relat:rio to a subject in one location. It is diffi jlt to
researcn wrien the :nformation is iricanplete or fragnented in different
locations. The f lic’ ing zec in:gues can be used to help assure c vlete
docur ntat ion.
(1) iç.lovees snoud for’ ard a proved offictal records to the
files custodian for :ncoroorat on lrito the offic ai files.
(2) Recorcs ceinc removed frau the official files sri .ild be
controlled and c araed out to t e individual removing the records f the
files. Any tune records are removed frau the files a Char eout Record,
Optional Form 23, Figure 7—2, will be filled Out and put in the files in
the place of the records being removed.
(3) 1ovees should rrmediately return infonuatiai or rec t-ds to
the offictal files ineri it s no longer needed.
-------
RZcDF S AGE’E ec
‘1: ‘
f:ies z1e - c .isec for researc . zroieczs snoujo rranc9c
:0 ciear...’ ent:±.’ reccrc coce :. t:cn fror orK rlc su or-_in: : I! 3r’o-
.; file naincenance :J.an shculd be maintained at eacn file station to ioer tifv
the cff::: j files. ;lso, tne cr .rn office sriouid identify anc descri.
the tvoe cf r.fcrmat on that ex:sts n tne cffic al files to fac itate
res ar:r rcjects.
-. A Ci UNNECESSARY !ILING . In an efficient files operation, all
unnecessary paoet-s are eliininatec oefore they are filed. Fo1l ing are
s e ways of avoiding unnecessary filing.
a. Limit the creat on of forniaj. c unicaticns for r tine matters
where a rtE1 o or routing slip may be su tituted, or wnere a reply may
made on the inc tung cQTnunicat cn, and cnen re:urne .
rn:t tne n zn r of ccoies oreoared to toose whicn are soec fi-
c.,ai recuired or recuestec, or iose wnicn serve a valid yjroose.
c. lirtinate file copies of r .itir e cQ ntunLcations wnich require no
recor:, sucn as:
(1) out ine requests for publications. ( eturn the recuestirig
letter iith the material sent. An alternative is to reply by form letter.
In neither case is a file copy needed.)
( ) it oing form letters. A notation on the incaming letter
shoeing the form letter identification nt ber will suffice.)
(3) Routine transmittals.
(4 Cooies of letters fi ished solely for inforation, unless it
:s known tnat tney ‘dill be suosequently referred to.
d. Limit “extra copy” files to those offices having Justification for
theii maintenance.
e. Determine in advance the categories of paper that should be destroyed
and those that must be filed. As material arrives, file only that paoer
that has en authorized for filing.
f. Limit the quantity of tecnnical reference doct.m ents received, and
file only those which will be of significant reference value.
7—2
-------
ECCR2 XE T
5. ? P.EPA?ATION .AND C SSIFICATICN OF FILE MA RL .L . The real test of any
file system is nct no quickly material can be i1ea — anyone can place
:aoers an foicers an filing caoinet.s — but • cuicklv it can be pr uced
‘ nen it as neecec . Therefore, care snould be exercisec in processing,
ciassafv:r.c, anc f:ling tne materaal. Figure 7—4 contains a files
classaf:cation system for aärianistrative records. This syst n snould be
ised for the filing of all aãninastrative records.
a. ? reoarar File Ccoies . The foll ing preliminary steps snould be
taken an preparing ooc .m nts for filing:
(1) R t ve rubber bands, paper clips, pins, and other t tçorary
fasteners.
(2) Determine that the f ale 15 ca lete and that all enclosures
are accointec for.
(3) See that parts of another file are not accidentally attached.
(4) Mend or reinforce with transparent mending cape all corn or
frayec papers.
(5) Destroy identical duplicate copies.
(6) R ve all envelopes, copies of mail control for!ns, and routing
slips, unless these contain r narks of record value.
b. Ass nbling File Material . Assemble each unit of file material by
stapling the file copy on top of the incaning ccninunicaticn. If enclosures
are tco bulky to attach to correspondence records, sh in the original
anc ninc c Inun1cataon where the enclosure is filed. Make sure that each
unit of material is lete and then assembled in thronologacal order with
the latest date on top.
c. Bringing Forward lated Paoers . In preparing doctr nts for filing
in the suoject file, care should be taken to bring together under the s e
subject those pertaining to the s transaction. If there has been previous
doc ents on this transaction, the earlier papers should be taken frcn the
file and consolidated with the latter.
d. Classifying Pacers for Filing . Classification is the process of
determining the correct file into which a record should be placed, and
indicatang the file on the face of the record. This is a rcst jn ortant
process, for the ability to locate papers p tiu tly after they have teen
f:led depends largely on the care and skill used to determine where to f ale
them. consistent in classifying material for filing. Obeerve ..‘ e
following procedures:
7—3
-------
F .E RDS 2160
7/13/84
(1) .naivze . eac anc analyze tne corresDcndence or other material
to dete nine n .ir ic. main file group it belongs: a inistrative suoject
file, pr ran suoject file, pr razn case file. First choice for classification
of odc .g nts is by case. For exarr le, a paoer dealir with an aspect of
water pollut cn may also relate to a specific enforcement action. In such
a situation, file it in the enforcement case file rather than in the subject
file. Of course, t may be cross referenced if necessary.
(a) Classification of &ibiect Files . Dete nine the r st out-
standing or pr ninent suoject; that is, the ai ject by which the papers
will xtcst likely be requested. Annotate the docu nt a ordix ly on the
upper right hand corner. Sanetimes a document can be j t as ll filed in
t re than one prl.mary suoject. Do not deteDn.ine the c1 5ificat1on on the
basis of the subject line alone. Read the content of the material. en
the suoject is not clear, ask the originator or saneone i re f iliar with
the material for assistance.
(b) Classification of Case Material . Use the identifying
n ne or n znber for classifying anc coding case filed doc r nt. Sanet2.mes
both the n ne and the nwiber used to identify the case are p.it on the file
label. In r st instances, this identification is sanewhere on the paper
and need only be underlined or circled. If not, write the appr riate
file coce on the upper right hand corner.
(2) Preoar ng Cross 1 ferences . If a doctment being classified
involves r re than one suDject or case and there is a gcod chance it might
be asked for in nore than one way, a cross reference should be prepared as
a finding aid.
(a) Select and indicate the file designation for the additional
subject or case directly bela the file designation for the main subject or
case. Mark an “X” by this file designation to sho.’i that a cross reference
is required.
(b) Generally it is riore efficient to use a quick copy rather
than a cross reference form.
(C) Cross reference may be used to indicate that a record has
been moved fran one place in the file to another.
Cd) If a doct nent is toc voltininous to reproduce in full and
should be filed under rt ore than one code, reproduce only the cover page.
9. MAINI ANCE OF FILES . Additional standards that will help to maintain
the office files in a neat and orderly manner are as fol1 s:
7—4
-------
?.E ?DS
—
E. asze ers .
1) cc se fil:na of paoers :- suciect f:le folders is rec nenaed.
?aoers sn .: ot oe fastened to tne folders. Loose f l ng perTnits the
reiroval of cr e or rore ieces of paoer fn tne folder with .it rectovinc
the e’ tire f:i fer fr n t ie f:le. Paoers oeraining to an individual trans-
action snould be stapled t ether in t.ne u per left hand corner before
they are placec lfl tne folder.
(2) Fasteners are normally used on case file folders where the
entire file :s usea as a unit.
5. Avoid Cverloadina File Folders . Wnen a file folder is full (a .it
3/4” thicx), reoare a new one anc :naicate the dates covered on bath the
old and tne new folders. The new folders sh .ild be placed in the file in
front cf t ie old folder.
c. Use of A Form 1340—4 . This form, Files Maintenance Plan (see
Figure 7—1), iil aid f:les operators in referencing, maintaining, and
disposing of f:les n their offices. Instruction.S for using the form are
sh n on the bacK of Figure 7—1.
10. A’lAIL BILrry OF REF CE MATERIAL . Information on files maintenance
and filing instruct ions are contained in the General Services ?ànin istratiort
(GSA) Records Manageir nt and oks listed be 1cy i:
GSA M NDBCC TITLE FEDERAL S1 Nt1 ER
Checklist for ADpralsal Files Operations 7610—935—5871
in your Office
Flie OperatIons 7610—985—6973
File Stations 7610—926—2129
Information Retrieval Systems 7610—181—7577
Microfilm Retrieval Equipnent Guide 761 —18l—7579
Subject Fi1 ng 7610—926—2128
These hand ks are available through normal su ly channels.
-------
=:: :: ‘: : 2:E
_: c— . .::.. e
FILES MAIP4TE 4ANCE PLAN -
—
E ’C .,o. . •.,c Y r..
-f - c ._:_: :_ :a e:
—
E:rEt::e Ass:star t
:s S tt E5 ‘eh ot na r.,tiar . •%Jo:.Cr h..din .
• a 1 * — — ‘
_,J.
AMP A•: 3TP T:.’ A D NAGEMENT p .oo s FILE
AM? I POLiCY AND PRCCDURE
AM? 2 RE?ORS AND STATISTICS
3 FAC:LITIES ;NAGE ENT
AM? 3 - I acers:de Mall
AM? 2-2 Ann Ar or Fac l :v
AMP 2-2 esc Cca t Lab.
4 F OFERT’ MANAGEMENT
AM? —-. 3ff:ce Ec . ment - Ser::ce & Maintenance
? —-3 :;c:c ?:zcessing Ecui.c enC
AM? S ?R NG SERVICES
AM? 5-1 Printing Reqi.i sat Ons
AMP RECDRDS MANAG! ENT
AM? - I F.les Ma:n:enanCe Plan
AM? - Reccr .s Ret:retnent
PROGRAM RECORDS
LEL LEGISLATION
LEL 1 L G SLAT ION
LEL. 1-1 ghc Dt:7 Diesel Emission Standards
LEL 1-2 National Energy Policy Conservation Act
LEL 1-3 Auto ob 1e Fuel Economy Stancards
LEL 1-4 Gas Guzzler Leg slation
LEL 2 L OPINIONS
o r::: OF MOIL SOURCE AIR ?OLLIIION CONTROL PROGP Y. RECORDS
?CL ’f . D ?ROCEDURE FILE
MS? 3 REPORTS AND STATISTICS FILE
MSP 2-1 internal t eekly, Mont ily, or Quarterly Act v :; Recc::s
NS? 2-2 Program Reports to Congress
MSP 2-3 Negat .ve ?rogress Reports
MSP 2-4 Fornial Reports on Fuel Economy Tests
MSP 2-5 Sign ficant Regulatory Actions Plan
MSP 3 ISSUE PAPERS
MSP CONTP CTS
5 VOEILE SOURCE AIR POLLUTION CONTROL REFERENCE LITE? TUP.E
REGULATORY P FOPY.
MS? 7 RULMAKING RECORDS
‘ ecrifica::on
S? 7-2 L a- .: D t: .:c - E .s5:ori S:a-ca:is
Fi ure 7-1
EPA Fou.. 34O.’ (Rs H.78 P EV1RJS C l lO’ IS oesoL.CrC.
-------
c: :
-. NEFA. . E a-. -r - t nc u: s c::zaze eccna y,
e f: :encv, . .nif:rrt ccerat:cns, nc norovec aooearance.
_____________________ ‘car: : es :ie folders. f:...cer
:ar:a s-.: :e t e : - .c- - r.ai
: anne s.
3. FILE EOLDEPS . Lat .er s:ze raft folders (100% sulfate cub).
weicnt, :.47 :cuncs (U oci-it). atural color kraft folders.
3lank, vertical, flat ty e. Scuare cut. 3ott scored for 3/4U
expansion. Legal size folders are authorized as compatible su lies
for legal size cacinets.
4. FOLD LBEL.S . se colong self-adhering (pressure sans it )
abels which recu re -ic water, solvent, or heat to apply. bels for
captions car r sing ree or less typewrltten lines, 3 1/2” cv 1/2”
are available in Dlain wnite and with color identification strips.
3. GUIDE C?R . Use self tab, 1/3 cut pasteooard guide cards, or 1/3
cut steel tabbed heavy pressboard file guides.
6. FILE CHA E-c’JT CARtS . Use Optional Form 23, File Cha ge—c t Card.
This form is designed for repeated use and utilizes both sides of the
card. Supplies of this form may be ootained through normal supply
channels.
7. PPSEPAPATZCN OF FOLDERS AND GUIDE CARDS . Prepare folder and guide
card labels cy typ:ng d .rectly on the label. After typing, separate
labels fran their backing and place the n in the right r cst position on
the folders. This is the only position to be used regar 1ess of
subject level, i . e., pr ary, secondary, tertiary, case, etc. NOtE:
Prepare folders only for those subject titles for which there is a
definite current or anticipated need. If there is little or no need
for the use of s ro naLe topics. do not prepare folders for tnem.
If only an cassional piece of material is classified under a secondari
or tertiar’ suoject. :lace the material in the prima ’ subject folder.
Figure 7—2
File Lebels, Guide Cards, arid Supplies
-------
“ANAGE T
OUT
IDENT!FCAIICN CF REC W C) AR O AT
u O ‘ C AI O •.i CHR
— - :ur 2, Jff .:e :f
? :arr ana e en
I
1
)‘flOs.u t O&M 23
1962 CHARGEOUT RECORD ..°
GSA C twa o 239 • 3023—lOt
no
c3cr ’w
rc
(2 UjC t Hoc u)
CL
I t 9wfl OO 10 TUd
1 O3O
1 v0
O
t.)lrwlc IOIONV lULL IlIWflN)
MOILY I IiN3
FLS re 7 3
-------
‘12/34
Th-SS:F ATCN c I’Sr AflVE sco s
: .e :nowvc ...st of suo iect neao lngs used Lfl ciassifytng aaturu—
stnt:v :eccros or f:lLng. These recoros Lnclude “houseKeeo1rtg ’ or
f c:...:a:::e :C00005 that. Co POt relate d rect1v to the pr rrs or uss:on
of ;our office.
JMARV 33E DING CLASSIFICATIcN CODE
m1rN:srRkTrrE .AND M.AWGEMn4T P CRAMS AMP
2C ET .DMIN:STR TION WA
?:NANC:.L MAN?GEMENT FIM
?E?SY
-------
:160
— , ., 1
E:LSs SIC;::Ot FOR A 1INISTRTI1
AE1’l IN: S TIVE .ND i r ? GRN . S
AMP DLIC AND P CE JRS
2 REPORTS AND STATISTICS
2 FACIL::I s MA E.’ N’T (Use tnis :lass:f cation to file
materials oeraining to space assiqnr rit and facilities
management, rra itenance, anc protection).
P PERT MAN EMENT (Use this classification to file rMr.erial
pertaining to the manag ent • maintenance, md protect ton
of Federally r ed personal pL erty).
AMP 4-1 Office quip ent - Service and Maintenance
AMP 4—2 Word Processinc Ecuipe ent
AMP S PRINTING SERVI S
AMP S-i Printing Recu sitions
AMP 6 INFORMATION M 4T
AMP 6—i Data Systems (Use this classification to file materials
oertaining cc tne develo nt of data svst .
cludin ADP systems, and otner aucaDated
information storage and retrieval syste ).
- 6—2 ctanentat ion Management
AMP 6—2-1 F les r4aintenance Plan
AMP 6—2-2 Recoros Disoosal and Retirement
AMP 7 MAIL D MESSENGER SERVI S
AMP 8 TEL.E uNICATIa S (Use this classification to file materials
pertaining to the use of telephone and ot r office
caT nunLcationS devices).
&JA BUtXET A 1!NISTRATI 4
BUA 1 POLICY AND P CEDURES
BUA 2 REPORTS AND STATISTICS
BUA 3 APP PRtATIONS AND FUNDING
ELlA 4 BUJXET PREPARATION
B1JA 4—i Personnel
BUA 4—2 Succort Services
BUA 4—3 TraveL
ELlA 4—4 Sudoet DevelOp ent
JA 4—5 Workload Analysis
FIM FINANCIAL MAN 4 TI
FIM 1 POLICY AND P E URES
FIM 2 REPORTS AND STATISTiCS
FIM 3 PAY LL
FIM 4 EMPEO EE TRANSPORTATION
FIM 4—1 loyee Travel (Includes material pertatnir to e tployee—
per them, travel arrangements, and related materials.
Establ1S i a case file for each exm lovee wh performs
official travel).
M S PRC)C J EM ’T
FIM 5—1 Purcnase Recuests
F ;ure —4 (Part 2 c i 3)
F:les .ass:fi:at:c Svste f r istr _ ve Records
-------
,‘. 3/84
?ER - ?CLI ? CEURE
STATISTICS
PER 3 TTD CE
?EP. 4 E PLDYEE PERFCRMkNCE ND UTILIZATI
PER 4—i Tra n: g and Career Deve1 Tent
PER 4—2 Per r:r ance Evaluation
PER 4—3 iovee Recognition and Incentives
PER 5 E. PWY I’ (A licants, A o1r1tT rtts, Recrui nt)
PER 6 G JERAL ?ERS 4EL
PER 6—1 Instections, Surveys, and Audits
PER 6—2 personnel Records (Establish an individual case file for
each np1oyee. Include all persa nel records relatir
to the individual).
PER 7 H.EAL AND INSURANCE
PER S WYES RELATICtIS
PER S-i Fir 1ovee ResDonsl.bilitieS and C duct
PER 9 ITICt4 C SSIFICATICtI, JOB DES IPTIa S, ?AY ALJØ N(IS
PER 10 S ARATICtI
PER 11 P Q’IN . CTICtIS AND REX UESTS
PER 12 E UAL E Wy? T OPPORI JNITY (Use this classification for
all r aterial pertauurç to E , Civil Rights, and Minority
i ovt nt).
PER 13 RESUMES OF EMPLOY S AND I’TIAL CANDID IES
PR? P AM PIANNTNG
PR? 1 LICY AND P CE JRES
PRP 2 R ORTS AND STATISTICS
PR? 3 O ANIZATICtI PLANNING
PR? 3—1 .inctional Stat nents
PR? 3—2 Organization Charts
PR? 4 DEL ATICt’ OF ALTfl ORfl’
PR? 5 BR.IEF 3S
PUB PUBLIC A PE .’ESS
PUB 1 PRESS P ELE SES
PUB 1—1 Public Ooinion
PUB 2 NE CLIP? II)GS
PUB 3 SPEEGiES
PUB 4 NESSIZ I1tRS
PUB 5 AUDIO-VISUAL MATERIALS
PUB 6 FRE M OF INED 1ATICtI REX (JESTS
Figure 7—4 (Part 3 of 3)
Files Class ficatiOfl System for Adninistrative Records
-------
8 - ELECTRONIC
RECORDS
-------
RECCR ‘& NA ’E
- :c r r:: c ? !S’; -:: : c- ic :
Thnle ‘ : te”:
PAG A ?ARAGRA P
TITLES TJMEEPS
PurDose
CODe 2
Backqrounc • 3
eSpCfls1D111t:es 4
utde1ines -
. idit or a1 G .iL 3nce
.ssistance .
F Igure 81. 1ectrcnic corckeeD1ng C.iidelines
1
-------
RECORDS 4ANAGE NT 2160 CHG 2
4/9/86
CHAPTER -- DOCU NTATION ND PRESERVATION OF ELECTRONIC F..ECCRDS
1. UR OSE . This Chapter provides guidelines on how to preserve
records created, stored, or transmitted using electronic means
nc1uding personal computers, word processors or other electronic
office equipment.
2. SCOPE . The provisions of this Chapter apply Agency wide.
3. BACKGROUND .
a. Use of electronic equipment makes the documentation and
preservation of records more complex. Large computers, remote
time—sharing services, mini computers, personal computers, word
processors, and other devices can be used to create, maintain and
dispose of records. Some records may never appear on paper.
Electronic mail and the use of personal computers as note pads”
are other examples of further elimination of the traditional paper
documents which have long been the focus of records management.
b. Easily applied rules for the creation, maintenance, and
disposition of documents created, stored, and transmitted in
electronic media do not exist. The use of electronic media can
present documentation problems for the Environmental Protection
Agency since records created electronically can become the basis
for official policy decisions. When this is the case, traditional
records management practices must be modified to avoid problems of
unauthorized disposal of records. These practices must be designed
to ensure that (1) integrity of records is maintained, (2) records
are retrievable, (3) only authorized records disposals occur, and
(4) records having continuing value can be easily transferred to
the National Archives and Records Administration.
c. The intent of this Chapter is to respond to changes in
recordkeeping practices brought about through the use of electronic
office equipment. It identifies the problems associated with
records which are created, stored, or transmitted using electronic
media. It addresses issues and provides solutions to some of the
problems involved in preserving electronic records in an office
situation. As additional solutions are found, they will be issued
in this Chapter.
4. RE SPONSI8ILITIES .
a. Assistant Administrators, Inspector General, General
Counsel, Associate Administrators, Regional Administrators,
L 4 aboratory Directors . and Staff Office Directors . These officials
are responsible for adequately and properly documenting Agency
functions, activities, and operations and for instituting the
internal practices and procedures set forth in this Chapter to
prevent the loss or destruction of official records created or
acquired in electronic form.
8—1
-------
CCRDS “ANAGaMENT :: c
— /9 ‘36
2:r c: -, :f ::e fc : — Rescurcas t:a ‘ ! ‘ .
: C L a trovices - enc’pgiae nolic’ arc •:u:cance :- e - :: atcn rascurces
-a—er’: :=a, -c .r.c c:cca a:- c, : :cc :.: : c c:r
—
2. ecorcs ‘1anac ent Off icers . “e ?certcv Reccr ‘ a’ace ’ ert O 1c9r,
:nfo at . nacement anc Services D visio , ( I 1, as oencywide :esoonsioil:ti
or 1 le 1 :ria electronic recordkeeoing cuidelines. Local ecoros “lanacernent
Officers ( eaccuarters, regions and la. orator1es) have sirn lar resDcnsioiiities
tr eir resoective areas.
C. ‘ 1anaaers . A rnanaoers have resDons1 il1tv Lfl their resnect!ve areas
L lerrentir a practices to preserve electronically created and stored for naticn,
cludinc assuring toat records are orcoerlv laceled arc :nca ed.
E. JIDEL1NES . GLlidellnes on electronic recordkeeoirc are attacned as F:cure
—1 :o t.- is Chaoter. The auidel nes are based on National Aronives and Reccrcs
ninistration u11 tin b. 85—2, datec June 13, 1985, n1cn contains acc t onal
technical nformaticn.
6. ADDITIONAL GJID NCE .
a. Other Chaoters of this Manual crovide ceneral guidance on records
creation, maintenance and disposal. Princicles outlined in this Manual aonlv
to all records, includinq these created electronically.
b. The A Security Manual provides guidance art protecting information.
ASSISTANCE .
a. The ? aencv Records Management Officer, Information !anace!nent and
arv:ces Div sion, OI 1, cart provide assistance on the dociznentation and
‘eservat cn of information maintainec in electroruc media.
5. The ? ninistrative Systems Division, OI1’ , can provide technical
Assistance recardinc the use of electronic media.
9—2
-------
C .S
ec r”r’1c r:e : ” _____
-e -c:s sec se cf el corcnic ‘ec: _c c a ou: , . r
orccessors c co er electronic ecia ts -nore ernoicvees. - rc: c frni
senior -n o f c:als to suc ort staff, c:eat:nc reccrcs SiflC -ese nea a
a a irc c cisions concerning the accessioil::v nc oreser7atlon or ec:ron—
::allv—ereracec :nfor nacion. T famil:ar’ze : ese i divicuals ‘].cn c eir
soonsizi! o:es, t e followina cuidel es nave :een reoarea.
These cuifel nes address a r nce issues concerning the creat cn, —ainte—
-ance, ::socsi::cn, and orese ;ation of elecz:on:cal i— ener oeo nc ’cr scorea
fcr—at.:n.
The .deli es address z ne follcwi .o:
L. ccurate L . belinq and Index r
2. etent .on
3. 3ackuo Systei
4. Jisoosal
5. lectrical Power
6. Diskette Care and Handling
O’I’E:
:n
orcer to
implement
these
cuioeliries,
it is
neccessarv
:
to
distir.auish
between
various types
of
“records”.
For
definitions
see
Figure
1—1,
oar. 24,
of
this
Manual.
1. Accurate Labelina and Indexincj . To retrieve information created and stored
electronically the user is dependent upon “labels”, both external (on the
outside of the diskette) and internal (recorded on the “index” of the diskette!
disk). Accurate and cat plete labels are essential to ensure that ? ency personnel
can identify information on electronic media.
Insufficient external labels on rd processor diskette inhibit the
ability to identify the contents. The external label should include: ?ile olan
coce estaolished for your office, subiect, and inclusive dates.
(N PLE: FMSP 1 — Policy & Proceaures (certifications) l/85— /85 !
(Check with your local Records Manaaen nt Officer for a copy of your office’s
file lart). This informatior. should also be entered on the internal index of
the rd orocessor diskette as nart of the file title with snecific dates for
each dcct.znenc. Cn the nersonal c outer, enter only the file oode nd ‘late.
Acditacnallv, the index should be printed out to ensure acoess.
Figure 8— /oage I
-------
- - fl
-
- ‘9 ‘36
RECORDS AGE’1E
‘lost ‘ sers cr - rocesscrs nrefer :c re - : t as a
rawer , ccntainin a:—:_ar ccc’ e ts :osit on esc::: :ors. ‘er ormne c ons,
9tc.). Others nave c -e -rore :s - ::e —er - er - n- -. c -: c -z nv an
- - enc’: s
used, accurate ann comolete exoerna.. a:eLs are r c -;.
Users f nersonal comouters will treat each dis as a “file Caninet ”,
containi a wide variety of subiects. The internal ‘laIDel” could include:
file plan co.ie and the date the document is createc.
Afr LE: IMON3 OlO5e6
Check with your local Records Manaciernertt Officer for a cccv of the file clan.
2. Retention . The fact that information is createc or stored electronically
has no nearinc ucon wr1et er that information is a zermarent recor:, ternoorarv
record, or reference material. Status is deterrninec cv the same criteria
for all information, recardless of the medium in wnicn t is created or stored.
But, ensuring the retention of information stored electronically is not as
simple as ensurinc the retention of information stored on microform or naer.
0 The decjs on abcuc whether an electronic document is a
record needs to be made much earlier than for oaoer
because of the ease of erasing or changina the document.
° The record status of electronically stored drafts of
policy documents shou.k be continually re-evaluated
as chances are made. Substantive updates to such
electronic documents probably constitute new records
while minor changes crobablv do not.
° with a nersonal c riouter, a “hackup” s needed for record
material. This can be cone by cericdicallv adding new infor-
mation to diskettes (daily, weekly, etc., deoending on
volume).
o All “record” material received by electronic mail should be
converted to pacer and retained until its discosition date.
Many electronic mail messages contain reference material
rather than record material and can be read and deleted.
E’iciure 3—l”oane 2
-------
C ’RE S ‘ANAG E rr
-.e -cr-’a::: ’ ::rec c
-:s< ‘ :s et: , :-a :r —:-:::r s e—e-’: ff cer
te —:- e ri: :.at:c’ :S - 1’ e”,
: : ‘sr — - — -
:. C’ LD ‘StE . : fo ar_::-:r - a s-— -- ::_ s ‘: c:
ter.aa ‘at s ::tai i’ t e . :ercv sr.ould ‘ave :a —. :: -. -
:cre v dur ‘cat:nc the mater al on cacer, : sket:e, aoe, or —forn. : nsuit
-‘..r your loc ! corcs ‘ 4 anacem nt ( fff cer or : e cest c o s/5te for io r ‘ ffice.
Disoosal . As with oaoer recoros, electronic recorcs can o l’i he : soose
accorcinc to tie anorovec EPA ecorcs Control Schenuies four.c :- nDenn x S
:‘.rouan E of this Manual. o ver, there are certain ccrisidera :cns nen
::soosirtc of reccrcs stored electrcnicall’i. The co-noac:ness c e.ectrom.c
—ec:a -nay oresent Droolems. t :.rnes they are storec n non—tracit:cnal
::car:cns (1 ke wor’c sta: ons) since they co not reseno : e soace orool-s s
:t with oaoer recoros. As a result, sane may oeccne less ::l:oent : —
::socsinc of racorcs at the rLme of tnelr aut or zec cestr ct:on. The fa iire
:o disoose of records in a t.melv manner uncerrnines the efficoency of the of f ce
as ll as the records manacement procram.
Electrical ?cwer . Poor cuality electrical oower may cause ecuioment to
malfunction anc affect electronic records. Check with your facilities staff to
see wnat S tens need to be taken to prevent problems of this tvte. Sane proolems
can ce solved with inexpensive devices such as a surge orotector. ore serious
Droolerns may require ditional electrical circuits.
6. Diskette Care and Handlinc . A tremendous alTount of information in EPA is
maintained on flexible diskettes. Below are practical guidelines that will
assist you in protecting this Lnformatlon.
a. A clean working envircr nent s of u nost imoortance. A dirty diskette
surface is a serious case of data losses. Finger oil, smoke, food and drinks,
aorasive materials (such as dust or filings), pencd eraser debris, etc. are
t’mical contaminants.
h. ver make finqer contact with exposed media surface through the
elonoated, oval slot in the envelope where the head-to—disk access contact is
made. Also avoid touching the exposed media surface area near the hub.
c. Have the diskette drive cleaned regularly, particularly at its insertion
slot position. Dirt and dust can be picked uD by the diskette during insertion.
ote : Your maintenance agreement should provide for regular cleaning of the
drive. Check with your a ninistrative officer.
d. Have the read/write heads cleaned on a re ular basis. N ote : Vcur
maintenance agreement should provide for recular cleaninri of the read/write
heads. check with your a ninistrative officer.
Figure 8—1/r,age 3
-------
6O
• i9/26
cc c AG N’T
avs r’urr t e c sket e .:s cect:; er.ve c•re afze s used.
c’’ T ’< or o1d t e ::s er . :‘-c:-
- :c or :zracrinq ir rc T e or : .
n’t rut a rubcer ranc or cacer c!i c•nto the diskette erweicce.
. iwavs write on the label before it is acolied to tne diskette.
owever, the oriqinal label is used, no not write ort it with a ball ir t
en use soft, fiber tipoed cen. (A ball ooint nen can ernooss the diskette.)
. ever erase the label on a diskette. The ressure and the erasure
r ainS a’i cause arnaae.
o not use or store in exteme te ’noerature and humid tv. s an exarnole,
ciosec.. - ot, srac onary venicle m the surtliont may cause can ace.
. cn’t 2lace ob ects (coffee cues, staolers, etc.) on diskettes.
1. ‘ever place a magnet of any kind onto the envelope surface of a
diskette. us includes typical bar maqners found in offices (coat and picture
hanger macnets, flashlight magnets, magnetized scre rivers, etc.)
fl , intajn a schedule for checking, cleaning, or replacing air filters.
Dirt causes media damage.
n. ‘ ake cooies of vital or master diskettes and store in an alternate
location.
o. store diskettes in a vertical r siticn in an aeprooriate storage
container, Dreferably near the carteuter or word processor with which
the diskettes are used.
r. not Diace electronic recordinc media near a telephone where the
celeohone’s magnetic pulses could cause damace to the media.
Figure 8—l,’ ace 4
-------
ADVANCED RECORDS MANAGEMENT TECHNOLOGY
-------
The technical article(s) following this page are reproduced with the
permission of the publisher, Don M. Avedon, IMC Journal.
-------
NTERNAT!ONAL UPDATE
Different Optical Disk Formats
Co-Exist to Provide End-User
Applications flexibility
By Paul M. Artlip
Program Manager. KIMS
Business Imaging Systems Division
Eastman Kodak Company
Rochester. New York
O ptical disk systems are finally here. in the form of
reliable, cost-effective media and the optical disk
drives and robotic “jukeboxes” used to access
optically-stored information. On first glance, the prolifera.
tion of different optical disk sizes and formats may seem
confusing. at best. Researchers have developed not one.
but several optical disk formats. We have CD-ROMs
(Compact Disc read only memory), CD-I (Compact Disc-
Interactive), as well as propnetarv formatting schemes in
32-inch. 5 ’4-inch. 12-inch. and 14-inch sizes. Optical disks
in use today are write-once. read-many-times (WORM —
but prototypes of erasable optical media have already
been demonstrated by companies such as Kodak’s Verba-
tim subsidiary. How can a systems integrator or end user
decide which optical disk option is best?
Since erasable optical disks are still some time in the
future, the contention today is among the three basic
WORM sizes. While different formatting techniques exist.
particularly in the 12-inch size, optical disks of a given
size generally share many characteristics.
It is very likely that all sizes of optical disk will co-exist.
complementing each other rather than competing. Each
optical disk format provides a slightly different mix of
benefits from among the array of features possible with
optical disk technology. These include capacity and cost
per megabyte of storage. cost of the hardware, and the
ability to expand databases. For example. each larger
optical disk format holds significantly more information
than the smaller disks, with corresponding reductions in
per-megabyte media cost. Disk drives which handle opti-
cal disks typically cost more as the disk size increases.
but at the same time provide larger online databases. The
cost. size, and expandability of the optical disk jukeboxes
are also important factors in determining which format is
better suited for a given task.
The most likely scenario will be that erid.users in the
future will choose their optical disk format based on the
needs of their application. After all, even though different
optical disk formats are not directly interchangeable, the
digital information they store is identical in all cases.
Should a user need to upgrade or transier a database to a
different format, such a data exchange can be accom-
plished over a network, directly by hara-wrnng the two
drives together. by telecommunications, or even through
the exchange of intermediate magnetic media.
This interchangeability oi information in digital form is
the basis for the continued existence of different optical
disk media. The most sophisticated information manage-
ment retrieval equipment presently available, or planned
for the future. features open architecture that can easily
handle a varetv of media.
For example. Kodaks KIMS system was designed to
accept. distribute, and manipulate digitized image-
intensive information. The system can handle digitized
images whether the source is optical disk of any size.
images digitized from microfilm, supplied in electronic
form from magnetic media (generated. say, by a
computer-output microfilmen or read directly from hard
copy documents through a scanner.
Whether digitized images or digitized alphanumeric
information, optical disks of all formats can handle these
data with equal facility. It is other features which make
one type preferable to another. The technical differences
and strengths of the various optical disk formats have
been covered extensively in journals like Computer
Technology Review. This article will look more closely at
applications considerations which are involved in optical
disk format selection.
5¼-inch and Smaller Optical Disk Systems
There is a close correlation between the size of the
task at hand and the optimum optical disk capacity for
that task. For example. an optical disk storage system
dedicated to a single user or which is used by one person
at a time needs much less storage than a multi-user sys-
tem. One person will not be able to access a significant
enough portion of a 300 gigabyte data base to justify
keeping that much riformation available for a single per-
son: with such large databases a multi-user configuration
makes more sense. One-person information files are likely
to be much smaller.
At the same time, there is a need to keep the cost of
MARCH.:APRIL 1988
13
-------
such a single-user system oown it makes Little sense to
dedicate a S 150.000 piece ot equipment to a single per-
son. In such cases it might be more cost-effective simply
to hire another person: the combined salaries would still
be less than the cost of the equipment over its useful life.
On the other hand, it makes a great deal of sense to
dedicate even a 550.000 system to a person making a
520.000 salary ii that person can be significantly more
productive.
Optical disk systems based on 5¼-inch disks can make
a great deal of sense for single-user applications. Such
systems will generally use a personal computer such as
the IBM PC/AT and one or two manually loaded optical
disk drives in a single-user. stand-alone configuration. A
desktop scanner and laser printer, along with a high-
resolution monitor are the basic components. Such a
configuration would provide the user with the capability
to scan incoming documents. index and store them to
optical disk, and access the information immediately.
The system could also function as a personal office
copier, since a scanned document could be immediately
printed out as multiple copies at the 8-page-per-minute
rate typical of laser printers Lrilike many copiers how-
ever, the operator could append other document images,
notes. etc. before printing out the copies.
The 5¼-inch optical disk is sized right for one-person
use. This size optical disk will typically store 115 to 400
megabytes of information per side, or 230 to 800 mega-
bytes for a dual sided disk.
This represents much more information than is corn-
rnonly available to users of PCs. Few personal computers
are equipped with more than a pair of 30-megabyte hard
disk drives, so even the most modest optical disk conhig-
uration represents almost four times that online storage.
Optical media can be removed and replaced with another
in a few seconds. So. a user could maintain a library of
disks at the desktop, inserting another 230 to 800 mega-
bytes of information Just by swapping disks.
Text or numeric databases seldom require the type of
capacity provided by 5Vs-incn optical disks: otherwise. the
20- 0 megabytes of magnetic storage most users have
available would seem ridiculously small. However, much
information that must be managed in business consists of
image-intensive data. including signatures. charts, graphs.
photographs, and images ol entire documents. Tradition-
ally, this type of information has been captured for perm-
anent storage on microfilm.
Microfilm will continue to maintain its solid niche for
image-intensive information in the future, of course. for
archival reasons and for large document volumes where
only a fraction of the images will need to be retrieved
later. Microfilm is a very low-cost data storage medium
capable of very high information densities. rapid data
capture. and image permanence measured in decades.
which can be easily accessed through modern computer.
assisted retrieval (CAR microimage terminals.
However, where online access rivaling magnetic stor-
age in speed is desirable. optical disk systems wilt make
strong inroads. Document filing systems using 5¼-inch
optical disks will be popular for applications with lower
volume capture and lookup requirements. on the order of
500 or fewer documents per day and 100 or fewer re-
trievals. Because the disks are small and can be manually
loaded, they are suitable for high-security applications.
Unlike hard disk data. at the end of the day a disk library
can be locked in a desk or vault.
Moreover. uniike other removable media, even the
5¼-inch opncai disk has sufficient capaciw to allow keep-
ng significant image or data files on a single disk. In a
bank signature card verification application, for example.
a single disk can store 40.000 to 150.000 signature-only
cards, or 3.000 to 10.000 signature cards plus photograph.
Other typical applications would include near-instant
access to credit applications and other forms: legal, med-
ical. and accounting data. and the extensive files used to
support insurance and real estate agencies.
The 5¼-inch optical disk drive can be mounted inter-
nally in a PC. along with the special image management
and interfacing boards necessary to handle the drive,
providing a compact. all-tn-one configuration that leaves
room on the desktop (or productive work.
12-Inch Optical Disks
Twelve-inch optical disks lit neatly in another niche or
two An entry-level 12-inch OD system would be a stand-
alone system for several users based on a supermicro
computer with one or two terminals, a desktop scanner
and laser pnnter. and one or two manually loaded optical
disk drives. Such a configuration would typically cost
about three times that of the $50,000 or less required to
set up a 5¼-inch workstation.
Today, typical 12-inch optical disks store 2.6 gigabytes
of information, or three to II times that of 5¼-inch disks.
Correspondingly larger databases, with 50.000 document
images per disk and 1000 to 2500 documents handled per
day, can be accommodated by such a system.
Typical applications for manually loaded 12-inch opti-
cal disk workstations include many departmental infor-
mation management environments, such as personnel.
employee benefit. or medical files.
These entry-level systems will have connectivity.
Gateways can be provided to allow them to access IBM
computers through SNA protocols. although the com-
munication is likely to be one-way. Kodak’s KIMS system
3000 is a stand-alone system of this type with the added
advantage of being migratable to a fully-networked envi-
ronment using optical disk jukeboxes. microfilm, and
other media.
Such a system. exemplified by the KJMS system 5000.
takes a quantum leap in functionality. These large scale
systems add optical disk automated Libraries, or “juke.
boxes.’ a local area network, and multiple workstations
to help cost-justify the additional expense
At a cost starting at around $700,000. such networked
systems currently offer more than 340 gigabytes of
optical-disk stored information accessible in a few
seconds. Such optical disk repositories offer true central-
ized data filing for the largest department or corporation.
Typical applications would include digitizing all incom-
ing correspondence. claims forms. invoices, and other
“action” items as they come in the door for efficient
access arid processing electronically. as well as perma-
nent online availability of personnel. legal. research and
other documents.
14
iMC JOURNAL
-------
14-Inch Optical DIsks
The 14-inch optical disk. as demonstrated by Kodak.
and announced as part of future KIMS system offerings
through an automated disk library in Marcn. holds prom-
se as a cost-effective solution br the very largest data-
Dase applications.
With 68 gigabytes of information per disk. an auto-
mated library holding only a few more disks than are cur-
rently handled by todays 12-inch jukeboxes would offer a
full terabvte of information.
A trillion btes of data—a million magabvtes—seems
like an incomprehensible number However, large corpo-
rations with huge and active data files, such as telephone
companies and utilities, government agencies such as the
IRS. and others all easily could justify such storage for
image-intensive information files When compared to
magnetic media. optical disk offers rast. much more eco-
nomical storage of todays increasing quantities of busi-
ness information
The 14-inch optical disk is worth special mention
ecause of the innovative tecnnology used to provide a
capacity three times greater than the 12-inch disk. Such
disks consist of a 14-inch aluminum substrate coated first
with a smoothing layer of gold. five microns thick. Even
though the disk is polished and diamond turned. the sur-
face is still much too rough for use as optical media.
Peaks on the surface can range from tens to hundreds of
angstroms RMS. which would cause tremendous noise.’
or leading to read errors.
The gold smoothing layer is in turn coated with a
reflector layer a tenth of a micron thick. followed by the
dyei binder layer another tenth micron in thickness. A
thin. 05 micron overcoat layer is placed next. This layer
serves to “dome up” when the laser beam writes a pit on
the surface of the disk. allowing the matenal ablated to
collect around the nm of the pit. rather than raining
back down in clumps large enough to obscure the data.
This :sandwich’ is duplicated on both sides of the disk,
allowing two-sided recording. A unique flexible proprie-
tary polvcarbonate resin cover sheet separated from the
recording surface by a layer of air, protects each side of
the disk.
Many of the applications suitable for 12-inch optical
disk will be prime applications for 14-inch optical disk as
well’ the chief difference is in capacity and data transfer
rate. A large-scale. networked application that works well
with 12-inch disks can be scaled up for the heftier capac-
ity of the 14-inch disk.
For example. large corporations receive a massive
volume of incoming mail. With a networked image man-
agement system based on optical disk. these documents
need never get past the mail room
Large institutions often assign a separate post office
box number for various types of correspondence Further
sorting can be done by the mail room personnel. fol-
lowed by capture of the document images for the irifor-
rnation management system with a scanner Images cap-
tured can be made immediately available for access.
While the reduced paper flow possible with front-end
image capture is impressive, the advantages of such sys-
tems becomes more impressive at the workstation. where
knowledge workers can carr out a host of functions
from a single terminal
In answering a customer inquiry for example. the
worker can review a high-resolution image of the cus-
tomer s letter, examine a loan application or other docu-
ment to ver.fv signatures. and summon any supporting
documents as needed. Frequently. it will be necessary to
check the computer database for information—has the
customer made a payment recently’ Were other transac-
tions for this amount billed previously” Are there similar
vendor account numbers where the transaction might
actually have taken place? The power of the computer
can be used to rapidly search for this information, and
display it on the same screen
This workstation can be used to generate a form letter
reply. or personal note to the customer. If the worker
needs to attach a notation to a document image. systems
like KIMS allow doing that, as well. Any time that docu-
ment image is retneved in the future. the ‘note’ will be
recalled from magnetic storage at the same time. and
displayed
\s we ye seen. there are many solid applications for
optical disk technology in each of the three basic sizes
that are currently available Just as different types of
magnetic media coexist today, it is likely that systems
integrators and users will plan their future optical disk
equipment and media choices around those formats that
best suit the applications at hand. I
(Note: Kodak and KIMS are trademarks.)
COM
Form Slides
• Ultra !ii9fl Quality
• t Lower Pricing
• 24 HR Turnaround on Stanoards & Reorders
• 3 Day Turnaround on Customs
• 4 Marketing Services Representatives
to Serve YOuI -
• 8 ToIl Free Lines for your Convenience
COM Form Slides • Replacement amos • Test Patterns
PHOTOGRAPHIC SCIENCES CORP.
770 8asKet Rd
14580-0338
Webster NY
14580-0338
800-828-6489
733 7th Ave
Suite 110
Kirkland. WA
98033
206-822-9378
Circle #185
MARCH/APRIL 1988
-------
Microfilm or Optical Disk:
The Choice is Between Systems,
Not Media
By Robert D. Barr
Output Systems Market Manager
3M Document Systems Division
St. Paul. Minnesota
T odays information managers are bombarded with
data about microfilm and optical disks. In fact, so
much has been written about the subject that
media selection is beginning to look even more compli-
cated than it really is. My goal here is to help put some of
the questions in perspective, and simplify the process of
evaluating each medium’s advantages in a particular
application.
I believe that media selection is not really the question
at all. The choice is between the kinds of systems that
can be built around the two media, and that means taking
a look at software and hardware as well as media.
Software is, of course. a vital element in any document
management S stem, but it need not concern us in con-
sidering a film based versus an optical disk based system.
Good document management software packages function
independently of the storage medium. managing docu-
ments on paper. film or disk. As a result. the information
manager can choose software suited to the application.
rather than the present or future requirements of the
hardware or storage medium.
As for the other two elements of a document manage-
ment system, there are some differences inherent in the
media. and other hardware factors which follow from the
nature of the media. To begin with the differences in the
media. the most important are:
Density— More images can be stored on a disk than
on a film cartridge. meaning less storage space for files
and less loading and unloading dunng retneval.
Cost—Optical disks are more expensive, so much so
that even with their superior storage density, it costs
more to store an image on a disk than on film. The cost
)f duplicate disks should make multiple copies a rart.
Digital Storage—The images on optical disks are
stored in digital form. This makes it possible to transmit
images as data to a remote location, often making dupli-
cate files unnecessary.
Capture—A document can be scanned and captured
immediately on an optical disk. No processing is neces-
sarv. meaning no delay betore the document is available
for retneval.
Permanence—Property processed silver film is a
proven and accepted archival storage medium. At this
time, optical disks are considered to have a useful life of
up to ten years. In some applications, legal or long term
storage requirements will be a factor in favor of choosing
film.
Hardware differences between film based and optical
disk based systems are a direct result of differences in
the media. For example. images on film must be mechan-
ically transported past the viewing lens. This means sev-
eral mechanical parts not needed with an optical disk
based system. and the possibility of more frequent main-
tenance. Other differences exist, but the primary ones are:
Retrieval Speed—Optical disk based systems are
much faster. This is largely because images are stored
linearly on film but can be accessed randomly on optical
disks. Recent advances in software and film hardware
have narrowed this gap considerably. but have not been
able to match the near on-line retrieval speeds of optical
disk based systems.
Cost—Optical disk hardware is much more expensive
than that for film based systems. This is partially because
optical disk storage is a relatively new technology, and
the gap may narrow slightly as more optical systems
reach the market. It will remain substantial. however.
since the necessary equipment is much more sophisti-
cated for optical disks.
Adding up all the factors. it comes to this: an optical
disk based document management system will normally
cost considerably more, but will likely be more produc-
tive than a film based system due to superior retrieval
speed and other factors. Just how much greater the cost
would be. and whether the greater productivity would
justify the cost difference, depends on the application.
Each information manager must determine the cost
performance ratio of the two types of systems for the
particular application. The most difficult part of this task
is determining what value to place on the various advan-
tages offered by the two technologies.
r
MARCH/APRIL 1988
-------
Turnaround Time
It has aireaav been mentioned that a document can be
placed into the system immediately in an optical disk
based system, a tact whicn has resulted in considerable
interest in certain applications Before deciding on the
‘value of this tact however some things should be kept in
mind:
I In film based sYstems, the indexing can often be
done before the turn is sent for processing. This makes
the index information available immediately, which is fre-
quently all that is required to answer a good percentage
of inquiries
2. The time went waiting for processed film can often
be reduced. either by special arrangement with the serv-
ice bureau who processes and duplicates your film, or by
implementing in-house film processing and duplicating
The new generation of cost effective acid easy to use pro-
cessing and duplicating equipment reduces processing
and duplication turnaround to less than one hour This
option has become more attractive to a growing number
at information managers
3 Only ten to tifteen percent of all documents liled are
wer retrieved. Before purchasing an expensive system on
the basis of turnaround time. it should be determined
how many documents are actually consulted during the
film processing delay time or in total during the docu-
rnent’s retention time.
Multiple Access
As mentioned earlier, optical disk based systems per-
mit an image to be transmitted, printed and viewed at a
remote location, giving multiple users access to a central
file. This can be a big advantage, but its importance may
be limited by the following factors’
I In film based systems, remote stations can have
access to the index information, which may answer a
good percentage of inquiries Inexpensive film duplicates
can also be made for these stations. or users at these
remote locations can also request. through their terminal.
a copy of the document it one is needed. This means a
delay, but often one of acceptable length at a substantial
workstation cost savings
2. If it makes sense to have rapid access to complete
files at remote locations, the creation and distribution of
duplicate Filmed files is relatively inexpensive.
3. As retrieval volume increases in a film based. multi-
station system. the only new equipment required is addi-
tional readeriprrnters The only competition arises when
two people need images on the same film cartridge, a
problem which can be solved by duplicating the files.
With optical disk based systems. contention (competition
(or access to the system i can become a maior problem
and new and expensive equipment (juke boxes. multiple
disk drives. etc must be added to the system
In other words, the cost ol a film based system rises in
a fairly straightforward manner as volume increases In a
disk based system the cost will take sudden jumps at
certain stages in volume growth. when additional invest-
ment is required to maintain the initial advantage in
retrieval speed.
On-Line Retrieval Speeds
Yes. optical disk based systems are capable or near on-
line retrieval speeds. but:
1 Film based systems are also a lot faster than they
used to be. In some applications, the few seconds saved
may be important. making it possible to answer customer
inquiries during the initial phone call, for example. This
also can be accomplished in a microfilm computer
assisted retrieval system. In other cases. the faster re-
u-ieval may be a luxury that costs more than it is worth.
2. If the goal is to reduce labor costs rather than
improve service, there are less expensive ways to make
even bigger improvements. These should be explored
first. For example. new document management software
packages require fewer keystrokes for both indexing and
retrieval. Bar code scanning systems can virtually elimi-
nate keystrokes during indexing on film based systems
and electronic image systems And the ist goes on
It is therefore apparent that both optical and film based
systems have their advantages, and that brings us to the
subject of hybrid systems designed to make the best of
both technologies.
There are three possible techniques for placing records
on both film and optical disk: -
1. Filmed records can be scanned for storage on opti-
cal disks This method will be used for converting some
old files This can be very valuable in the future when
certain microfilm files become cost effective to migrate to
the optical storage media.
2. Documents can be scanned and filmed at the same
time using hybrid equipment. This method has the advan-
tage of not adding a step to the document flow Its pri-
mary purpose is to provide an inexpensive archival back.
up copy to the optical file.
3 Finally, optical records. since they are stored as digi-
tal information, can be output on computer output micro-
film when they are no longer accessed frequently. The
use of this type of system, which is designed (or rapid
access to frequently needed documents and economical
storage of less frequently needed records. should
become quite common once erasable optical disk sys-
tems become available The purging and reuse of expen-
sive optical disk storage space will provide sound eco-
nomic reasons for looking into this hybrid approach.
Conclusion
State-of-the-art technology has a price. It exists in the
first place because it has its rewards. Whether the
rewards are great enough to make the price a good
investment depends on how the technology performs in a
particular application. In other words, the question of film
versus optical disk is a system question. not a media
question, and the answer will be different for every infor-
mation manager and every application U
S
Mc JOURNAL
-------
CAR Versus Paper Files: Hard Facts
About Software Driven Systems
By Joseph E. Casureila
Software Systems Manager
3M Document Systems Division
St Paul. Minnesota
y ou already know that maintaining your paper filing
system is costing your company money—too
mucn money The question is. Can you ustify
upgrading your paper tiling system to an electronics-
based file management system?
The following figures represent a compilation of var-
ous records management studies and compare actual
average costs associated with maintaining a paper filing
system in 1984 with estimated average costs of maintain-
ing that same paper filing system in 1987. Consider
Item
Cost Per/Yr
1984
Cost PeriYr
1987
Spacesq (t
5 8082
5 9300
Supplies i per drawer i
153.36
17600
Cost of cabinet
(depreciation over
l0vearsi
3010
3600
File clerks pay
(handling 12 cabinets
Overhead
88298
22650
101500
26000
Total cost/year
$1.373.76
$158000
These figures show that if you were going to do some-
thing about upgrading your costly paper tiling system in
1984 but didn’t. you will have spent another $206.24—per
four-drawer file cabinet—by the time 1987 rolls around
JUSt to maintain your paper filing system in now outdated
1984 condition
What are your alternatives’ As many as there are
computer-based file management system configurations.
Software-driven, computer-assisted retrieval systems
(CAR) using microfilm, magnetic tape. or even optical
disk as the storage medium instead of paper can save
between 90 and 98 percent of the space previously
required by paper-based filing systems. Since office space
is not likely to decrease in cost. the savings afforded by
reclaiming filing space for other office activities is one
that increases as time goes on.
The cost of supplies to maintain documents kept within
electronics-based systems is also less than that asso-
ciated with maintaining paper-based files. One 100-toot
microfilm cartridge can hold as many as 4000 letter-sized
documents: one optical disk can hold as many as 60.000.
You can eliminate the cost of maintaining standard four-
drawer cabinets with Just one microfilm cartridge or with
a single optical disk.
File clerk productivity also increases with a computer-
based file management system Fifty percent fewer file
clerks are needed to maintain documents with CAR sys-
tem than one needed to marntam the same number oi
documents in paper-based systems. That means your
company can save fifty percent of your current tile clerk
salary expenses.
Granted. the above figures are averages. Each real case
scenario will vary depending upon the current applica-
tion’s configuration and the volume of documents
handled. If you consider that once a document is filed on
electronic media it never has to be refiled. you can
appreciate how significant productivity gains can be
achieved.
But upgrading a paper-based system to a CAR docu-
ment management system LL .1ll provide the following real
benefits in any case.
Firs t. easy access. All the source documents are stored
in one location, whether on microrilm. magnetic media or
optical disks There will be no more lost documents.
Second. increased security Only those people autho-
rized to perform specified functions such as filing, retriev-
ing. copying. stonng and transmitting documents within
the electronic system can do so Access to documenta-
tion is prohibited to any non-authorized person.
Third. increased productivity of knowledge workers
Managers and other specialists will be able to get the
document information they need faster
Fourth. better service. internally, departments that rely
on the information will get it quicker. and externally.
you’ll be able to service your customers needs more
efficiently -
The costs associated with paper filing systems are
increasing. The costs associated with electronics-based
document management systems are not In tact, as elec-
tronic technology advances, storage and manipulation
Costs are decreasing.
If you haven t already examined the benefits of upgrad-
ing your paper-based system to an electronics-based one.
now is the time to do so. You II save money in the long
run. and enjoy the benefits of a more efficient. more effec-
tive document management system. I
14
IMC JOURNAL
-------
ESPECIAL REPORT
The Integration and Use of Write-Once
Optical Information Systems
s digital optical disk systems become more preva-
lent and as new vendors enter the field, more
uestions are being raised by end-users as to what
constitutes a system’ and what features are needed, and
are important. than are being property answered.
There is a direct correlation between the entry of
new vendors into this marketplace and the confu-
sion among end-users as to the use and implemen-
tation of the technology.
The most prevatent questions center around types of
disks. scanning techniques. software capabilities, and
applications. These issues will be discusseci in the con-
text at a total system approach to the use of optical
technology.
ALL OPTICAL DISKS ARE NOT EQUAL
The terms videodisk, compact disk (CD-ROM), and
wnte-once read many times (WORM) digital optical disk
are used to describe types of disks using laser recording
techniques. They each have separate and distinct uses.
The ,ideodisk is used primarily for audio-visual consumer
and training applications. It is not generally considered
for business document systems. The corn pact disk
(CD-ROM) is intended for use in the consumer audio-
visual market and for publishing and distributing widely
used relatively static data bases. CD—ROM is not appro-
priate for office documents or for computer or textual
data when frequent or rapid updating is a requirement.
hence. it is not appropnate for most office document
image or data retrieval systems. The write-once optical
disk. the subject of this article, is used for digital data
and text storage (in the same manner as magnetic disks
or magnetic tape) and electronic Image storage. This
category includes non-codeable documents which have
been digitized. and computer created graphic images.
The use of write-once optical disks for document stor-
age and retrieval is an emerging technology which can
have an incredible effect on the efficiency and productiv-
ity in an automated office. A clear understanding 01 the
strategic implications oi this class of image processing
systems can mean very rapid and tangible benefits in
meeting information access needs.
WRITE-ONCE DISKS OFFER THREE KEY
PRODUCTIVITY ADVANTAGES
Digital document storage and retrieval provides three
major information management advantages:
The document is digital and can be remotely
accessed and transmitted to any user or multiple
user—regardless of location.
2. The speed of access to one or many documents by
multiple parameter searches (i.e. Name. Number.
Date. Document Type. etc.) is dramatically faster
(2-20 seconds) than with paper or microfilm.
3. Paper documents, computer data files and text
can be accessed. linked, sequenced. and dis-
played simultaneously. One step retneval of
paper and computer files is of maior significance in
the total information retneval transaction.
These justifications alone are reasons for implementing
an optical information system, but the overall impact on
strategic corporate-wide information systems can be
enormous in terms of improved competitiveness and
profitability.
Linking paper and computer data—a major office
breakthrough
The productivity gains which can be achieved by pro-
siding the ability to find, link, and display digitized data.
text or paper documents relating to an inquiry or other
business transaction on the same screen can easily
exceed 100 percent. If you doubt this statistic, compare
the time it now takes to assemble all the information for
a given transaction from your computer system, your
word processing file. and your paper files th the 2 to 20
second access time which a digital optical information
system will provide.
This “customer information file” (CIF) concept has
been a dream of corporate management since the incep-
tion ot computers. Write-once optical information sys-
By Mason Gngsbv
President
Acctex Information systems
San Francisco. California
JULY AUGUST 1987
9
-------
tems now maie the DE ” conceot a reality by creating a
hrid e between paper based systems arid computer and
‘.ora orocessin systems
E,thwzt I illustrates the concern ot merging comouter
data. text. and document images using a wnte-once disk
stem. The strategic impact or this system design can be
oramatic for a wide vanetv or aoplications
-th example ot such a strategic system is a parts man-
ual application in which the part schematic is scanned.
indexed. anu stored on the optical disk. The price list.
part descnption. and inventory status are also maintained
on the system When a part is retrieved, the description
the price, arid the inventory status are displayed in win-
dows on the screen along with the schematic. The accu-
racy of the part description. the inventory status and the
pnces are venfied. the customer invoice is printed on the
vstem laser printer and the inventory is updated auto-
mancallv One-step part retrieval, pricing and inventory
control is achieved The remote electronic updatability of
the write-once disk is a key feature oi the overall system
desii n since the parts image oata base is irequentlv
updated The return on investment in terms of productiv-
ity and customer service provides a very short system
pay-back.
THE PROCESS. FUNCTIONS. ANt) APPUCATIONS
Given these productivity benefits in utilizing write-once
vstems it becomes important to unoerstano the capabil-
ities oi the various components or optical systems and
practically apply them to the appiications The tollowing
represent rnaior areas or misuriaerstanuin in the imDle-
-nentactori oi both %r1te -once aria CD-ROM disk systems
The distinction between external paper documents
and internal machine generated documents
The distinction between iriternarlv and externally
created documents is of great importance in the discus-
sion or optical disk applications The presumption or
many managers that their company is mostly ‘on-line’ or
paperless’ is totally false: in fact, between 50 and 60
percent of all documents originate from external
sources and reside in paper file cabinets It is this
large base of externally created documents that is caus-
ing corporate management to consider alternative elec-
tronic solutions to the growing filing problem Optical
information systems are the technological driving force in
the creation of this new class or strategic information sys-
tems aimed at caotunn storinQ and retrievin2 this large
base ot externally generareci paper
Document digitizer scanners capture the entire
document
One of the areas of confusion regarding the capturing
of documents is the difference between document dzgiei:-
DATA AND DOCUMENT iMAGE INTEGRATION
THE PROCESS
10
I\IC JOURNAL
-------
ing and optical character recognition (OCR’
Digitizing a document is the equivalent of a facsimile
device scanning a page and converting the pnnted matter
to picture elements” (pixels) a digital format consistrng
of Us and 0’s hence the term “bit-mapped images)
This digitized” or ‘bit-mapped” image cannot be recog-
nized by the computer as anything other than what it is
hght and dark spots which when reconstructed will accu-
rately represent the original paper document Digitizing
is necessary to capture signatures. logos, diagrams or
handwriting which are rntegral to the document). This is
the process that must be used to capture externally pre-
pared documents
Since the image cannot be identified by the computer.
there must be an indexing process which stores and
locates the document which has been scanned. This
means manual keyboard entry of the criteria by
which the user wishes to eventually search for and
retrieve the document data elements such as account
names, numbers, document types and document dates
information may be ‘downloaded” from an existing
mainh-ame computer database to eliminate some key-
stroking and to verity account numbers. but the process
or providing identifiers for each document must still be
accomplished Wnte-once optical disk systems which
are used for capturing externally generated paper
documents for storage and retrieval must. therefore. uti-
lize dtqitz:ing scanners and keyboard entry of descriptive
fields to properly index individual documents (Note.
Since documents no longer need to be individually sorted
for tiling in folders. the keying process is not an additional
step. it merely replaces a slow and error prone manual
process)
Optical character recognition (OCR) scanners
capture text
As the name implies, optical character recognition is
the scanning and recognition of text characters andior
numbers Present OCR scanning equipment only allows
specinc stylized characters. numbers fonts or bar
codes to be recognized. ignorrng the rest of the document
information. While this scanning process is fine when an
entire group of documents have been pnnted utilizing the
same or similar stylized fonts. documents which are
received from a uarietv of random external sources can-
not possibly be expected to be printed in the character
fonts which are necessary for scanning. Even it a variety
of random fonts could be recognized. the OCR process
would still ignore letterheads, signatures diagrams or any
other non-standard” (non-codeable’) information on the
document While scanners are emerging which have both
digitizing and OCR capability they are far too slow and
expensive to be effective in the daily conversion of large
numbers of incoming business documents. Additionally.
OCR capture of characters requires the use of full text
search software to retrieve documents ,since no group of
specific identifier keys have been isolated) As described
in the following section. full text searching is not practical
[ or the retneval of the vast maiontv of office files The
obvious conclusion is that the vast maiorit of optical
systems require the use of digitizer scanners. rather than
OCR to capture and preserve the integrity of non-
JLLY AUGUST 1937
11
-------
Loneable documents The exception to this is the turn-
arouno document which can be prepnnted by the ongina-
br with an OCR identifier in a specific location for
scanning when it is returned (a rreignt way-bill is an
ampfe An OCR wand, light pen could then be utilized
to avoid manual kevmg of this index data. Most docu-
merits anci applications, however, do not fall into this
category
The use of key word and full text search software
Another area of great misunderstanding is the differ-
ence between l ev word search soitware and full text
search software Wnte-once optical disk systems, like
their predecessor paper filing and computer-assisted
microfilm systems. are primarily used for the storage and
retrieval of specific types of documents in specific
(unctionai departments of an organization. Any one
who has been remotely involved in filing and finding doc-
uments knows that the overwhelming majority of docu-
ments are retrieved by known criteria such as number,
-lamer SI subiecu s’i. document type, and date This char-
3ctenstic or files and file tolders means that the key word
‘etrieval process results in the proper documents being
inund and displayed in the least amount of time, Full text
searching of a document file with these specific. known
charactenstics would be totally counter-productive arid
unnecessary Full text searching (which first requires that
the full text of the document be entered into the system)
is more properly used when the search cntena is general-
ized and when document specific data cannot be isolated
to provide an index. This category would include some
legal documents particularly litigation support) and
case studies. medical manuals or libraries, governmental
data. periodicals and other reference documents and
data bases where the search may span a wide variety of
pure text information Full text search is more property
a necessity of CD-ROM applications where the search
may be for a subiect or group of subiects in a non bit-
mapped” textual data base which cannot otherwise be
asilv searched and where specific key words cannot be
predetermined . The logical process of finding docu-
ments utilizing key word data entry and retrieval elimi-
nates the need for a lull search in the vast majonty of
office applications since specific search critena is known.
Image storage and electronic photocomposition
Another question frequently asked about optical disk
information systems is “can you change the image’ The
answer, of course. is yes with the proper software The
question that must be asked: why do you want to change
a document’ A.s always the understanding of the individ-
ual application is the determining factor. Document stor-
age and retrieval systems for filing applications (loan
documents. insurance records and claims, proof of deliv-
ery receipts, accounts payable files. etc.) dictate that the
image not be allowed to be changed. The inability to
change documents is one of the major benefits of
write-once optical disks: they become a permanent
record incapable of being altered. This is the major rea-
son that the advent of erasable optical disks will not
affect the use of wnte-once disks in office applications:
erasability would be unacceptable since it could easily
compromise the integrity of the document
Completely different applications 01 write-once disks.
however, are those or photocomoosition isometimes
called cut and paste i, electronic ouolishinQ and
computer-aided design CAD’I The use ot ott icaf disks
will become very widespread for image storage and dis-
tribution for this class oi documents The ability to scan.
change, update. and transmit pans illustrations. sche-
rnaucs. pocedure manuals. and forms under soitware
control will be a maior factor in creating applications for
write-once optical disk systems The capability to change
and update documents and transmit them to local as
well as remote locations in a timely manner is a major
benent of write-once systems in these applications. This
rapid updatabilitv is an advantage. incidentlv which
CD—ROM optical disks do not share since they must be
mastered, produced in quantity, and manually delivered
to the user. The difference in the static image and the
modifiable image application is the software that is used
with the system Each can co-exist within the optical sys-
tem with control being exercisea throu ri individual user
securitY codes
APPL 1CAT!ONS FOR WRffE-ONCE DISK SYSTEMS:
Paper document replacement
The reduction of the external. non ’codeable paper file
represents the single largest opportunity for write-once
disks in terms of increased productivity reduced labor
cost. profit improvement, and competitive advantage as
an integral component of a new class of strategic infor-
mation systems. There is no technology which can pro-
vide such dramatic increases in productivity and effi-
ciency. Optical image processing systems as a part of an
overall office automation plan to reduce the paper file
cabinet burden is now a strategic necessity The ability of
this technology to digitally link paper and computer files
represents the ultimate strategic use of optical systems.
Digital data storage
The ability to keep large pure data fifes on-line to
improve information access is also a highly motivating
factor in using digital optical technology Computer data
and other machine generated text. when stored on opti-
cal disks. provide multiple field access and fast retrieval
to data which has. heretofore been kept off-line on mag-
netic tape or computer-output-microfiche Customer data
such as statements are an example of this pe of appli-
cation. Most organizations would find it extremely useful
to keep a year or more of their customer history on-line.
particularly if they could also provide name to number
cross refernece index capability This on-line data access
will replace many computer-output-microiiche COM
systems now utilized for active reference files. “Optical
COM’ will become a new tool in providing rapid access
to customer information files A 5 14” optical disk will
hold between 60.000-90 000 COM pages and provide
access and image display times of under two seconds:
offering tremendous productivity increases for highly
active data files, Another use of the disks is as a backup
for data currently stored on magnetic memory The perm-
i2
IMC JOURNAL
-------
anent nature of the disk media as well as its large capac-
ity makes this an excellent archiving application: how-
ever a considerable educational process will be
necessary to convince data processing management that
optical technology is truly viable for purely archival data
Document microfilm replacement
Current and potential users of 16mm microfilm, micro-
fiche jackets. updatable microfiche, and computer-aided
microfilm retrieval systems (CAR) are candidates to
upgrade or switch to document-based optical disk stor-
age and retneval systems
Microfilm and microfiche (jacket) systems have long
been recognized as a means to store and retrieve large
document files Recently, microfilm image systems utiliz-
ing computerized index data bases have been developed
as alternatives to existing paper filing systems and write-
once microfilm systems. The advantages they offer over
paper filing systems are the same as those for optical SYS-
tems: reduced labor costs associated with filing and
retrieval of documents, virtually unlimited index
schemes semiautomated document/image retrieval, and
integration with other information data bases. The major
limitations of this technology are that the static images
are nondigital and cannot be transmitted to other user
locations, the access process is semi-automated which
extends retneval time. arid documents which have been
randomly filmed cannot be easily assembled as a single
file. The logical alternative to many of these microforms
s an optical inrormatron system where the benefits of
more rapid access and delivery are required There are
developments occurring in microfilm scanning technol-
ogy which will allow digitization of microfilm images and
movement to remote locations or transfer to optical sys-
tems. but this technology will still surfer the disadvantage
of slow access and the ability to scan will depend on
maintaining consistent microfilm imge quality The inher-
ent disadvantages may limit this class of system as a
maior force in image management It is however, an
excellent transitional tool in moving to optical systems.
ThE IMAGE PROCESSING PAYOFF
Image processing is a key tool in the implementation of
strategic information systems in the office It has the
potential to allow reorganization of a department or even
the entire company to deliver improved value to custo-
mers due to the ability to integrate the corporate paper
and computer memory The key benefit of these
improved optical delivery systems will be to allow
employees “lull-service” capability in handling customer
information requirements This “total transaction’ ability
will allow people to use more of thier own skills and initi-
ative to improve the competitive advantage of the organi-
zation. it is the understanding of the strategic use of
optical technology that will add ultimate value to an
organization rather than the bits and bytes understanding
of the technology itself The ability to separate the tech-
nology issues from the practical understanding of how
optical information systems can strategically and eco-
nomically improve the competitive position of the organi-
zation is the important issue in the ultimate success of
these systems. •
._. ss
JULY ‘AUGUST 1987
13
-------
SPECIAL REPORT
Tailor Software for CAR Systems
and Application Needs
By Hans Hollink
Computer Assisted Retneval Systems Engineer
Business imaging Systems Division
Eastman odak Company
The ethertands
T rving to convince a user to change their operations
to better suit a particu’ar niormation storage and
retrieval system makes as much sense as taking
the long route to work because your car doesn t have
enough pep to climb a big hill along the way The tool
should be selected. and tailored ii necessary, to suit the
job at hand, rather than the other way round
In microfilm installations the application should
determine the hardware and software chosen. in order to
smoothly integrate the storage and retrieval of informa-
tion with the end.user s everyday needs.
These applications-related cnteria include the number
of documents filed and retrieved per day. the response
time required. total number of users the microimage file
size and location the microimage index file size. the rate
of growth of the file, and application workflow
The ideal microfilm hardware and its software for a
given application depend a great deal on these factors In
general. one of three different hardware software
approaches are chosen for a computer-assisted microfilm
(CAR) solution to informauon management. These are
the instream. standalone, arid distributed approaches.
Instream CAR
All three handle what we think of as the basic CAR
functions: data entrv’validar.ion. editing of data. index
search for microimage retrieval, reporting on document
data. support operator communication, and
housekeeping.
The instream approach integrates microfilming and
retrieval hardware with existing mainframe facilities and
applications software The present computer system
stores document image indexing information, and sup-
plies the microfilm operator with the information needed
to find a given document image
In addition to the basic CAR functions. the applications
software supporting this approach must be flexible
enough to allow the additional index search keys
required by the CAR application
In addition this software may also support computer
output microfilming (COM of index data that is less-
frequently retrieved, as well as supply an optional log of
all microimage index traffic
One potential advantage of the Instream approach is
that, if there is excess capacity on the existing maintrame
system. the cost to implement the system is lower than ii
a separate minicomputer or PC is used Furthermore the
integration ot image address data into an existing aata-
base makes tong-term maintenance of that information
easier Finally such systems are simpler for the user
because existing equipment and procedures can be used.
as opposed to learning a new method of information
retrieval.
Instream CAR systems are well-suited for applications
where a customer already performs data capture from
documents, using a database structure which allows the
addition of an extra field at the document level This
extra field would contain the microimage address infor.
maton. This system allows many users access to the
database and to the image address information
However, when taking the instream approach. the user
must determine the capability and feasibility of establish-
ing communication between the software of the retrieval
equipment and the mainframe. For some. the modifica-
tions required would tax existing resources too heavily In
addition, some users may not have the ree CPU or disk
capacity for such an applicat;on. or may not be willing to
devote these resources to a microfilm retrieval system
Standalone CAR
Many turn instead to the standalone approach, in
which the retrieval software is installed on a mini-
computer or personal computer dedicated to the CAR
application. The standalone software package is expected
to support all basic CAR functions and the intelligence in
both the microfilming equipment and the retrieval
equipment.
One advantage of standalone CAR systems is that
because the software is independent of any existing data-
base management systems, it may be tailored quite
closely to fit the particular application. Thus. the system
can be installed and used quickly as a turnkey system
The implementation does not depend on. nor is limited
by. the customer s EDP resources
In a typical standalone installation, the customer may
have no free EDP resources available, such as those
needed for an instream solution. Or the application ma
\() tMBO DECD.IBER l9
-------
require a degree ot ulexibilitv and responsiveness which
:annot be acnieved by using the current marnirame. This
may be because me database structure existing on the
r ajnErame does not easiiv lend itself to document level
ndexiri .
One example of sucn an application might be storage
ma lookup of mug files or tin Qerpnnt records within a
dW enforcement agency. Such tiles are sensitive, and
must be kept from unauthorized eves. At the same time.
.vhen tast access is necessary, the information may liter-
ally have tue-or-death importance. Here, a dedicated
standalone microfilm system is clearly the best approach.
Within ordinary business environments. however, users
must address other issues. such as the need to duplicate
±ntrv of data into the mainframe computer and the stand-
ilone system where such information must be available
to both. Duplicate files can also lead to inconsistency
between them. Moreover, those with standalone systems
must contend with the need for buying and using addi-
tional computer hardware.
Standalone systems, then. are most efficient when the
data used for indexing the microfilm files is not exten-
tve1v duplicated in the mainframe computer system. For
example. key information on invoices may be stored tem-
porarily in the mainframe while the invoices await pay-
ment. Only the invoice number and date may be dupli-
cated in the microfilm index. These two pieces of
information allow rapid access to the document image
itself when it must be retrieved from permanent storage.
Distributed CAR
Another choice is the distributed approach to CAR.
With this method, a standalone system communicates
with a mainframe, combining many of the advantages of
both the instream and standalone approaches. But.
‘,cnereas aata is still entered on the mainframe system.
there is no need to re.key common information for the
CAR system. This excoange is nandled by soitware.
The rnaior potential advantage of this approach is that
:t eliminates the duplication ot data trv and reduces
the resutun risk ot inconsistency in files.
Sucri systems must include a procedure for communi-
cation between the mainframe and the minicomputer.
and account for compatibility of tape formats when data
is transferred via magnetic tape, the scheduling ol this
operation, translation protocols. line speeds. and use of a
single CRT to access both the mainframe and
minicomputer.
While each of the three CAR approaches has pros and
cons, the choice of one over the other depends on the
application, computer resources. and personnel available
in the existing information management environment.
All three approaches can be used to access either
16 mm roll microfilm, or microfiche. The number of
users, retrieval requests. and whether the microimage
system supports a centralized or decentralized applica-
tion all control choice ot media.
For lb mm microfllm, image marks exposed on a
micronext to each document enables intelligent micro-
image film terminals such as those in the family of Kodak
IMT inicroimnage terminals to access source document
images recorded on that film. The image mark is exposed
on the film by a microfilm camera. The software in the
microfilmer can ensure that the image mark and the film
address can be exposed on the film next to the document
image automatically. and with no operator intervention.
In addition, image management coded ( blips of differing
sizes) can also be used to provide filming of batches in
random sequence and to facilitate error correction.
The sequential image number can be stamped on the
original document during microtilming and then stored
on a computer with other specific data.
When this index is accessed, the image address will be
displayed to the operator. He or she will be prompted to
insert the relevant microfilm cartridge into the micro-
image terminal and the computer will then drive the
microimage terminal to the image or images required.
For this purpose. the image address information is sent
from the computer terminal, via an interface, to the
rnicroterrninal. The intelligence in the microimage termi-
nal image accepts the image address and scans the film
lengthwise at high speed. During the film transport. image
marks are counted until the required image number is
found. arid the image is displayed.
Roll microfilm systems can store massive amounts of
information in one package. As many as 4000 document
images can be captured and stored on a single magazine.
yet accessed in seconds with an intelligent microimage
terminal. Duplicate rolls can be made to allow access to
this information by several operators. The Kodak Infor-
mation Management System KIMS features a robotic
film autoloader that can select a given microfilm maga-
zine, locate the desired document image. digitize it. arid
distribute the image over a local area network for even
broader access.
Microfiche is a microform which records source docu-
ment images on a A6 sheet of microtilm. On microfiche.
_,
—
—
L.
In general. one of three different hardware/software
approaches are chosen for a computer-assisted microfilm
iC4R) solution to information management. These are the
instream. stanaalone. and distributed approaches.
is
(MC JOURNAL
-------
the images are organized in relationship to x v coordi-
nates which can be used in different ways to retrieve a
specific image. Microfiche typically store fewer images on
an individual fiche than can be packed into a roll of
16 mm microriim. However. microfiche can be readily
duplicated by inexpens ’.’e equipment. As a resuit. users
of microtiche can reproduce many copies of sucri data for
distribution to a large number of remote locations. A few
fiche can be mailed to branch offices for the cost of a
first-class stamp.
Microfiche are used extensively for computer output
microfilm COM’ reports. although COM devices can also
generate 16 mm microfilm of computer data.
Computer assisted retrieval systems are available on
the market to access this microfiche information. The
microfiche are normally stored in cartndges. After enter-
ing search cnteria into the computer system, the com-
puter will search the index data of the microfiche file and
will display the carrndge number and microfiche number.
The software requirements for a microfiche-based CAR
system are similar to those for a 16 mm rollfilm system.
In summa ’. microfilm systems for computer assisted
retrieval can be conñgurea in many different ways to fit a
broad range of applications. Software can be tailored to
accommodate existing database software, or customized
for a special application. Information retrieval is most
efficient when it is designed to serve the needs of
humans. I
(Note: Kodak and IMT are trademarks.)
CAPTURE VI O
D.nn,s Morgan. C.S.P., Coa .. Pissidant
With Videotapes?
• Minimize expenditures for
travel and training.
• Instant replay for review.
emphasis ana clarification.
• At fordable.
• Reach a large audience at low cost.
• Enhance career opportunities througri increased
knowledge.
• Convenient, state-of-the-art training tool.
• Learn from industry exoerts.
• Expensive to produce incividually.
What a proactive way to train your staff. singly or in grouos.
which is both economical and effective.
Available Tapes:
— Mariceting Your Recoras Management Programs
— Micro Comouters in Recoras Management New Release Oct. 87
For More Information write or call:
CAPTURE BY VIDEO, INC.
P.O. BOX 12028 • LAKE PARK. FLORIDA 33403-0028 • i3051 790.0794
Why Train
ELKE INTERNATiONAL
INFOMATICS 87 VIENNA
BOOTH 150
LOW COST X•RAY
MICROFILM SYSTEM
Elke International offers
x-ray minification using
the new Elke x-ray camera
• Simple 3 bath film processing
using standard microfilm
chemistry and Elke 35mm x-ray
microfilm
• Camera featurs variable reduc-
tion ratio for different size x-rays
• High intensity variable light box
• Simple operation
• Quality results
CIrcle #176
ELKE INTERNATIONAL CORPORATION
P .O. Box 808. Brookfield. Wisconsin 53005, USA
Telephone 414-784-3020
Telex 201318 MEA UR Fax 414-784-6944
CIrcle #189
-------
SPECIAL REPORT
KIMS Integrates Proven and Future
Technologies as Office Automation
Systems Converge
By John A. Lacy
Vice-President and
General Manager. Marketing
Business Imaging Systems Di ision
Eastman Kodak Company
Rochester. New York
T he convergence of office automation technolo es
has been at work for a long time. but in recent
months has reached a breathtaking place. We are
seeing the introduction of innovative image management
systems that integrate computer data base. image pro-
cessing and enhancement, and communications technol-
ogies to a degree few would have imagined a decade ago.
Computer-output microfilm (COM), of course, was one
of the earliest matings of computer and microfilm tech-
nologies. Today. many large-scale computer users think
of COM as lust another type of high-speed pnnter. and
routinely direct long reports. matenal with large distnbu-
tion lists, and hefty systems output to COM as a time—or
paper— saving process.
More recently, the link of technologies has involved
using computer data processing power to track and assist
in the retneval of microfilm images at high speeds.
Technological convergence is barely underway, how-
ever. Magnetic and electronic innovations are being
matched with laser breakthroughs that promise optical
disks with gigabytes of storage in the near future. printers
eight to ten umes faster than those in common use. and
with telecommunications improvements that are speed-
ing digital information within and between offices nation-
wide. Robotics is moving from the factory floor to the
office environment, and fiber optics. satellite communica-
tions, and even products as “mundane” as the office
tvpeare providing a new look to office automation.
The Kodak image management system (KIMS’). offi-
cially introduced in May 1985. and currently promised [ or
general commercial availability in the first half of 1986. is
one oi the first of a new breed of office automation tools
that integrate proven technologies, while leaving the door
open for expansion into newly emerging areas.
Open-Ended Design a Novel Concept
This in itself is something of a novel concept. Most
products are designed to use a given product or line of
products. and may not be able to ‘talk” to other systems.
When technology changes, as it always does, users must
choose between preserving their investment in existing
equipment and data, or moving to the latest-generation
product with improved features. Manufacturers, at the
same time, must frequently scrap their investments in
design and tooling to introduce a new competitive
product.
KIMS, on the other hand, is designed to use technolo-
ges such as microfilm, optical disk, and computers. The
interface with these technologies has been made flexible
enough to allow KIMS to integrate a broad range of pres-
ent and future products to meet specific information
management needs. KIMS can evolve to embrace
improved systems. while allowing those who already
have invested in KIMS to continue using the information
bases and equipment they have.
KIMS is designed to accommodate enhancements like
optical disk recorder: players. digital paper scanners, fac-
simile units, and other devices which incorporate emerg-
ing technologies.
The Kodak image management system’s modular
design is elegant. while allowing almost limitless expan-
sion. To those using the system, the workings will be
totally transparent: seated at their workstations, they can
access computer data and microfilm images with equal
ease.
KIMS’ basic foundation is the simple fact that, at pres-
ent. the so-called “competing’ technologies each have
distinct advantages over other systems. KIMS allows
users to implement the best features of each. For exam-
ple. computer systems are excellent at manipulating
data. and routing it for display to users at remote work-
stations. Optical media. such as microfilm or optical disk
on the other hand, are unsurpassed among current tech-
nologies in their cost-effectiveness of storage.
While optical disks can easily store digitized informa-
tion in a form computers can handle. microfilm must be
converted from human-readable to macnine readable
form before it is palatable to a data processing system.
KIMS provides a gateway for those who wish to use their
large and efficient microfilm files with their computer
systems.
21
SEPTEMBER OCTOBER 1987
-------
KIMS Basics
KJMS is able to display digitized micronlm document
mages on hign-resofution workstations and reproduce
them on paoer ia electronic taser printers attached to
he \ lMS ner orK The system makes data stored on
-nicronlm avajiable to anyone at remote locations using
the KIMS disoray workstation, mating data processing
speed with the advantages or microfilm for long-term
storage.
One of the well-known benefits of microfilm is its ability
to store alphanumeric information as easily as graphic
elements such as customer signatures. graphs and
Lharts. or blocks of line print in contracts and pre-printed
(arms Microtilrn also allows integrating alphanumeric
data with actual document images.
Such information, contained in up to 240 microfilm
magazines, each containing as many as 9000 document
images. can be positioned within a KIMS film autoloader
This configuration places 2.160.000 different documents
with many megabytes of data on line (or fast access
When a given microimage is requested for workstation
dlsDlav or onniout. a robotic arm moves the magazine to
one oi four scanning stations.
Robotics. or course, is growing in popularity among
manufacturers. particularly in the automotive industry
Except for some automated robotic tape-mounting
devices, these machines are almost unknown in the office
automation field.
However, robotics is a technology with proven advan-
tages. Robot arms are tireless. and can be faster and
more precise than human arms. Given a repetitIve task
such as loading and unloading microfilm magazines, a
robotic device is able to perform flawlessly (Or hours on
end.
In the autoloader scanning station, the microfilm
images with the requests automatically sorted and
queued to provide the most efficient retrieval are
scanned and digitized using charge-coupled device (CCD ’
technology. Those requesting a document image will see
the results within 30 seconds
Scanning Key to High-Quality Image
The scanning stage is a key to the high quality of KIMS
document image. Kodak has already demonstrated a CCD
sensor capable of 360.000 picture elements (pixels’ and
measuring only 7 mm x 8 mm. With KIMS. each micro-
image is digitized to provide a resolution of 200 pixel
elements to the inch. However, using system image
enhancement algorithms, the software can manipulate
the resulting digital data to improve the appearance and
resolution of the image beyond this point. The sophisti-
cated software can suppress artifacts such as specks of
dirt on the film, or distracting background elements that
result when a poor-quality or smudged original is
microfilmed.
The enhanced. digitized images are transmitted over
the KIMS network (or either workstation display or print.
ing. On the prototype network, the resolution offered by
workstations is just under 200 pixel elements per inch.
However, the commercial offering will probably use work-
station options in the 100 to 200 pixets inch resolution
range. modified by gray scales. Lsers can choose the type
or display best suited for their aopiications—nigh resolu-
tion ror finely detailed work. or lower-cost lower.
resolution workstations br routine wori
The KIMS worKstations reature a variety or helotul
image manipulation capabilities Our soitware allows
images to be enlarged. panned. scrolled ano rotated. The
rotation capability permits easy changing oi print orienta-
tion when documents have been rnicronlmeo at an angle.
sideways or upside down. Workstation users can view, at
near-normal size, images which have been microfilmed at
reduction ratios of up to 40 1 The workstations also pro-
vide zoom capabilities which allow users to enlarge iine
pnnt by a factor of four.
In the future. we should see further advances in work.
station power. due in part to the plummeting prices of
computer memory, and the proliferation of fast, flexible
true 32-bit microprocessors. True ‘image’
workstations —offering users access to real pictures with
gray-scale depth—might well be available in the near
future at word processor price levels
KIMS Adaptable to LANs
Despite all the interest and discussion, most businesses
have been slow to adopt or install local area networks.
and there are several standards to choose from in both
the baseband and broadband arena We believe more
organizations will embrace LAN technology as part of an
integrated system like KIMS and our Kodak Ektaprint
electronic publishing system (KEEPS . which also uses a
LAN
The first commercial offering of KIMS will be comapti-
ble with Ethernet systems. Depending upon the applica-
tions being run. businesses with Ethernet systems already
in place may be able to interconnect devices running dif-
ferent protocols on these networks for file transfer and
information sharing purposes. In theory. components of
KJMS could also co-reside and operate on an existing
network: practically. KIMS fully utilizes the LAN for
optimal pertormance.
It is expected that, eventually, fiber optics will provide
backbone networking capabilities within arid between
offices complexes. and there will be an increasing use of
terrestnal fiber and satellite communications for remote
network interconnection. Such developments will not
necessitate writing off KIMS’ investments in LANs. if a
fiber optics utility is installed, a business can employ an
available channel to bridge to distributed parts of its
KIMS network. Other channels remain usable for video.
computer data. voice communications. and other pur-
poses. And there is no inherent reason KIMS can t tie into
a satellite system at such time as fle ob1e bandwidth utili-
zation becomes commercially cost-effective
The KIMS network is also planned to be compatible
with facsimile devices, which Kodak believes customers
of KIMS will rely on in the short term as the most cost-
effective way to initially relay document images to
remote locations.
While it is technically feasible to transmit KIMS images
to remote high-resolution workstations. the amount of
data contained in an image is very high. Low transmission
speeds over telephone lines make this undesirable
bMc JOURNAL
-------
Improvements in pnvate network or satellite communica-
tions snould bnng the Iorig-aistance data communication
costs down
Broaü Range of Pr fniers Supported
KIMS supports many different types of printers. The
first interfaced with the system are laser printers, which
can create clean text and crisp graphics at about 300-
dots-per-inch resolution, which is often considered a
standard (or ‘office quality” document reproduction.
However, other printer types cart be used, and it should
not be bong before new generations of fully dot-
addressable. non-impact printers come to market. Inkjet
printers may well be future candidates for KIMS net-
works. Kodak’s subsidiary, Diconi.x, Inc., manufactures
magnetic-tape-dnven ink-jet pnnting systems that can
image more than 30.000 documents per hour.
Optical Disk In the Future
Optical disks. in the lorm of write-once-read-many
CD-ROMS. or as erasable mecia isuch as those displayed
by our subsidiary at NCC. \erbatim Corporation) seem to
be a (actor in everyone s future predictions. KIMS is ready
for this form of image storage. even though it appears to
be feasible sometime in the future
Optical disks. with their high capacity. make excellent
media for digitized images oi documents which must be
retrieved quite frequently
We anticipate that KIMS will incorporate optical disk
and other mass media technologies. If a microimage can
be digitized, it can be transmitted to workstations, or
transferred for optical disk storage with equal ease. In
some cases. microfilmed documents might be temporar-
ily stored on optical disk during peak retrieval penods.
then permanently retained on microfilm.
There is no need to put a limit on the amount of infor-
nation that can be stored as a microirnage. as long as
microfilm remains as a cost-effective upton. Therefore.
advances in dirntizing and image enhancement technol-
ogy will play a role in determining optical disk’s overall
imaging versatility
The development of high-density optical disk recorder/
players will add a new dimension to KIMS. The ability to
cost-effectively store hundreds of thousands of document
images on an optical disk which is
less than 14 inches in diameter should
provide a large incentive to eliminate
bulky paper files.
Compatibility With Existing
Equipment
KIMS is compatible with much east-
ing equipment. such as Kodak KAR-
4400 or KAR-8800 information systems.
The KIMS autoloader will retrieve and
read this microfilm files customers are
building with intelligent Kodak micro-
filmers. and users of KAR-4400 or KAR-
8800 systems should be able to con-
tinue using their electronic data base.
including microfilm addresses. without
rekeying information.
The capability to move enstrng data base and microfilm
ad&ess flies to KIMS will extend to comDanies which have
opted to pair Kodak IMT microimage terminals and intelli-
gence micrafilmers with IBM systems or some other vendot
mainframe in their computer-assisted retrieval (CAR i sys-
tems File conversion will also be available to businesses
which have information stored on ;acket microforms or
microfiche.
Computer output microflimers—the computer peripheral
that started the merging of data and image processing—will
also be linked to KIMS. The latest Kodak Konstar micro-
image processor IV, a long with the previous Komstar 200
n’ticroimage processors which can process d igital data at
500.000 bytes per second , uses lasers to image computer-
generated data on either microfiche or 16mm microfilm for
automated retrieval on KIMS
These peripherals should give KIMS even more storage
versatility Data initially stored in magnetic form can be
transierred to microfilm at a throughput speed of 10.000
pages per hour So organizations will be able to free disk
space ror vital on-line applications, and still retain the
ability to access COM data in digital form on the same
workstations.
KIMS workstations won’t be limited to microimage
retrieval. KIMS operating system permits popular soft-
ware packages. developed br personal computers. to run
on KIMS workstations. KIMS workstations also will be
able to emulate 1MB 3278 terminals
Another planned KIMS network addition is the paper
laser scanner. The ability to digitize paper onginais early
in transaction cycles could eliminate inefficient paper
routing procedures. as well as the need to microfilm doc-
uments containing transient data. Where this type of
application eiosts. digitized document information could
be stored and processed further on high-capacity optical
disks.
The discussion of present and future applications for
KIMS could continue endlessly That’s the whole point of
the Kodak image management system—an open-ended.
integrated system that gives users a real choice over how
they manage their information, today and tomorrow I
(Note: Kodak, Ekiapnnt. KAR-4400, KAR-8800. IMT and Komsiar
are trademarks.)
S TEMBER/OCTOB i987
CIrcle #131
-------
Optical Disk Systems Technology
‘
BvTerrvPlume
Racat Imaging Systems
Fleet. Hants
England
A lthough the ma ontv of my presentation wifi con-
centrate on the advent and implementation of
document image processing. there is a need to
look at some of the history of oluice automation, its needs
and some of the answers that have been provided. These
answers have come from equipment manufacturers.
media suppiLers and more recently from system
integrators.
It is important to the end user, and :ndeed to the manu-
facturers that they do not become side tracked or con-
tused about optical discs themselves. They are an en-
abling storage media which today provides an answer to
ome of the storage problems which have faced the office
and Iactprv environment for decades ii not centuries. Mv
first point must therefore be that the use and implemen-
tation of this new storage media must not be technology
for technology sake. The end user needs an answer to
problems that existed before the optical disc. Will con-
tinue to exist for many years to come and may in the
‘ears ahead be solved by the use of another technology
or perhaps a further development of an existing one.
Over the last decade. it is claimed, we have seen an
0” increase in productivity in the factory or industrial
environment, whilst the office has managed just 4”. If we
look at the investment in the two environments we might
find part of the answer.
The major obstacle to improved productivity in the
office over the past 20 years has. I believe, been the abil-
ity to handle the growing amounts of paper. If we look at
the results of a recent Coopers and Lvbrand study I think
this is illustrated very well—of all the information amy-
ing in the office in paper form ( either nternailv or exter-
nally generated):
1” , is data entered
5. is microfilmed
.4 is retained throughout its active life in paper
form
There are many other surveys which point to the
growth of paper over the same period.
The advent of the computer did bring some changes.
the rows of comptometer operators were replaced. but
then we added line pnnters to the end of the line to pro-
vide us with still more paper—an area that has been
addressed by COM.
We went on to develop the word processor which
greatly reduced the size ot typing pools but did not stem
the flow of paper—we added office automation systems
from the late seventies and the personal computer in the
eighties.
However paper remains the easiest to use medium for
communication, it is available to everyone, and particu-
larly where the customer for the product or service is the
‘man in the Street” Mister Public.
The providers of document image systems must there-
fore address and understand the use of paper and its
functions within the office environment, the offering of a
store and retrieve system is fine for the end user who
simply wants to save space but it is only part of the need.
Image processing will have a significant impact on
office operations and office personnel over the next
decade. because the emerging image processing systems
can provide the bridge between paper processing sys-
tems and machine processing systems.
There is now an opportunity to bnng together three
key areas of business operation:
• Record management
• Administration
• Information processing
I believe that the first of these, record management. is
given far too little importance in many organizations
today because of the inability to bring together the differ-
ent departmental needs into a corporate strategy.
The dream of the papertess office may still not be
totally achievable but there are some substantial steps
which can be taken today with significant benefits.
We can list some of the obvious benefits and these will
become clearer as we look at the capabilities of systems.
and no doubt each potential user can add some more
specific savrngs relevant to his needs:
• Space
• Time—improved productivtv
• Document and data viewed together
JANUARY FEBRUARY 1988
29
-------
• . 1l inrormation rapiolv available to the decision
maker trom vanous aata bases
• Reduced copying costs
• Reduced phone COStS
• Remote access to tiles
• Remote printing of intormation
• Job ennancement
With all of these benefits I will return frequently to the
point of processing images because this forms the maior
activity for which paper is used today
For the providers of systems I believe there is a clear
message from the marketplace—they want an implemen-
tation c i technology that meets the end user needs and
their development strategy The provision of an ‘off the
shell’ package which requires the user to change his
method of working his interface with suppliers and cus-
tomers and the tYpe arid nature of his workiorce is not
the answer Many paper processing systems have devel-
opec over years ot evolution arid contain individual cus-
tomer differences that are crucial to that environment—
better theretore to customize systems to the environment
and provide the benefits with the minimum of change to
the methods and the staff.
However the end user will again modify and evolve the
system and thererore it must be possible for the system
to change and move with the users changing needs.
The key to achieving this is for the system supplier to
understand paper systems. how they work, and why they
exist in their current form, and to be able to translate that
into a document image processing alternative
Let us now look at the components of a document
processing system We can break them into two distinct
areas. first the hardware components.
• Scanner
• Magnetic cache
• Optical disc and drives
• luke box or autoloader
• Workstation or display
• Laser printer
• Local areai wide area networks
And the software components
• Index
Compression
Windows
• Zoom
• Edit
• Annotate
• Cut and paste
• Word processing
• Document routing
• Host emulation and telecom
A good system will provide most, if not all. of these
capabilities. It is also likely to demonstrate a clear
upward path for system enhancement and technology
tracking.
\Vhat does an image processing system actuailv do
• Firstly you can capture an image of a paoer cocu-
ment or book or technical report payment oucner
or engineering drawings
• You can then compress the image using stanuara fai
group 3 or 4 algorithms
• The resultant image may be stored on optical discs.
which may be held in large capacity mass storage
units. With approximately 40.000 A4 pages per 12”
disc and up to 150 discs per storage unit then sev-
eral million images are available on-Line. With stand-
ard four drawer filing cabinets the same number of
documents need around 3.300 sq feet of storage
space. This is condensed into 35 sq. feet with aver-
age access time of approximately 25 seconds to any
image. For those who require even greater speed you
can choose to link multiple drives—up to 54 for
example—with constantly loaded discs an average
access time of 6 to 7 seconds is achieved. On the
other hand when speed of access is not the critical
factor you may decide to keeo a disc library on the
shell and baa the disc into a single crive as
required.
• From the optical store you can retrieve a desired
image—say one A4 page—or a whole file
• The retrieval image or multiple images are displayed
on high resolution viewing screens, or can be
worked with at high resolution workstations. Docu-
ments may be compared on the screen side by side
or as overlays or with data from a main frame which
may be viewed in a window on the same screen.
• The workstations also allow you to work with the
images. They provide, with paper. the functions you
are used to You may handwrite notes on the docu-
ments. you may type on the documents and these
annotations are stored on the optical disc as layers
to the onginal image—they are not destructive to
the original and may be viewed either with the
image. or separately, and may be printed in the same
way This annotation facility provides a wide range of
possibilities for the processing of documents—for
example. the completion of separate parts of a form
by different individuals, to the final authorization
signature at the end of the process. the form being
automatically routed around the network as each
phase is completed.
• The provision of cut and paste facilities allows you
to work through a file of information extracting items
and notes of interest to compile a precis ot the file
or provide a report for a meeting
• Word processing and the provision of standard doc-
uments allows the user to respond and carry out
normal procedures at the workstation and automati-
cally file the results
• The availability of sophisticated data base packages
also allows a more comprehensive filing capability
for the image file, it provides for range searches.
cross references and key word searches which are
impossible with paper files Many enquiries can be
30
1MC JOURNAL
-------
answered by accessinq the noex rile and establish.
ing the total contents of a document file—this iden-
tities the type of document. the subject, the date.
and it may therefore not be necessary to look at an
image at all Systems can incorporate automatic
bnng rorward files which will provide the user with
actions to be taken each day wnen they log into the
system
• You can pnnt out on demand copies ot the images.
data and text on high quality laser printers.
• You may choose on the other hand to mail images
to other users on the system or output them to
remote facsimile units or over wide area public net-
works to remote workstations.
• A sub-set of facilities may also be provided to PC’s
linked into the network such as searching the index
data base and requesting pnnts. or viewing images
on request
• Systems may be interfaced with existing microfilm
data bases where film images may be scanned and
transierred to the optical system—they may simply
be viewed or they may be stored on the optical disc
as part of a new and active file.
• Output currently transferred to microfilm from COM
devices may alternatively be loaded direct to optical
disc with the index information transferred to the
document processing system. This provides the end
user with a common retrieval format for current and
archival information
I think that is a very impressive list of capabilities for
document image processing systems but to realize the
full benefits the system provides, system integrators and
the users must clearly understand how they use paper
today and what the problems are that need to be solved
Failure to do this will make cost ;ustification a difficult
problem—image processing systems are not cheap.
Again I stress I am talking about processing systems
These have a starting pnce or around 3130.000 upwards:
these are not multi-user processing systems but will be
ideal for many standard applications of storage and
retnev l
Let us think about image processing and compare it
with what the potential user does with paper today
When the paper is received, whether externally or
internally generated. they are firstly captured by placing
them in an in-tray, and at this rime copies may be taken
for distribution to several in-trays. They may or may not
at this time be given some form or index or be date
stamped. This action in many cases leads to numerous
copies of the same document being filed within the
organization
With image processing—the document is scanned.
automatically timed and dated, and may be sent to
numerous users on the network for action or may be
stored and retrieved by any user.
With paper—we store it in pending or action files or
simply add it as another item to an existing file which
may be personal. departmental or a central registry
With image processing—we create an index which is
stored on the data base. and on the optical disc. The
documeni may men be piaced in a pending or bring ior-
ward file added to an existing file, and the access levels
on the system may be used to define wnether this is a
personal or public file
The most important thing about paper is that when
using it we
• add information to it
• staple pieces together
• handwrrte comments
• mail to other departments
• add text
• stick post-it notes on it
• index it so we can find it again
• file it
Very often we use paper to do things we can t currently
do in any other way
• Instruct a course of action (please see me)
• Formal issue
• Authorization (signature
Signature check
• Value check
With image processing systems we can now do all of
these things from the workstation, using a bit pad and
pen to wrne on documents, using the keyboard to type
The layers may be direct as if working on the document
itself (although stored as a layer) or may be indirect as
though we were adding a post-it note. By using the mail
or document routing facilities, instructions and actions
may be routed around the user departments Pages may
be stapled together to form documents and documents
placed in selected files. When we have completed our
actions with paper we store it. even though it may remain
active for some time The store tends to be in a file folder.
in some form of file cabinet, which is eventually trans.
ferred to the archive. In most cases indexing is limited to
a single parameter name. account number and so on
With image processing the document can actually be
indexed and filed at the time of capture—this may be
immediately to optical disc or it may be held in magnetic
buffer until a final decision is taken on retention. The
store may be on-line in dedicated drives, in a mass stor-
age juke box or in a disc library held in a cabinet or on
shelves It is possible to mix all of these options within an
image processing system as you would today with a
paper based or even microfilm environment Files or doc-
uments may be given a range of index parameters to pro-
vide wide search capabilities
When we need to retrieve paper we do it in a number
of ways We take the complete file out of the cabinet—
thereby making it unavailable to an’.’ one else who may
wish to see it We may take one document Out of the file.
an even more nsk-prone activity, resulting in lost docu.
ments and mis-files We may take a batch of information
to browse through. or to compare documents from one
file to another. Increasingly, documents are retrieved to
compare the content with data held on some other stor-
age system—perhaps a typical example would be to
compare an incoming invoice with order details held on
JANUARY /FEBRUARY 1988
31
-------
the main trame ano a gooas received note tor signature
enuication
With image processing you can retrieve in all of these
nodes and any iniormarion tnat one user has retrieved is
available simultaneousiv to any other user on the system
Workstations with local memory can buffer numerous
pages allowing 20 to 50 A4 pages to be stored and
worked with by the user Once the pages are buffered in
the workstation ilipping between pages is a sub- second
activity
The user needs to identify the problems which he cur-
rently experiences trom paper Apart from those ot bulk
and speeu of access some oi the most common
• Waiting tor documents
• Out of file
• Internal mail delivery
• Filed with someone else
• Is it current and complete
Access and orivacv
image processing systems are targeteci at problems
urrentlv handled
• With paper based solutions
• Microfilm based solutions
• Magnetic based solutions
Many users often within the same company or indus-
try, work differently and therefore the ability to be able
to customize image processing systems to the company.
department. and even the incividual is a key benetit of
the emerging market offerings
Vith many bad experiences behind them end users are
now very conscious of the need for integration with other
wstems and in particular for a dedication to open sys-
tems from the suppliers This is of course much more
critical in the multi-functional multi-user environment It
is also important that systems are modular in their offer-
ing at all levels in the workstations the networks and in
the image management system or core
The benefits afforded by image processing do not
remove all of the bottlenecks from the office environment
in particular that of indexing the documents either at cap-
ture or at completion of the process. However we are
now beginning to see systems which incorporate OCR
and OR bar-code reading into the scanning process to
provide for automatic indexing of the captured images
This does not mean OCR of the total input document to
provide free text searching from a wide range of different
documents. Realistically today it provides for the win-
dow’ing of certain areas of a document and reading of pre-
determined ing iniormation such as invoice numbers
account number policy number etc “lo doubt this
‘acilitv will morove and will be integrated into both new
and existing systems
Systems oiler aiiferent interlaces to the end users but it
is possible to choose irom an iconic intertace wnich may
be driven with a standard mouse and offer a tree cnoice
of functions or actions to be carried out on the system to
keyboard menu driven systems. Here the customization
allows a group 01 repetitive tasks to be folded down into
a single keystroke operation. thereby simplifying the user
interface and reducing the training requirements and
error opportunities
The providers oi image processing systems are dedi-
cated to solving the problems ot typical paper based
departments
• Receipt and collation
• Sorting and matching
• Creation of pending files
• Filing and retrieval
• Archiving
The selection ot the file status can be achieved by indi-
cating the document type being input for example. an
application form on receipt may be allocated a pending
status
In setting up the life structure automatic procedures
may be built in for fife archiving, the system ii dicating
which discs contain material to be archived and a copy
over system put into operation This will ensure that
optimum use may be made either of on-fine drives or a
juke box facility
To summarize the change from paper based environ-
ments to image processing environments
• Automatic paper flow— saves time
• Optical storage—saves space
• lntegration— aves repetition
• Electronic retrieval—’,aves time and money
• Tailored systems—saves compromise
Those potential users seeking solutions for their prob-
lems, and who understand the strategic and corporate
nature of the decision, should seek a supplier who offers
• Imaging consultancy
• System design
• Installation, maintenance ‘support
• Product growth strategy
• Future product strategy U
32
MC JOURNAL
-------
APPLICATION STUDY
Micrographics and/or Optical Disk?
Ideas to Help You
Make the Right Decision
By W. Clair sceli
Manager
3M File Management Systems
St. Paul. Minnesota
W e have all been hearing and reading about the
approaching boom in advanced document
management technologies — ,oeciuicallv optical
Iisks. Well, the technology is here, and continue to
niprove. New systems sales and installations are taking
place. and people are still talking about the tremendous
potential of electronic document storage. Yet nothing
that we could really call a boom has taken place so far.
Why not?
It’s certainly not a problem with interest. The presence
of optical disk systems on a trade show floor pretty much
guarantees heavy traffic, and attendance at optical disk
seminars has been very strong. This has been true both in
the U.S. and at various trade shows in Europe. including
SICOB in France. SMAU in Italy. Hannover Fair in
Germany and the recent London Business Show in the
United Kingdom.
At last fall’s IMC Congress in Toronto. an all time
record for seminar attendance was set. and particular
interest was shown in high tech subiects such as PC Net-
working and Systems Integration. Software for Document
\lanagement. Office Automation Systems and numerous
sessions dealing with optical disk technology and
applications.
In one Toronto session, a representative of the Yankee
Group summarized the findings of a recent study which
attempted to explain the slower-than-expected growth of
optical disk system sales. The report concluded that
strong growth still lies in the future, but that the curve
will not be as steep as had been expected. In other
words, the technology works, the need for it is real, but
people just aren’t rushing out to buy.
Budget restrictions may be a part of the story, but they
don’t fully explain the delay. Traditional technologies
such as micrographics and related products have sold
quite well recently. including the systems needed for high
volume applications, which target the same market seg-
ments as optical systems.
Software has done particularly well, especially those
document management sot twares which are independent
of the media on which documents are stored—and that
may be a clue to what is going on.
There is no doubt that there is a need for more power-
ful, faster document handling tecnniques. The problem is
that there are many alternatives to choose from. Do I go
with optical disk, or one of the new generation of micro-
graphic systems” Do I buy now, or wait and see what
happens with the new technologies’? Will something else
come along and make optical disks obsolete?
The questions are complex. and the risks of making the
wrong choice are high. It is no wonder that many users
involved in document management have waited to see if
some of the issues would resoive themselves—waited
while others tooK the risks that come with being a pio-
neer. But they haven t just been waltinQ
I think that we are currently seeing the user community
show foresight. as well as caution. in carefully preparing
for the future of document management. People are opt-
ing for real world solutions to current problems. as
shown by healthy sales of traditional micrographic sys-
tems. At the same time, the interest shown in optical and
other advanced systems seminars shows that they want
to be ready for the future when it gets here.
Finally, they are making decisions—and purchases—
that will improve their position when it comes time to
make the conversion to optical disk. In addition to the
media independent softwares already mentioned, we are
seeing early signs of a healthy growth for bar code
indexing.
The ability to eliminate kevstroking by placing machine
readable index information on documents can greatly
ncrease the productivity of film-based CAR systems.
However, once bar coded documents are in use, there is
no reason why bar code indexing couldn’t be used with
optical disk storage. The index, the software and the
method of encoding documents would remain the same.
as would the benents of fast, automated indexing.
By investing scarce capital improvement dollars in the
upgrading of proven technologies, users gain immediate
benefits with a minimum of risk, arid gain time to wait for
developments in advanced technologies.
Like any new technology, electronic document man-
agement must go through a period of testing and devel-
opment in the areas of systems and applications design.
In the near future, users will be given a wider choice of
disk systems. This wider selection will greatly increase
the chances of finding a system with exactly the capabili-
ties needed for a particular application and within the
budget allocated for t. The reliability and general quality
of systems will improve. costs may very well come down.
and experience should result in numerous design
improvements.
While all this is happening, users will be arming them-
selves with the data necessary for an informed purchas-
26
1MC JOURNAL
-------
ng aectsion
in many avs this caution in converting to newer technologies can be
benencia out there are some things that people snould keep in mind while
hev are .%altlng
Opt cai aisk s stems in certain carefully selected and designed installa-
tions nave neeri extremely successful in providing ciocument management
oluttons mat would not have been possible with more traditional methods
-or a riumoer or people. the time to convert to optical disk is now The
henerits—in these specialized cases—are simply too great to ignore
In Jaoan. optical disk has progressed much further than anywhere else in
me woria in reaching its real potential. For various reasons having to do with
lan uage culture and business practices. microtilm has been the document
iianagement solution it is in other parts of the world
When eiectronic document management became a viable in Japan. it was
quickly accepted As the Japanese experience demonstrates, the question is
not whether optical disk technologies have progressed to the practical stage.
but whether a given application has progressed to the point of benefitting
irom optical disk.
is it possible that other areas of the world will like Japan. adopt optical
disks witnout going through the stage of full micrograpics utilization? There
no ciouot that mans’ regions have far less capital tied uo in film systems
ian Eurooe and the U S This may possibly remove one obstacle to the
‘-ania acceotance of the kind of systems that are now becoming available
The case oi Japan at least shows us that there is more than one possible
Lourse of deveiooment
The imoortant thing. of course. is not whether one technology or another
dominates the market, but whether users have access to systems that can
solve their document management problems. In the case of electronic doc-
ument management systems, this means the rapid development and painless
implementation of optical disk systems That’s not a prediction. It’s a goal.
and one we vendors are working toward.
Manutacturers must place an even greater emphasis on understanding the
problems of users In norma] times. this understanding insures healthy sales
In transitional penods such as we are experiencing now when new technol-
o ies and techniques are being developed it insures the future health of the
1ndustr ’
In addition every effort should be made to provide the user community
vith the niormarion it is so hungry for At the upcoming IMC show in \‘ enna
this Octoner for example. people will be gathering tram all over the world to I
nok at the latest products. and learn from the experiences of those already
realizing the benefits of electronic document management.
These two iorrns of communication—listening arid sharing information—
are our best ways of making sure that the promised boom in optical disk
technology comes at the proper time, and that it is based on a solid
foundation i
Cine Technology
In Low•Volume
M!nitab master
Eliminates
Film Jams!
No daily or weekly cleaning!
Darkroom not required!
Easy to Operate!
MiniLabmaster gives you pro-
fessional uuality processing with
all the convenience of a table-top
processor—but without the
cleaning mess associated with
other table-top units. Cine
technology provides more film
protection than any other low-
volume processor
• Minimal oDerator training reauired to
oroouce higri-qualiiy film every time
• lower cnemcal costs, lower over-all
cost of ooeration
• Cine tramoort elirTunates pinch rollers
and guides trat scratch film
• Uses stainless Steel througflout tor
longer service life
GET MORE INFORMATION
CALL TOLL FREE:
(800) 421-5000
EarIEss 76. Inc
203 W Arlesia 81 Comoror CA 90220
Phone (2131 605 ’0755 .(8001 421.5000
TWX, 910-346-6701 • FAX 1213)608-1556
© 1967 He I Pe ’tt i 16 ii
Circle *115
—
Circle #131
-------
SPECIAL REPORT
Document Management Software
A View from the Inside
By Adam M. Stack
Vice President
Flonda Computer. Inc.
Miami. Flonda
W hat is document mana ement’I think it appro-
pnate to briefly discuss basic elements of
document management before going on to
tackle the software approach. Document management
consists of the following:
• Document Storage: This can mean storage in a our-
drawer file, microfilm or microfiche. optical disk. an
electro-mechanical file storage system, or entirely
within a computers database system.
• Retrieval: Retrieval is as varied a concept as the
storage medium. The mechanics of retrieval from a
manual filing system are abundantly clear to most
people (i.e. pulling a folder from a file cabinet). The
mechanics of retrieval from a computerized docu-
ment management system can be quite sophisti-
cated. It is important to note that one does not need
an in-depth understanding of the retneval mecha-
nisms to understand document management sortware.
• Dissemination (or Distribution): In a small office
with a series of filing cabinets, distribution can
accompany retrieval when someone pulls a file
folder from a drawer. In a modern records center.
distribution can range from inter-office mail to elec-
tronic image transmission.
• Update: Adding a document to a file folder. loading
film into a fiche jacket. entering a “detail record” to a
database, or electronically ‘editing” a digitized image.
• Deletion: In most cases this indicates a removal of
the document to be deleted from the “active” area.
In some cases it simply means removing an index
pointer (such as in a CAR system).
• Retention scheduling: This is a method of removing
records from the system when they have reached
the end of their useful life. For some types of docu-
ments this is a regulatory time period. For others it is
based upon a window of peas retrieval activity. For
instance, your company may keep shipping orders
on file for 30 days because most retrieval activity
(driven by customer inquiries) occurs within that
time window. At the enci oi a retention penoa.
some types of documents are discarded, Others are
moved to a less easily accessible area where they
may be kept forever, or for a seconaaz-v retention
period.
• Check-out management: In many document applica-
tions, it is necessary to know that a document has
been removed from the records center and also to
know who took it. Additionally, it is useful to keep a
“queue” of requests for the “checked-out ‘docu-
ment so that users of the records center needn’t
wait for the document to be ‘checked-in’ before
they can even request it.
Generalized Document Management Software.
I have only one more bridge to cross before addressing
the specifics of document management software. This is
the concept of “generalized” software. Generalized car-
ties the connotation that a system can be unpackaged
and installed “identically” by every user (customer) and
solve each user’s unique problem.
The first step toward accepting such rauluple-
application” software is to throw out the term general.
ized. Generalized document management software
doesn’t exist today. For now. we must concentrate on
something which is widely available today’, adaptable
software systems.
An adaptable system is one which provides basic
records management tools. A specific application is built
using these tools. In this way, two users of the same sys-
tem invoke records management functions similarly, but,
their data (the configuration of their documents(is
different.
Document Management Software. To understand
how software manages documents. I would like to reac-
quaint you with three terms: Data. Information, and
Knowledge. This is going to sound a bit like basic
Geometry where we were introduced to the interrelated
concepts of point and line, each defined in terms of the
other.
Information is that which, once conveyed (and there-
fore understood) becomes knowledge. “6-4. 6-3. 6-4” is
not knowledge or information. “McEnroe won 6-4. 6-3.
6-4” is information which has now become knowledge by
your reading and absorbing it. The scores alone can be
thought of as merely data Without an application or
analysis, data takes on no significance, much like a sen-
tence fragment.
Now for the application of my circuitous examples. The
purpose of document management software is to facili-
tate the storage and subsequent retrieval of information.
This information, once distributed to the appropriate
NOWNBER DECE ER 1987
-------
artv ana understood, becomes knowieage. Computer
systems however ontv deaf with data. It is the ob ot the
nocument management software to structure the data in
sucn a way as to allow information retrieval. For instance.
‘.ou could store a tactual account ot World War fin a
comouter system. Even if the entire history ot the war
were storeo as a large computer text tile, the comouter
system only views it as a ‘stream of unstructured data.
Only by causing the computer to display the file on a
computer terminal where a person can read it. does it
become knowledge.
We could store the same WW1I history on a computer.
but. this time specially “mark” all occurrences of General
George Patton Further, we could mark the beginning and
ending ot each sentence or paragraph that contained his
name. Now, we could use the same data to find all refer-
ences (In the context of sentences or paragraphs’) to this
particular general This is a much more specific type of
intormation retrieval which assumes that when a docu-
ment is stored, there is a specific retrieval purpose in
mind,
The same thing is true for business documents While it
is true that throwing all your shipping orders into a big
box is document storage. and that you could retrieve any
document in the box. it is not a feasible system if you are
to retrieve specific documents. Therefore, in a manual
filing system. you might place shipping orders into file
folders which are stored in alphabetical order by custo-
mer name Within each folder, the documents are
“sorted” in order of date by simply adding new docu-
ments to the back of the folder
Document management software accomplishes this
type of orderly filing by using database management
techniques. The mechanics of database management and
file structures are not as important (for this discussion’)
as the fact that such orderly storage using a computer is
possible.
Two of the greatest advantages of using computers to
.tore and retrieve documents are retrieval speed and
multiple filing sequences.
Document management software which runs on a
modem computer system is likely to provide a substan-
tial saving of time over manual filing (in most cases) This
is simply because a computer can perform a “pre-
programmed” instruction within fractions of a second and
can perform the instruction repetitively without fatigue.
complaint, or coffee break.
-\Iso. using database storage techniques. a computer
program can retrieve a document in multiple sequences
without actually storing copies of the entire document
once for each retrieval sequence For instance, going
back to our shipping order example. you could retrieve
shipping orders by customer name. customer number or
date range You could even combine ‘retrieval criteria”
so that you retrieve shipping orders for all customers
within a given date range and over a specified dollar
value This type of complex retrieval might take hours, or
even days ii done manually With document management
software. this is accomplished in seconds
Other advantages. Since document management
software runs on a computer system, there are features
that go tar bevona manuai document manaQement For
nstance omoutenzeu document management systems
may be integrated’ into other comPuter systems sucn
as otfice automation oroducts i Documents may be
shared between computers i nich may oe n different
Lines Requests to the recoros center may be initiated
irom remote terminals (even touch-tone teleonones
The possibilities are truly without limit
Considerations for acquisition From a user s point
or view it is important to know what to look for in docu-
ment management software This begins with asking
‘What is possible” Even if you won t be using all of the
sophisticated features of a very complex system it does
help to know what kinds of things are possible ‘ust by
computerizing your current document management
operation. Talking to vendors and users i, and user
groupsj will prompt you to ask more questions
\Vheri converting from a manual system to an auto-
mated one make sure that you will be taking advantage
of the automation (i e Don t have a computer do the
same work now being done manually”)
fter interviewing your user departments and studying
work flows create a form listing all the ceatures ‘iou
require Have each prospective vendor show you how
their system will meet each of these needs En some
cases the vendor will propose an alternative Be open to
alternatives, but, remember your objectives and see that
the alternative meets those objectives
One of the most important phrases you can use in
dealing with a vendor is “show me This can mean hav-
ing a vendor demonstrate the capabilities at his current
system or showing how responsive they have been creat-
ing “custom’ solutions similar to yours
Ongoing support. Obviously, this is an issue you will
address with the vendor before purchase Be aware that
there are many levels of ongoing support Most software
companies are capable of supporting you in the event
there is a ‘problem ‘ or “bug’ in their soitware What is
even more important is finding a venuor who understands
the records management business and can ‘support’
your new ideas, You may consider entering into a long.
term consulting arrangement with your vendor This pro-
vides you with an on-call document management soft-
ware expert. Look for a vendor who will be able to visit
your site regularly to meet with you and your user
groups. This serves to head off any problems before they
develop and also to discuss future plans with someone
who is not swayed by your organization s politics Be
aware. however, that they will be swayed by the possibil-
ity of selling further products arid services,
Generalized Document Management Software As
discussed earlier, generalized systems don exist today.
only adaptable ones.
The road to generalized document management soft-
ware is paved with Artificial Intelligence or Afl There
are two basic elements of Al. a knowledge base and an
inference engine, The knowledge base is nothing more
than a collection of facts fed into the computer in a
highly structured manner.
.S n inference engine is a program that makes ‘deci-
sions’ based upon the knowledge base For instance, in
14
(MC JOURNAL
-------
an old computer game called nimal’ the knowledge
base consisted of several facts. Fish swim birds l1,y. and
cats have iur and can fly or swim The program would
ask you to think of an animal and it would then try to
guess the animal It would start by asking Does the
animai swim” If you answered yes. it would guess Is the
animal a rish” If you answered• no the program wouid
ask you to enter a question wnich would distinguish your
animal from the one it guessed Your new question would
become a fact in the knowledge base for subsequent
guesses tthe Al equivalent of learning)
A generalized document management software system
can be structured the same way Many types of “pre-
detined’ applications would be known to the system as
facts in the knowledge base By answering a few ques-
tions, the system would “know exactly how to build
‘our fifes
An additional type of “knowledge that can be con-
.eyed to the system is based upon experience That is
since each customer would use the system in a slightly
different way, the system would “learn better ways to
r-iandle your requests A perrect example ot that technol-
ugv in use today is a fully electronic tvpewnter that I
recently purchased It has all the modern formatting tea-
tures of a word processor including a spelling checker
The spelling checker will propose alternate spellings of a
word if it doesn t know the word you Just typed. By using
the typewriter for a period of time. you essentially
teach’ it what types of mistakes you are likely to make
(i e. transpositions. missing letters. etc ) and that “knowl-
edge’ is used to more quickly propose the types of alter-
nate spellings that are hkelv to correct your spelling
This type of “expenence’ knowledge (which iS nothing
more than a statistical averaging can be used by docu-
ment management software to better construct searches
of the document database
In summary:
• Document management software has all the advan-
ta es of manual filing systems plus the added advan-
tages of computerization
• Today s systems are “adaptable”. but not yet
“generalized”
• Generalized document management software will
encompass artificial intelligence (or Al ’)
• Information is treated by Document management
software as structured data. which in turn is inter-
preted by people and becomes knowledge.
• The two greatest advantages of computerized doc-
ument management are speed and multiple. concur-
rent retrieval sequences.
• Document management software may be integrated
into office automation and “interface” to a communi-
canons network to share data over great distances
• Plan carefully to acquire a document management
system. Interview users. talk to vendors, talk to
vendor s reference sites. and create a ‘shopping list”
of features Also. be open to alternatives
• Seek vendors who will support your system and
your document management plans into the
future U
\OVFJ 1BER. DECF2VffiD 1987
THE CARTRIDGE LINE
ONE OF THE PRODUCTS FROM
THE DEIGHTON LINE
Top Quality M and ANSI Car-
tridges at Low, Low Prices Available
to Deighton Distributors Worldwide.
Write or call for prices and samples.
THE DEIGHTON LINE
INCLUDES: Microfilm Jackets -
Fiche Readers - Fiche Storage -
Complete 35 mm Systems - Fiche
C.A.R. - Film Processors -
Microfiche Camera.
THE DEIGHTON CORPORATION
P.O. ‘Box 663
Brookfield, Wisconsin 53005 USA
Telephone (414) 784-0817
Fax 414-784-6994
Telex 201318 MEA
Circle #126
In USA call 1-800.255-0745
-------
The technical artic’e(s) following this page ai reproduced with the
permission of the publisher, Peter Lobel, Government Data Systems.
-------
DATA STORAGE
FAA Tracks Airport Slots
With Optical Disks
By Mike Pennington
The purchase, sale, trade, leasing and loaning of
taleoff and landing slots is monftored and tTciCked
at The najion’s busiest airports with optical disks.
A nvone who flies in or out of Chi-
cago s O’Hare. New brk s Ken-
nedy or LaGuardia. or Washing-
ton. DC’s National Airport
knows what a high density airport is So
did former Secretary of Transportation
Elizabeth Dole, who in December 1985.
issued a rule that the Federal Aviation
Administration (FAA ). which is under the
Department of Transportations purview
would keep track of about 3.500 takeoff
and landing slots at those four airports.
Documentation relevant to the slots—
who controls and operates Flights within
them—is being stored on optical disks
and and retrieved From a 3M Docutron
2000 Electronic Document Manage-
ment System in the FAA chief counsel’s
office in Washington, DC The slot svs-
tern has been designed to spread out
operations and thus minimize delays at
the country s four most congested air-
ports What the FAA has done is to put
an hourh’ lid on the number of operations
each airport can handk Slots are boutht
and sold by the airlines, but there’s a
twist: under a use-or-lose rule, airlines
must occupy those slots at least 65 per-
cent of the time.
To reduce congestion
“Those airports. the heaviest players
in terms of delays and air traffic, cannot
handle more than a specified number of
operations each hour.’ says FAA Deput ’.
Chief Counsel Edward P Faberman. His
task was to design and imolement a svs-
tern that would track slot holders at those
airports
To the airlines takeoff and landing
slots are more than tickets to operate
their carrier services from those busy
airports Slots are commodities, and they
are bought, sold, traded, leased and
loaned by the airlines that hold them
The FAA keeps tabs on who holds what
slot, where, and when, Essentially, the
FAA is running a title system for the slots.
not unlike a motor vehide department
Although a slot system has been in exis-
tence for years (it fell under the auspices
of the now-defunct Civil Aeronautics
Board), airlines distributed their slots
through an industry committee But the
recent DOT rule altered the way in
which slots are exchanged. and created a
very different atmosphere. Faberman
says. This is the ultimate deregulation. If
“We hadto have a
storage and retrieval
system in which we could
trace every item very
quickly”
you re an air carriet you no longer go to
an industi-v meeting and get a committee
to vote for your slots Toda t you go out
and bin’ them, or you make a deal to
lease them with the camer that holds the
slot you want. All we at the FAA do is
monitor those slots, keep track of who
has them, and make sure that if ou don
have the slot, you dont show up with
‘ .our airplane at that hour’
Keeping track of slots
DOT’s December 1985 rule change
took effect in Apnl 1986 At that time,
airlines began to buy and sell slots, and
the FAA began monitoring operations in
earnest Before, the Air Transportation
Association (AI ). the alphabet group of
carriers, took care of slots, tracking how
many slots each carrier had in what hours
at which airport “When A lA handled
this, there were no slot numbers,” Faber-
man says. “ATA knew, howevet that at
8.00 AM at LaGuardia. for example,
TWA had 12 slots, United had 10 slots,
and American had four
Now each of approximately 3.500 slots
are numbered Their ownership and oc-
cupancv is closely monitoreci While an
FAA computer system keeps track of
ownership and possession of slots. Faber’
man points out that “we have to have the
ability to trace when Airline A sold or
leased a particular slot to Airline B.’ add-
ing that this system is “like any other ti-
tling system’ at some point, there’ll be a
dispute over occupancy, or we’ll have to
figure out why a slot was occupied 30
percent of the time in a two month pe-
riod” In order to keep track of slot docu-
mentation among the airlines, the FAA
installed the 3M Docutron 2000 Elec-
tronic Document Management System
Now each time a slot is traded, leased or
loaned, a supporting document is sent to
the FAA, The system consists of an opti-
cal disk controller, a high resolution mon-
itor, a laser scanner, laser printer and two
12-inch optical disk drives that can each
store 60000 letter-sized documents. As
transaction documents are received,
they are logged into a master file, then
automatically scanned into the system
Data entry operator Stephanie
.%fike Pennm ton is Manc er of Govern-
ment Markennc for 3M Document Sus-
tems Division
NOVEMBER/DECEMBER 1987
25
-------
DATA STORAGE
“Because of the large cut varying
;oiume of documents on The SVST& , t
may oe the only way we con get to the
information we need quickly”
\lcClain indexes the documents trom the
vstems terminal by slot number, entry
log number. airline holder and date range.
The multiple indexing capability ot the
,vstem allows the F AA to pull up stored
slot data in seconds. ‘We had to have a
storage and retrieval system in which we
could trace every item very quickk’ Va-
herman says. This was the only system
. e tound that met both our volume and
response time requirements. Although
‘)lumeS can ‘.arv 1mm day to day the
FAA reSflOn(ls tO allocation questions
Irom e-ither the airlines themsei es or
k ’ ztslators on Capitol Hill) within a day
providing hard copy of’ all slot activity for
a particular request. Because we didnt
know what our olume would be.’ Faber-
man explains. we decided against a mi-
crotilm system. If we had to process 400
For thousands of customers world
wide, we supplied the connection
to get information into their PC.
Our ‘SCANNING CONNECTION”
system can scan images for use
with desktop publishing systems.
convert images to text using our
OCR software and send images to
facsimile machines.
I pieces of’ paper a week, that s ould have
wasted a lot ot film: on the other hand.
we had no idea how much olume we
might have to handle in a dav He auds
that eventually hed like a desk top termi-
nal networked to the system, so he could
ee documents stored on optical disk.
We can find any of the slot documenta-
tion within a very few seconds simply by
keying in the name of the carrier, a date
range, the master lo number or the slot
number.’ ‘avs program analyst Denise
Hall. \lultiple indexing is erc impor-
tant to us: because ot the larze but arv-
ing volume of documents on the system.
it may be the only way we can zet to the
inkbrmation we need quickk”
By way of example. Hall explains that if
she wanted to know what Eastern Air-
lines had done with its slots for the last
r
Our ‘I’APE CONNECTION” system
can read and write 1/2” 9-Track
800/1600/6250 GCR magnetic
tapes from large computer systems.
Our “DISKETTE CONNECTION”
system can read and write most
3½”. 5¼”. and 8” diskettes.
For more information please
call us at 602-779-3341.
R_AGSTAFF 1120 Kahbab
8’JGINE€RING Flagstaff. AZ 86001
Get more info. Circle Reader Card No.107
compliance with the high
density airport limitations.
ear, she’d have to go througn e erv
paper record that comes into the agency.
‘Now. I dont have to do that. The system
iutomaticallv gives me a slot count lust by
pullinz up the name of the airline. \Vhv
s that importanc ‘When an airline takes
)tf or lands without a slot allocated to it.
we U take an enforcement action against
them.’ The enforcement action—a civil
penalty o •SL000 t r eaco incident—is
Iesi ned to ensure compliance with the
high density airport limitations. .\nd
those 1.00() lines can add up pretty
1 umcklv ‘alter all. one slot is needed for
anding. another br takeout it an airline
is operating under a slot that it actually
The enforcement action
- —a civil penalty of $1,000
for each incident—
is designed to ensure
has sold or traded to another airline. Ill
on the other hand. a slot is not occupied
at least 65 percent ot the time. the own-
ing airline loses it under the use-or-lose
requirement of the DOT ruling. Thanks
to quick access to the optical disk stor-
age, the FAA knows who is in violation of
that requirement. and it will pull the slot.
Twice a year. the FAA holds a lottery in
which slots it has pulled are given to new
entrants. who are allocated a percentage
of available slots the percentage, as well
is the number of’ slots. aries from air-
port to airport). “We created an instanta-
neous tracking system from scratch:’ says
Faberman. Despite a steadily increasing
workload. Fabermnan claims the airlines
and legislators are shocked by how re-
sponsive we are: For example. Faber.
mans office worked with Pan American.
Eastern. and New York Air to iron out the
shuttle service between LaGuardia and
Washington National. ‘We were able to
give approval for what was the largest
slot transaction ever—hundreds of slots
—within 36 hours. It would have been
much harder to accomplish without the
Docutron 2000 optical disk system.’ D
L
: -TRACK TAPE
OCR’ SCANNING
—
‘
R I ’ T - ,.
26
GOVERNMENT DATA SYSTEMS
-------
Ale Management
Riding the Optical Wave
By Mike Pennington
The tide is changing in document management
with optical storage emerging as The new
technology of choice; government managers can
use some navigational guidance to help chart Their
way toward deeper waters.
T here are three facts of life that
even ’ government person respon-
sible for paper-related systems
must live with.
• Money is tight. The goal of any docu-
ment program, now more than ever
is to handle ever-greater volumes
under increasingly severe manpower
and budgetary constraantsi
• Paperis still king. Only about lOper-
cent of government documents are
stored in am’ other medium Govern-
ment paper files rend to be large. and
they are getting larger all the time
and
• Technologies are changing. Many
more options are now available for
managing government documents
Interest is high in such state-of-the-
art technologies as optical disk de-
spite the fact that funding is often
diffIcult to obtain.
Under the circumstances, the most ex-
citing developments in government doc-
ument management are those offering
high product i vity, dollar savings, faster
infbrrnation access, and easy cost justifi-
cation. Believe it or not, many new tech-
niques actually meet this demanding list
of cntena.
Optical Disks in Focus
Perhaps the most revolutionary—and
certainly the most talked-about—new
document management technology is
optical disk. Mani government agencies
are looking into possible applications.
even though industry standards have not
yet been determined. The Department
of Defense s Computer-Aided Logistics
Support (CALS) initiative has led the way
with a joint Army and Air Force program
already in place and the Navy accepting
bids for the Engineering Data Manage-
ment Information and Control S . stem
(EDMICS) Lt will install at 4 sites
The reasons for this high level of inter-
est are that optical storage has incredibly
high packing density and offers real
time’ information access. The potential
savings in space and labor are greater
than with any other available medium
l’Iowever. though optical disks may be
the technological standard of the future.
there are currently a few drawbacks. For
one thing, system costs are still fairly
high. It requires high document volumes
or special factors to justify the installa-
tion costs of an optical system In addi-
tion. there are some technological limita-
tions that are still being worked out. such
as communication between different svs-
tems.
But these problems are being ad-
dressed Recent developments have
brought optical disk systems several steps
closer to being a viable alternative for
average government applications.
For one thing, there are now available
relatively (very relativeM low cost, stand-
arthzed systems for scanning, storing, ac-
cessing, and pnnting documents Such
systems are in place at the Postal Service
(correspondence control), the Federal
Aviation ndministration tianding slot al-
location), and the Naval Ocean Systems
Center çcontract files). Several other
agencies. including the US. Army Supply
Depots and the Defense Logistics
Agenc t are looking into such systems
In addition, firms have introduced svs-
tems capable of handling all sizes of doc-
uments, The ability to merge drawings
and support documentation in a single.
easily accessible file has caused consider’
able interest in agencies with larze draw-
ing collections, such as the Nuclear Regu-
latorv Commission
Another breakthrough is the develop-
ment of application-specific optical disk
systems The availability of specialized
application software tor particular docu-
ment mana2emenr tasks allows govern-
ment records administrators to purchase
systems tailored to their individual needs
without paying for individualized custo-
mization.
flnalK the rise of systems integrators
and integrated systems is making optical
disk technology more prominent. At the
high end of the scale, optical units are
being used as image handling subsystems
within estremelv powerful information
systems. The optical files expand the
“real time’ in&rmation umbrella by per-
mitting immediate access to images and
data from a single terminal. The DOD
has gwen considerable support to these
modular and easily e’tpanded systems.
incorporating them in its CALS,
EDMICS. and Digital Storage and Re’
trieval Engineering Data System
(DSREDS) programs to provide a logis-
tics support communications link with
pnme contractors
CAR; Software
-- -i - -i
microfilm-based systems have narrowed
the access time gap between micro-
graphics and optical-disk-based systems.
For users not vet ready for optical disk—
and that is probably the majority of gov-
ernment recotds administrators—that
means substantial gains in productivity
for a relatively modest investment Mi-
croprocessor controls. advanced ergo-
nomic designs. and enhanced abilities to
work in conjunction with digital data-
bases have made CAR systems more at.
tractive and much easier to cost justify
For handling the 90 percent of govern-
ment documents still stored in paper
form. CAR offers the advantages of ran-
dom filming, easy indexing, and fast ac-
cess to information, in addition to the
Mike Thrirungron is Government /Educa-
tion Market Manager in 3M Co’s Docu-
ment Systems Division
18
GOVERNMENT DATA SYSTEMS
-------
space- and time-savir benefits and ar-
chival chanccertstics ci microfilm stor-
age.
Many of the advances in computer-as-
sisted-retrieva l. microfilm-based systems
have been made possible by more power-
ful document management software
The latest generation of such software re-
quires minimal training and fewer key-
strokes for indexing and document ac-
cess. Improved search techniques mean
faster retrieval and an even greater in-
crease in productivity.
Most of the new software is media
transparent. it maintains an index with
the location of all documents—paper.
film. oropticalk stored—anddirects the
retrieval of those that are automatically
accessible This media transparency per-
mits great fletibilitv in systems acquisi-
tion. For-example. the military is cur-
rentlv interested in automatirg files Ibr
pay documents, travel vouchers, and sup-
ply requisifton Each base could choose
to store documents in whatever medium
it wants, depending on volume.
Bar Codes; CAO/CAE
Even with the new software, the key-
stroking of index data remains one of the
most labor-intensive operations in any
document manacement system. If the in-
formation is stored digitally, it can be
handled electronically If the information
must be pulled off the document, tech-
nology offers tsco improvements over
kevstrokirE, one eventual and one imme-
diate.
Eventually wstems will be able to read
information printed in eve-readable form
directly off the document and enter it
automatically into the index. This is
called Optical Character Recognition
(OCR). However the effectiveness of
Ale Management
such systems is currently limited b ’ a
high error rate and a lack of proven f l ’s ’
tems experience.
In the meantime, bar code indexinc
systems are a good alternative. Bar code
labels, such as those used in grocery and
other retail stores. are attached to a spec-
ified area of the document and are used
to record such relevant index infi,rmation
as invoice numbers and file names. The
bar code scanner is mounted on the mi-
crofilm camera, so the information is
captured during filming and automati-
cally merged with the location of the
image on the film, eliminating kevstrok-
ing altogethec
The only difficulty with a bar code s i ’s-
tem lies in getting the bar code informa-
tion on the document in the first place.
Internally produced documents—such
as government forms—can have the in-
formation included during printinz. but
outside documents must have labels a !’
fixed (thus taking up some of the time
saved 1w eliminating kevstroking) unless
suppliers supply bar-coded documents.
As with private-sector manufacturers
and engineering firms, many govern-
ment agencies are discovering the advan-
tages of using CAD/CAE (Computer-
Aided Design/Computer-Aided
Engineenng) systems to produce engi-
neering drawings. Unfortunately, while
computers can make changes in engi-
neenrg drawings in a matter of seconds.
it takes a relativeh’ long time to create the
hard copy on a mechanical plotter How-
evett just as Computer Output Microfilm
(COM) recorders take digital information
and record it as alphanumeric characters
on film, there are CAD film recorders
that can record digital data graphically
on film in a fraction of the time required
by mechanical plotters.
Although such systems have been
around for several years, recent advances
- - I
Iuta.’.,J”I _ a ‘,4ir-
d thr Wfi mn
is a Kodak 7L W2md
Vode airports are
I have made them more convenient and
easier to intezrate into o erall informa-
tion systems, For e ampie. one system in
place at the Naval Surface Weapons
Center records CAD data on 35mm film
and outputs a fully punched and proc-
essed aperture card ready for filing, du-
plicating, or scanning into an optical disk
storage system.
ToF loatort.Swbn?
In both government and the private
sector, file and document management is
in a period of transition. While e’cciting
technological advances are offering
promises of a bnghter future. delays and
budgetary considerations are causing
many government administrators to hold
off, waiting for either the ideal system or
the ideal price Perhaps this is one reason
for the high proportion of paper files.
Many recent document management
systems take these transitional factors
into account and offer immediate bene-
fits without painting users into a techno-
logical comet Transitional products such
as bar code indexing systems will pay for
themselves long before the next genera-
tion becomes truly practical. Hybrid
products such as media-transparent soft-
ware permit the immediate installation
of cost-effective document management
systems and an easy eventual conversion
to more advanced technologies.
Document management system pro-
curers should not be intimidated by the
current array of choices and considera-
tions. Though it can be a complicated
task to purchase a system that meets cur-
rent needs and lays a foundation for fu-
ture upgrades. it can and should be done
A period of transition is not a time to
merely ‘wait and see. but one in which
to take advantage of technological ad-
vances as they become available. C
T httBoaed of Afrpi
pcn XQbasa
the Viilcmj sect
titz ’
sytwiUbeu
— , iindselaied fi
b ger ,
LAX plans to instil
Since the stored data n ha relived
‘inrly instantaneousl% the tsair will
ir-t inipede effisit sod speedvjiinn*
- -s the eIinance” h z:;
mA. ? kore,eaeaazvs& of
‘-r seairitv mon tap .-
20
GOVERNMENT DATA SYSTEMS
-------
The technical article(s) following this page are reproduced with the
permission of the publisher, Peggy Claik, The Capital Computer Digest.
-------
VIRUSES: CAUSES AND CURES
Prevention Solutions
Beginning to Appear
IWI ShwSian4 I
Vi’u s. lgi3ttiatecwmsgiatUiaoJe’
If vau aeon seaer me aemmner mess
latoly. you may nave oegi to re sa a W3JC
aemass ciogram as a grit berse mei nas to
Ix%eØ u me mourn Wuses are among us.
invaaing uSI S mamenes as wed A0 0S
causng sortie riavoc aria a total aer m
The tatest wus u eont in irms area was
recortea in late Harm, it tampeieo wat Maon
iosnsotrware
Y’ruzaa aria ievaeate affect me
wtime u rmmmreviy r m Ieraf to
like the Commons used to be in Engtarvr
ocmmenrs jorm Paff. marraqer of Clinton
CamjtersRoatvtle store ‘Irsaoutotcveeat
a mrteo oust. irs a mutuaj resourae aria sortie.
tru mat smisa ae mecectea asia cwnonea
Thisteeang rtas moxizea mewnew usortoevet .
amarractnimgaemmwety to bce selu-
tans to era mactarn
Wtbc I, a Virus?
A torte a a megram aes qrted to mvabe orte
erase or mage gioqroms aria dan. Vausee
vary, laff sey all have Ste abtily to m*1e y
triamserves. movn tram aria Ole a
from aria mactore a aremet * ffetff me
edge or ocnserfl or Ow aesnp . Yrruses
alan aesty san aeseumve actian tied
have had motor of cttaJ to aereciTimale III
yctr Oles aria all yati oacei s. Them Sla ve
been aews ve giograrns as tong as mere
have been mogrammers The omotTrs are
warse raw aeom e more pecom amenm
Dy Ito aria eleaecnc mat aria be use
tc y ’s ever ias rwd ita mn tvmu of
OwSwI1flOwO1 n roomt
S o What n You DO?
aria t q Sam on , s.
Wian you are ecmm ig at a sear s p .
keeg y o iilau du1eseyouareomu .
ayunsegbLForewn e iyou a Oegpy
to me off to mea a le on Sa s ity
miea Sat gey ecUd its wne ’gioteomc.
Same aeveess are s. 0 Olat Ow
a Mo O abi system iaUd be beoted
tmm aua,enc .
Seecria etc you is cm a i omr
Thsna se anmax
arottrayvu ao aria eo Owiatairgatem.
A8sttoUia1OwULAIisOrgiOL ad teepyou
1 10 to a en me latest macteem aria es.
flarcaare aria software soIjxns am De n-
rorctoemere vaamneitom Fctsta 5ortwareis
Clevarare oltersafrvemooreesoflweeuiatfyto
ore rune otis ci XT,AT, 386. aria P52
m vrtes. Itra raw verseri ci Vaomrte. to be
In000Jaed at me monet s Conroex. o ces a
BOMB S1IEI .TER mxwe arson temecrafty
rme s meCP S o t t an AT or 386 so out you
can crazza me sor wan you tost
Daoeo software or a neatv ‘ftre&led ’ magram
so1raU G nn aiaws- l te This
mactb arneniaroy ocrrvrr s yvi mittainor
1 nas en nard anve so erase orqaraaqe
The Vare mactee wacn seems moss
useti is me Critical Orsit. It sorturra a ongy Of
you essential aoerawo tees. iriarrasig me fi
acocation ucte FAIl wnct, is usec Dy CCS to
orate you bIas anen you neea mom Ii a wus
or ow w 1l blown ruman tactor I tnicS uD you
u s acSteCnt JDrskinorneAltsnon I
sue aeznctrier. ane you are ra n Outoness I
so moan as a keysOalis
Themomaeyouu loveto sutetnS u isoab taqe I
scaoeaSteQuairvAss aar bccoba ‘rourel
cat it Big Bror ier
°asorcuw to Mcriael Riemer at Fotobation.
dare mis memory res&aenl macam ocot s
:nav 600 b s ar i a wares m o w ama it taile S to
reiresn a saeen So wnere a me oeef 5 TI ’m is
me soft w are e arent of soberoig a Deane so
rtrantxumtcuasowasmatmee Youmeedl
me OAsmaaraemoere D v teeing it ‘toke
aomrrro ’otafl le fbesmai gragrams you s w-ia
tonaton meeomaasr. Thenatetuses to let you
nil Owsa magiamsd Say stave been aen ad
orinlectod. It aisa reb.ises to alt you niuartyewq
eise rat even Fhgtn Senr.atan
AS em macic autoraraton slates, omw
ranumae Irulezoenave icte tiers
is used tar a amiato aamiraoons aria rut lot
bct• ‘
A Plirtiwaru Solution
PC Liseisaduu Sula tiolto ware u iralaJ
a rujow e SctteOfl to Sue wus grociem ( ali
teriaor born C react’ T uju , it t, in
Evaremn. IL mets 240 tore all s you a
oe.ooamaoorxnos you runc *oraI of
it. dyoure leeleigme Dertiiact Theliajawam
aoes Ian mistime wiet Ow of em
eon sso d sL Dens Onctot,
w i at ste aemcstuy, ceanwig
aamrt ratt me ruts at eve
oltt ile. em me
t-te has ionia out mncst y t d maqams
ruwig ear amid ii a se rato
Ifrecatry. Ceferber a ctamney to use at
Virtnia Commonwealth University in
tyvofmd anws.you r an e.b I
utube bee to Orecars Conigiar
Wclegy, amen mama on me iaarst otameala
rarçrtg from LsIo u Urv eruiyei Peotayivama
to Ileorew tfliwraly St Jetusatem. Software
lxesat oeofcwumemOwMS/DOSamto
are severed asael.
f ctomen users si Otis area are cmarurgt
alter a wia ouaneae wean was t nt detected at
Late Marth The toNs causes cama to Excel
soreacarteets aria uiterteres aim laser ormong
l asrmgtoni A e Slo local Arele user
grotic. is amazing every Maorrasn owner to
Co.aiumoaoOe Pecc32
-------
Cowntsice FROM PAGE 19
Viruses...
examine too or ret software for his virus I I
causes a crange in tie ns wrua reoreseni
ne Note Pad File aria me Scraccoox File in trio
Maartrosti System folder in a rieamiy Macrn.
totel these icons resernee a Macintoon. In in.
wee macrones. me n mianges to a oneet of
taoeeuocerngntcomer tel080 over ime
Maarrtosfl aocisnem icon)
For Hacxare Only
To be cure mat yaw maxeane a iriaeea in-
ected. Dave avery of AWe P1 suggesm mat
you execute Reset or some amer uof ty enion
allows you to see resrole Ides Examine me
System Folder ufiriareorrivisrolerdeemme
System Folder celled Des are sceres;
your macrisie e aefemel, infectea.
For lore Rest of Us
A rCoig to ChIn Perrelb of Contoti Corn.
m 1er ResEdit is a aevemoers tool wthcti is
cryotic aria conntSng for orcrnary users It
viou la oe easy tot a rrovrco to WTOox no or nor
system aria oman me ham dish it he or one storm
rocong around in Resource code There is an-
other way to awease the oteem
.onn Paff suggestsuxirvx arreeweje otogram
Ow Mac. avariadie on trio Acote Pt bI etrn
ooaic ills called Mnm Detective Itis alreaay
oroarasrmee to look for me oa MacMag virus
1 can oe orogrammee to box tot trio virus. too
Whit To Look For
flave Lavery of Awe Pr has orovioeo a very
wrauge aesmiosen ot lots virus
Tha wus transmits itself rein Macrntosn to
Mac intoshoy In acing a stonaar 0800curoole ao
Dcattn ie on aconstmmatec Maciriteon When
this contoimnated aeçecaoon is cocoa toaster-
10 Macrmosn are executed mewus aoaolot the
new system by maxrig manges to tie contents
of lie System file First three NIT resources are
adoedfomeSystemtle HthsNotoPadFile
and Scra0000k File do ret exist in tti System
Folder. may are aeated The type asia neater
teds of toe Notepad File are atonged from
ZSVS and MACS to INIT and ZSYS resoecevesy.
NIT resource ‘sadaea to me If e. The ripe
and creator fields of toe 5aaxooK FiW are
crianged from ZSYS aria MACS to RDEV and
ZSYS resoecovesy. and an NIT resource is
accea to tie fd a Two new mesole files are
a ma to trie system folder named DeedeD a sia
Scores eaon wiOl an at d. DATA and uNIT re-
source. Nato mat trus Desirtog fife is ret the
stondard Deedco file that is found at tie root
level of every else aria ciseese The iegau Dose-
too file nasa type of FNDR are creatorof ERIK
Do ret confuse trio Oesetoo file createa by me
virusin trio System Foicerwen trio legat verston
lo t t i e ax trio root level
As eam agoficanon is attocked. trio virus
install a new CODE resource into trio acosca-
Don. The efemffitraoon of this new resource is
vafianle. aeceelding upon the exiseng resources
wilt tin me aopticaocn The virus acoarenvy are-
axes a ito 01 tie CODE resource aentiff canon
ruanbers wiloen the stereo apoecaxon It men
cheats too lust for me first fereax itt seouentiai
numbers or ore erie 01 me fist.
Thenee wrist CODE resource is then given
art dentut Don number otto greater man a le
break more se jenpe or trIo erie of trie list. For
example. hyperGazdcontao is CODE resources
o througn 20. leaving an ID of 21 as me fist
unowjoied resource ID The virus maces trio
new CODE resource in me aepicanan with art
Certification o tto greater than mat CODE
ID.22
The second steo of tie infection of toe
apexcenan IS the mooficaren of trio CODE ID 0
resource of me ap caoon In all of toe rntectea
appocet i onsw’ iicfl I have towc. Ore vinst mom-
has the eleventh word of ma resource In easo
of these apoecallons. trio eleventh worn seems
to normaty be a pointer to tie CODE D 1
resource
ndrere toe appiucat ionwor4d normally tairp
to the CODE ID.I segment trio virus moattes
tots pointer to rater to trio new CODE resource
that has pist been installed. The exajmple below
stiews me first 18 wares of a siesta aria an
edected ve en of Nype t
Steele
0000 1EFO 0000 559C
0000 IEDO 0000 0020
00083F3C 0001 ASFO
0000 3F3C 0001 A9FO
yrtected
0000 IEFO 0000 559C
0000 rEDO 0000 0020
0008 3F3C 0016 A9FO
0000 3F3C 0001 A9FO
The eleventh word has been changed from
0001 to 0016 which points to me new CODE
ID.fl resource (hex 16.decirrtal 221 Note mat
awing ott exartunanon of suspected aftpism-
Done, we laurie that at feast one comotler nor-
mally plus non-COOl vaJues in thie eleventh
were at Die CODE ID.0 resource. To verity
• uiteceon.dtheeleveneiwomisnot000l check
toseeiftheeleventhwordaoinlstoo,enew
I CODErescurcettildoes .toenoreaW lceflcnis
I infected
Thenew ODErescwceisacopyoftne
I wrruscoce.isotsze 7026.arcaexeajtecwlien
I toe infected axfucaxion us inveked When the
virus comeletes exearben. if refisris to me in-
apoucanon. witucin appears to proosee
normally Theflrstsxteeriwososofmevinjs are
00000001 3F3C
0001 ASFO 4EBAOO2E
204000FC002043FA
FFEC 20D9 2091 2040
meevmwoedoftoewruscocausvarrabte
aria may oe baseman itie return acoress usea
‘inen me execution of trio virus is ccmoieteo
irrus maxesa aura moaitucauon to me once
:1 trio accilcation in a inartrier wrlicn rtas not
:een lucy deaoneres-x This was ceterminea ov
r ing to recover trio HyoerCard acotcaton oy
emoving trio new CODE 0.22 resource arid
aatauing me ereventi wore at me CODE lD
resource Any anemot to nat me rebut apolica-
on resuttea in a system coma. inumawig mat
ne virus has mocjfled other sections of the
aooiicaxion which oreventea its comprete exor-
c:sm.
The Cure: For Hackers Only
Contoretnatea system files aria acoticalions
must be comotetely removea from me Macrn-
:osrl Follow close owes.
1 tdertsty tie elsoasea files ttong the acove
raronutation. List therm
2 Using ResECt open ore infected System
Folokr and locate me Deskmo’ file Select me
tile aria use me Gef Info conan on me FrIe
Meruj When the file information window ocens
turn oft the invislse bt flien ciose trio winoow
aria save me life inforynaxon Do tie same tar ore
Scores file
3 Locate a stenle system diskette I oref era
buy one of me ‘System Tools diskettes tram
A e ) . LOCK IT and boot from It.
4 Delete trIo emote System Folder
5 Throw away at toe infected appfications
listed In step 1
6 Shirt dovei tie Macintosh and turn trio
power oft Do not g Restar your Mac’ You
must comeletely power aewn to guarantee anal
the Mactntosn memory is Ceased. Wait at least
30 secenas tar fife memory ro clear Defame
reDooting again from ore sterile diskette
7 Reinstall tie Maemotovooeratng system
from the System ToolsatsetefoyvurMacintosn
8 Locate your ongimi comes of the deletea
abptucationsoftwase Beforereeistatingmeao-
pications. exanusre eacri one to tie sure mat Ills
stenle If there usno maclent reinstall ore ae i
cation
Dont Forget
Bill 8aldndge of Apple Fi has me best advice
of all Dorfrtpanio.
And dont assume mat everything toat goes
wmngwttlryowsystemecexjsedbyavirus Re-
member to tooi for me eater things that cause
praising protoenus. Sometimes tie Mac Iilt s to
have its batteries removed fee a wren speit. for
instar .
And remember mat when vat are locking at
tongs you ye never footed at belome. you may
see new things mat look weird. tot! have aeon
there ad along, aou rio nami at all Same
shareware gamesior eacmae. cream Scores
tiles. They are invisrole so oral gasTlesters wont
ooen morn ma and inflate their scores The
Scores you find may be your own
I-sappy Comotring aria stay vutus free
Salty Snvth teaeses ferr1um lot rite Write
Warns. a consutinq fin n in AJlingtOn. Virgirua
U
IdUBE NOW! .
Picava an y
Capital Computer Digest
FREE!!!
rt .Q . ,ae .g
U Baltimore Computer Digest
To qealdy (ca $ FREE iubsaipc . ptuis ani ca all of the (o4Io. q ca &
n — -- . . . 0 o . ..wC . .
MzIMajMi
— a
7.—
,_r. — — — — — — P_ i
ni -SI _____
S W, 5 SW ________________________________
i .o ms
Do — r a
2. 0. 7 -
0 ii .__. __ 7i u
ate — — 0 ii u c
a a On
3 W - 031 M—,- —
a iimw — —-—
021 I D
D3ioi
Ox) E I I
atoM - - -
031 S oii D.
0 iicoov -
O 0
a np —-— .,—-- -- _____
O i s,u - S . ro..o uwj — . —- —a —
a r - . WS $W
0 63 HslwS DI I 00to000 Oui 5i00am . re
0 ti- . — _ a a xst so 000 ain use xo -,ose.om
O ii Tca=i Dxi ste u Cm siem .
a vir — - to
Dim .j I2 ,
D lii Lqal&a Dii 00-to de Dii *100 sm. co
____ Onsm 3oace Dinxsseem-ueioee
0 13 3 031 toO.8C .I00O00 061 *i .ne .co.
O 4) Ii Ha i
5 Pi ua ., ma t s ... iosm 2
O ii*iO. tome 0 dlI6ine-1O.de 0100-loam Ciluamo4oram
O 2) oio- o o a sr leone-lure, 021010 mtoam 031 lire -300 ne
0 ris’o.uo-esne a viximose. Oxistone-soom 061 :500cm.
6 Ho.m.oy a m.y caoa .m, l_ Do of i p
ILSIW, OWP
.04 at
O llSOml.SW C 4)500-999 a
O 315 -
aoiuso-.w
PAGE 32 ‘ ‘88 COMPUTERl ht
-------
RECORDS MANAGEMENT REFERENCES
-------
RECORDS MANAGEMENT
REFERENCES
DIANE COLLIER - Region VII Records Officer - 757-2828
GEOFF STEELE - Agency Records Management Officer - FTS 475-8675
SUZANNE ANNAND - HO Records Management Staff - FTS 475-8675
HAROLD WEBSTER - HQ Records Management Staff - FTS 475-8675
OIRM - RECORDS MANAGEMENT
-------
RECORDS MANAGEMENT FUNDAMENTALS QUIZ
Check the correct answer or answers for each of the following questions.
1. The temi “records” refers to:
(a) any scrap of paper in a government building.
(b) any memorandum that has a signature on it.
(C) Information on any medium which may have enduring value.
(d) Information on any paper that has at least two signatures on it.
2. The temp record series relates to:
(a) any group of similar documents that have been classified for disposition purposes.
(b) any group of documents that are numbered In sequence.
(C) any group of documents pertaining to a single matter which are filed chronologically.
(d) a baseball competition in which a lot of records are broken.
3. A “disposition schedule” Is:
(a) a calendar of litigation events.
(b) a formally approved calendar for retiring, destroying or archMng records.
(c) a formally approved distribution list.
(d) a cooperative understanding that permits each person in the office to be grouchy on certain
days.
4. Each office must be In complete control of every document that It
receives.
(a) True
(b) False
5. All records processed in an office are “official” and must be treated with
utmost care.
(a) True
(b) False
6. A permanent record Is a record that:
(a) has been kept for over three years.
(b) has been sent to the Federal Records Center.
(C) can’t be broken
(d) has been defined as such by the National Archives and Records Administration.
-------
RECORDS MANAGEMENT FUNDAMENTALS QUIZ - P.2
7. There Is no formal set of EPA policies governing records.
(a) True
(b) False
8. if you keep a copy of every memorandum ever prepared or received by
your office then you are practicing proper records management.
(a) True
(b) False
9. Once a record is sent to the Federal Records Center, you will:
(a) never see that record again
(b) have to bribe someone to gel it back.
(C) have to work with the local records officer to recall It.
(d) can assume that it will be destroyed after two years.
10. Only permanent records are sent to the Federal Records Centers.
(a) True
(b) False
11. ArchIved records are kept at the Federal Records Centers.
(a) True
(b) False
12. A Standard Form 1 35 Is used to retrieve a record from the Federal
Records Centers.
(a) True
(b) False
13. There Is no way to protect Confidential Business Information after It
goes to the Federal Records Centers; therefore, you can’t send CBI records
to the Federal Records Centers.
(a) True
(b) False
14. Personal records are any records you keep In your desk. -
(a) True
(b) False
-------
RECORDS MANAGEMENT FUNDAMENTALS QUIZ - p.2
15.if a published report Is used for reference in your office, then you must
keep a copy of that report in your flies to assure a complete decision record. -
(a) True
(b) False
16. There is at least one point of contact In EPA which can be called to get
the answer to any records management question you may have.
(a) True
(b) False
17. The of ticlai records officer for your office Is:__________________
18. Do you know where the EPA Records Management Manual Is kept In
your office? If so, where:____________________
------- |