United States Office of Publication 9360.6-11
Environmental Protection Solid Waste and June 1993
Agency Emergency Response
Washington, DC 20460
Superfund
SEPA Emergency
Response
Division
File Guidance Manual
—
This manual presents
basic guidance on the
filing system for the
Emergency Response
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Office of Emergency
.mil Remedial
Response.
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Introduction..
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CONTENTS
Why Records Management? 1
Introduction 3
Inmagic Plus 7
ERD File Structure 13
Guidelines on the File Structure 21
Technical Reference 107
Filing Guidance 131
Filing Procedures 137
Folder Label Guidance 147
CBI and Sensitive Document Handling Guidance 151
Slipsheet Guidance 153
Disposition Guidance 157
Appendix A: ERD Records Management Forms 171
Appendix B: Records Management Glossary 189
Appendix C: Records Control Schedules 203
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The file structure and procedures presented in this manual are part of a
pilot program within the Ojfice of Solid Waste and Emergency Response
(OSWER) to implement structured records management practices
throughout the Superfund program. An Ojfice of Emergency and Remedial
Response (OERR) Records Management Program was established in 1992.
The accompanying letter from Henry L. Longest II provided the impetus
for this program. (See OERR Directive 9204.1-01 on the following pages.)
The Emergency Response Division (ERD) represents the first functional
application of these principles, which have been developed by OSWER and
EPA's National Records Management Program (NRMP).
EPA's current records schedules are undergoing major revisions.
Changes in the schedules will necessitate changes to the procedures and
guidelines discussed in this manual. The recent evaluation of EPA records
management practices by the National Archives and Records
Administration (NARA) may also have an effect on this manual as well as
on the Agency's developing records management principles in general.
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"i
3 UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. D.C. 20460
% one*0
OFFICE OF
SOLID WASTE AND EMERGENCY RESPONSE
APR 2 0 1992
OERR DIRECTIVE 9204.1-01
MEMORANDUM
SUBJECT: Establishment of OERR Records Manageiront Program
FROM: Henry L. Longest II, Director rj\V^I
Office of Emergency and RemedialAfdsponse
TO: OERR Division Directors and Supervisors
PURPOSE. This directive establishes a formal structure for
building a consistent, efficient and legally defensible records
management program for OERR.
BACKGROUND. Establishment of these programs in Regional
Superfund Offices is virtually complete. We have been requested
now to replicate this"e£"fort in Washington. Although OERR has
participated in regular clean-up days and has generally archived
records in accordance with agency policy, a formal structure to
ensure cross-Division consistency has never been established.
The move to Crystal Gateway, with its limited file space,
provides an outstanding opportunity to solve this problem
permanently.
OBJECTIVE. Cooperative development of an OERR Records Management
Program, under senior management sponsorship, will enable OERR to
examine records retention needs and legal responsibilities,
understand procedures for retention and disposition, and
appropriately track and archive our records. Centralized
knowledge, coordinated by Division representatives, and managed
as part of the Superfund Documents Program, will ultimately save
time for technical and professional staff. Records reduction
before the move will simplify relocation logistics and better
utilize space in the new quarters.
IMPLEMENTATION. A work group chaired by Betti VanEpps and
initially consisting of the Divisions' Special Assistants will
manage this project. Their first task is to develop a records
management strategy, with immediate attention to issues raised by
the move. As the work proceeds, Divisions should expect to
identify other participants with specialized knowledge, who
should participate as appropriate. Lisa Jenkins, OSWER Records
iii
Printed on Rocycloa P.ir'
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Management Officer, will participate on this work group to bring
us the benefit of experience and knowledge gained in the Regional
effort.
Ultimately, an OERR policy directive will be issued which
describes the final program and responsibilities for its
maintenance.
I have asked Steve Luftig to serve as ex-officio
participant on this project to provide the senior management
support which will ensure success.
cc: Steve Luftig
OERR Staff
Lisa Jenkins
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WHY RECORDS MANAGEMENT?
* SAVE STAFF TIME
* SAVE FILING SPACE
* CREATE MORE WORK SPACE
Information is a resource and has value. It must be managed like any
other resource. Traditional management techniques of planning,
controlling, directing, organizing, communicating, etc., need to be applied
to the management of the Agency's records in the same way as to other
program initiatives. In fact, records management has become a top priority
at EPA.
Effective records management practices save scarce Agency resources and
ensure the timely availability of information to program staff. A complete
records management program also includes procedures for the proper and
efficient disposition of inactive records which removes records that are no
longer needed, on a scheduled basis. This in turn reduces storage
requirements and provides more work and filing space for current, active
records.
Following the guidelines outlined in the ERD File Guidance Manual
provides for more efficient filing, maintenance, accessing, and disposition
of program material. These guidelines were defined by the Agency and
OSWER and adhere to all standards of the Federal Records Center (FRC)
and NARA for the handling of Federal records.
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INTRODUCTION
SCOPE This manual describes the file structure and filing procedures developed
for ERD. These guidelines apply to all records created, received, or
maintained by the Division. ERD is taking part in a pilot program in
records management under the auspices of OSWER.
The filing system described in this manual is to be applied to all records
(and non-records) generated and/or maintained in ERD. These include the
active program records maintained in individual offices as well as the
inactive records stored in the central files, and the administrative (chron)
files maintained by the Branch secretaries. Non-records include the
technical reference material stored throughout the Division, as well as
certain site files for which official copies reside elsewhere.
The handling and disposition of electronic records is not addressed in this
manual. This topic will be covered separately at a later date.
GOALS * SIMPLICITY
* FLEXIBILITY
* UNIFORMITY
The file structure presented in this manual was developed with these goals
in mind. There was an emphasis on creating a simple structure, with as
few categories as possible, in order to encourage ongoing maintenance and
facilitate record control and retrieval. Flexibility was built into the
structure to allow new record series or subject categories within existing
series to be added or deleted as program activities and needs change.
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The structure contains specific guidelines so that the classification of
records will be consistent from one staff member to the next. The
structure also sets standards for uniform record practices, which are
consistent with OSWER records management guidelines as well as
emerging Agency policies. This standardization meets requirements
imposed by the FRC and NARA for handling Federal records. It also
makes it easier to identify and dispose of records at the appropriate time,
according to the Agency's records control schedules.
AUTOMATION
Manual records management procedures are time consuming and labor
intensive. However, a number of software applications have been designed
to alleviate these burdens. ERD has selected one such software package,
Inmagic Plus, to provide the Division with a tool to automate its records
management program. ERD's Records Management Database System
(RMDS), designed in Inmagic Plus, offers the program staff the capability
to produce a complete inventory of the program's official records, quickly
locate and retrieve needed documents, and create indexes, reports, and
thesauri for records maintenance.
RMDS provides the program user with the ability to identify and locate
records, whether they are held in the central administrative or program
files, or have been transferred to the FRC. As an information tool, RMDS
can save the staff many hours of searching for one lost file, not knowing
whether it still exists, was destroyed, or has been sent to storage. The
system also provides users with disposition information, regulating the
length of time records may be kept and facilitating their timely and proper
disposition.
TERMINOLOGY
This manual was written to be clearly and easily understood by the
program and administrative staff of ERD. Some records management
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terminology has been used where it was unavoidable. A Records
Management Glossary is found in Appendix B to help staff when they
come across any unfamiliar terms. However, there are a few terms,
defined below, whose meanings should be made clear in the beginning.
Filing System - A set of policies and procedures for organizing and
identifying files or documents to speed their retrieval, use, and disposition.
Another term for filing system is recordkeeping system.
Record Series - File units or documents arranged according to a filing
system or kept together because they relate to a particular subject or
function. An example of a record series is "Regulations, Standards, and
Guidelines," ERD staff should learn to refer to their files in terms of the
series to which they belong because the record series determines the life
of the file.
Primary Organization - The initial way in which a record series is placed
in order or is organized. This initial order would be the first step in
organizing files according to a filing system. This initial order usually
relates to the way the files will be placed in the file drawers.
Secondary Organization - The way a record series is organized after the
records are arranged in their primary order. This secondary order also
usually relates to the way the files will be placed in the drawers.
File Structure - The placing of files in a particular order or sequence. A
structure allows an office to identify a document according to its place
within the structure. With set structures and contents, everyone will know
where a particular document can be found.
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File Break - A subject or name for a group of files within a file structure.
A file structure is made up of file breaks.
Major Break - A file break or category.
Minor Break - A subcategory under a major break.
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INMAGIC PLUS
Inmagic Plus is a PC-based database program that has been chosen by
OSWER IM for Superfund records management systems. ERD has
procured Inmagic Plus to facilitate the organization, control, and retrieval
of its program information. The ERD Records Management Database
System (RMDS) has been built in Inmagic Plus and provides a
catalog/inventory of all administrative, programmatic, and technical
reference material created or maintained by the Division.
The ERD RMDS includes three databases which parallel the three groups
of records and non-records that have been defined in the ERD file
structure: administrative, program, and technical reference. Each database
contains records with identifying information. This information serves to
point the user in the right direction to locate and retrieve the desired files.
The administrative database contains records for all correspondence
maintained in each Branch. This includes controlled correspondence and
FOIA correspondence, as well as general correspondence. Since each
Branch maintains its own administrative files, the Branch that controls the
file is indicated in the record. With the exception of some administrative
records which are kept in notebooks (e.g., Time and Attendance Records),
administrative records are maintained in the file drawers in chronological
order by month. The user can search Inmagic and identify the documents
needed, then go to the correct file to find the hard copy.
The program records database contains records for all program files
maintained by ERD. Files which are already housed in the central files
will be entered into RMDS by the Branch administrative staff. Program
files maintained in individual offices will be entered into the database each
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time a new file is created. The program staff person responsible for
maintaining these files is also responsible for this data entry. When the
program files become inactive and are moved from an individual office to
the Central Files the responsible staff member must ascertain that all the
records have been entered into RMDS. At this time, the close date and
disposition date should be entered in the RMDS record. More information
on this process can be found in the Filing Procedures section.
There are several types of records in the program files, such as Contracts;
Policy Directives; Regulations, Standards, and Guidelines; Site Files;
Project Records; and Reports to Congress. Each of these record series is
represented in the database with unique fields. The record series, which
is the primary identifier for locating files, is indicated in the database
record for each file. This enables the user to quickly identify and retrieve
documents from the Central Files.
The third database contains records for the technical reference material.
These records contain basic bibliographic information about the items,
including author, title, date, etc. Location is indicated first by specifying
the Branch that "owns" the item. Technical reference material belonging
to each Branch is physically separated. Technical reference material has
been divided into subject categories, which are defined later in this
manual, and is arranged according to these categories on the shelves. The
subject category for each document is part of the database record for that
item. This helps the user find the item on the shelves.
RMDS is basically a document and/or folder locating system. Users can
search for records in a number of ways. The results of their searches are
citations indicating the title and file location of the record.
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Searching can be done by document classification, record series, rule or
directive name, title, author, originating office, date, keyword, subject, etc.
Every word in each field in RMDS is indexed and fully searchable. For
example, keyword indexes allow the user to locate and retrieve a document
or folder by searching on any word in a title, rather than having to know
the exact and entire title. Searches may also be done for portions of a
word, for example, searching for comp* would retrieve entries containing
the words computer, computers, and computing. This method of
searching, using truncation, is described in the RMDS User's Manual.
RMDS contains a user-friendly search interface which provides pre-
determined prompts which allow the user more freedom and flexibility in
conducting searches.
In addition to the search function, a number of reports for use with each
database have been designed. They provide a way to present aggregate
information in an organized format. The reports are described in detail in
the Inmagic System Design Document and the RMDS User's Manual.
Included among these reports are label formats to generate file folder
labels from Inmagic.
Information concerning document disposition, including the disposition
date, authority number, and instructions, is included in the database records
in the administrative and program databases. This information is readily
available to the user to facilitate proper disposition and preparation of the
records inventories required for retirement.
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FILE STRUCTURE AND GUIDELINES
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ERD FILE STRUCTURE
The ERD File Structure is a simple categorization of ERD office records
by Activity Groups. Generally, each Activity Group represents one record
series as identified in the EPA Records Control Schedules, [n a few cases,
where a certain Activity Group involves several interrelated record series,
the record series are combined as sub-activities of the overall Activity
Group; for example, in personnel records, where four record series are
listed under the Activity Group "Personnel Records."
Each Activity Group has an alphanumeric code to assist in its
identification. The first four characters are a mnemonic representation of
the name of the Activity Group or record series. The last three characters
are the EPA Series number assigned to the records held in that Activity
Group or record series.
Specific guidance on how to organize the records generated for each
activity is given in the Guidelines on the File Structure section.
Generally, the organization of the files within each Activity Group or
record series is based on a natural order that is easy to understand. Files
with subject titles are organized alphabetically; files identified by numbers
are organized numerically.
The Record Identification Row Chart on the following pages provides
users with guidance for the proper placement of their records within the
file structure defined in this manual. Its goal is to assist users in placing
their records in the correct record series. It covers the major categories of
records used within ERD. Records which are a subcategory of a major
record series or Activity Group (e.g., SYST-059 or CCOR-141b) are
defined in the appropriate section of this manual.
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ERD RECORDS IDENTIFICATION CHART
START
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ERD FILE STRUCTURE
Code Activity Group/Record Series Page
CCOR CONTROLLED CORRESPONDENCE
RECORDS 23
CCOR-141a Controlled Correspondence Requiring Signature
of Office Director or Above Records . 23
CCOR-141b Controlled Correspondence Requiring Signature
of Division Directors or Other Lower Level
Supervisory Staff Records 25
CONT CONTRACT RECORDS 27
CONT-2()2b Contract Project Officer Records 27
1.0 General Correspondence
2.0 Contractor and Contract Modifications
3.0 Contract Invoices
4.0 Technical Progress Reports and Monthly
Reports
5.0 Financial Approval Statements
6.0 Contract WAM/DOPO Training
7.0 Contract Evaluation and Performance
Evaluation Board Reports
8.0 Work Assignments/Delivery Orders
9.0 Meetings
10.0 Procurement Requests
CONT-202c Contract WAM/DOPO Records 30
1.0 Work Assignment Records
2.0 Work Assignment Correspondence
3.0 Contractor Performance Records
CONT-258 Final Deliverables Resulting From Contractor
Studies and Services Records 33
FOIA-034 FOIA REQUEST/RESPONSE RECORDS ... 35
GCOR-127 GENERAL CORRESPONDENCE 37
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Code Activity Group/Record Series Page
LGRS-080 LOCAL GOVERNMENT
REIMBURSEMENT RECORDS 39
NCPP-086 NCP PRODUCT FILES RECORDS 41
OESC-125 OFFICE EQUIPMENT SERVICE
CONTRACTS RECORDS 43
PERS PERSONNEL RECORDS 45
PERS-121 Travel Expense Records 45
PERS-122 Position Descriptions and Personnel
Reference Records 46
PERS-123 Employee Training Records 48
PERS-276 Time and Attendance/Leave Slips Records 49
POLI-007 POLICY GUIDANCE/DIRECTIVES
RECORDS (developed by program staff) 51
1.0 Background Documentation
2.0 Technical Background Documentation
3.0 General Correspondence
4.0 Workgroup/Task Force Records
5.0 Meetings
6.0 Interim Progress Reports
7.0 Presentation/Briefing Materials
8.0 Draft Guidance Document and Comments
9.0 Final Guidance Document
PROG PROGRAM MANAGEMENT RECORDS ... 55
PROG-006a Program Management Files of Division
Directors or Above 55
PROG-006b Program Management Files of Branch Chiefs
and Below 57
PUBA-081 PUBLIC AWARENESS RECORDS 61
PURC-124 PURCHASE REQUEST/ORDER RECORDS . 63
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Code Activity Group/Record Series Page
RCON-155 REPORTS TO CONGRESS RECORDS 65
1.0 Background Information
2.0 Workgroup Records
3.0 Correspondence/Notes, etc.
4.0 Red Border Review
5.0 OMB Review
6.0 Concurrence
7.0 Drafts/Comments/Responses
RECO-307 RECORDS DISPOSITION RECORDS 69
REGS-149 REGULATIONS, STANDARDS, AND
GUIDELINES RECORDS (developed
by program staff) 71
I.0 Background Documentation
2.0 Technical Background Documentation
3.0 General Correspondence
4.0 Workgroup/Task Force Records
5.0 Meetings
6.0 Presentation/Briefing Materials
7.0 Red Border Review
8.0 OMB Review
9.0 AX Review/Concurrence
10.0 Drafts/Comments/Responses
II.0 Proposed Regulation/Federal Register
Notice
12.0 Final Regulation/Federal Register Notice
SPCL SPECIAL STUDIES RECORDS 77
SPCL-005a Final Reports Resulting from Special Studies
Records 77
SPCL-005b Special Studies Supporting Files 78
SUPT-OOlb SUPERFUND SUPPORT AGREEMENT
RECORDS 81
SYST SYSTEM RECORDS 85
SYST-059 OHMTADS 86
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Code Activity Group/Record Series Page
SYST-060 ERNS 90
SYST-061 CR-ERNS 94
SYST-089 Information Tracking Systems 99
SYST-090 Administrative Support Databases 101
TRKG-168 TRACKING AND CONTROL RECORDS ... 105
TREF TECHNICAL REFERENCE 107
TREF-008a Technical Reference Material 109
TREF-008b Superfund Site Files 112
TREF-008c Oil Spill Response Files 114
TREF-008d Federal Response Plan Incident Files 119
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GUIDELINES ON THE FILE STRUCTURE
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CC0R-141a
CONTROLLED CORRESPONDENCE RECORDS
CCOR
Controlled correspondence records, as an Activity Group, include two
separate records series: EPA Series 141a - Controlled and Major
Correspondence of EPA Administrators, Deputy Administrators, Assistant
and Associate Administrators, Office of General Counsel and Office of
Inspector General, and Headquarters Office Directors; and EPA Series
141b — Controlled and Major Correspondence of EPA Division Directors,
Branch Chiefs, and Other Supervisory Staff.
Records Held By: Throughout OSWER, the official copies of all
controlled correspondence are held by the Office Manager/secretary in the
office originating the control response. The copy of ERD's CCOR-141a
files maintained by a Branch secretary or designee is considered the
official file copy of the correspondence, since the Branch is the office of
generation.
Controlled and Major Correspondence of EPA Administrators,
Deputy Administrators, Assistant and Associate Administrators,
Office of General Counsel and Office of Inspector General, and
Headquarters Office Directors.
Documents covered under CCOR-141 a include all ALs, AXs, and SWERs
that have been signed by OSWER Office Directors or more senior
officials, but whose response was prepared by ERD staff. Documents
include copies of the incoming letter, the control tracking sheet, the
response letter with enclosures, and any significant data used in the
preparation of the response.
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Primary Organization: CCOR-141 a controlled correspondence should
first be organized in chronological order by fiscal year.
Secondary Organization: CCOR-141a correspondence for each fiscal
year should be organized in alphabetical order by the type of controlled
correspondence, as follows:
ALs - use this folder for controlled correspondence to/from
Congress.
AXs - use this folder for controlled correspondence to/from the
Executive Branch.
SWERs - use this folder for OSWER controlled correspondence.
Folder Organization
Folder Labels
Controlled correspondence is kept in hanging folders with the individual
documents arranged in reverse order by control number.
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidance
section.
CCOR-14la Controlled Correspondence
FY 93
ALs
CCOR-141a Controlled Correspondence
FY 93
AXs
CCOR-141a Controlled Correspondence
FY 93
SWERs
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Disposition
Instructions
CCOR-141b
CCOR- 141a's are permanent records. The files should be closed out at the
end of each fiscal year. Any controls whose response is still pending
should be brought forward into the next fiscal year. The closed files
should be kept in the office for 1 additional year, then retired to the FRC.
They will be transferred to the National Archives after they have been in
the FRC for 20 years. Additional disposition information can be found in
the Disposition Guidance section.
Controlled and Major Correspondence of EPA Division
Directors, Branch Chiefs, and Other Supervisory Staff
Documents covered under CCOR-141b include office controls such as
PODs, OMs, etc., that have been signed by OSWER Division Directors or
lower level supervisory staff, but whose response was prepared by ERD
staff. Documents include copies of the incoming letter, the control
tracking sheet, the response letter with enclosures, and any significant data
used in the preparation of the response.
Primary Organization: CCOR-141b controlled correspondence should
first be organized in chronological order by fiscal year.
Secondary Organization: CCOR-14lb correspondence for each fiscal
year should be organized in alphabetical order by the type of controlled
correspondence, as follows:
ILs - use this folder for Incoming Letters.
IMs - use this folder for Incoming Memos.
OLs - use this folder for Outgoing Letters.
OMs - use this folder for Outgoing Memos.
PODs - use this folder for Priority Correspondence.
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Folder Organization Controlled correspondence is kept in hanging folders with the individual
documents arranged in reverse order by control number.
Folder Labels Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidance
section.
CCOR-141b Controlled Correspondence
FY 93
ILs
CCOR-141b Controlled Correspondence
FY 93
OMs
CCOR-141b Controlled Correspondence
FY 93
PODs
Disposition CCOR-141b's have a 10 year life. The files should be closed out at the
Instructions en£j £jscaj year Any controls whose response is still pending
should be brought forward into the next fiscal year. The closed files
should be kept in the office for 1 additional year, then retired to the FRc
They will be destroyed 10 years after closure, or after they have been in
the FRC for 9 years. Additional disposition information can be found in
the Disposition Guidance section.
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<3&
US'
CONT-202b
CONTRACT RECORDS
CONT
Contract records within ERD consist of three record series: EPA Series
202b — Contract Project Officer Records, EPA Series 202C — Contract
WAM/DOPO Records, and EPA Series 258 -- Final Deliverables Resulting
From Contractor Studies and Services Records.
Records Held By: These records are under the custodianship of the
Project Officer (PO), Work Assignment Manager (WAM), or the Delivery
Order Project Officer (DOPO). Whether they are held in central filing
stations or within the individual PO's, WAM's, or DOPO's office, it is still
the responsibility of the PO/WAM/DOPO to ensure proper handling and
disposition of these records.
Contract Project Officer Records
These records consist of documents received or generated by the contract
PO. Documents include: copies of the various work assignments/delivery
orders under the contract; technical and financial progress reports;
performance evaluation board reports; and related correspondence from the
Contracting Officer, WAM/DOPO, and contractor.
Primary Organization: Contract Project Officer files should first be
organized in numerical order by contract number.
Secondary Organization: Files for each contract should be organized
in chronological order by fiscal year.
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Folder Organization
For each contract, documents are kept in hanging or expandable folders
depending on need, and organized according to the subject categories
below. Within each subject category, documents are arranged in reverse
chronological order or, where applicable, in numerical order by WA/DO
number.
1.0 General Correspondence
Correspondence to/from the Contracting Officer, WAM/DOPO
and contractor.
2.0 Contract and Contract Modifications
Copies of the contract and contract amendments, extensions
and modifications; contract specifications, explanations and fact
sheets; and related correspondence.
3.0 Contract Invoices
Copies of contract financial vouchers and invoices.
4.0 Technical Progress Reports and Monthly Reports
Technical progress reports and monthly reports prepared by the
contractor for the contract.
5.0 Financial Approval Statements
Copies of Project Officer approval of monthly financial
statements.
6.0 Contract WAM/DOPO Training
Instructional material for conducting WAM/DOPO training for
contract management certification, and copies of WAM/DOPO
certification signature forms.
7.0 Contract Evaluation and Performance Evaluation Board
Reports
Final evaluation summaries and reports prepared for the
contract.
8.0 Work Assignments/Delivery Orders
Final/signed copies of each initial and modified Work
Assignment/Delivery Order for the contract.
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Folder Labels
9.0 Meetings
Notes of meetings with contractors, including lists of action
items, MOUs, etc.
10.0 Procurement Requests
Requests for increased contract funding, LOE, extensions, etc.
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidance
section.
CONT-202b Contract PO Records FY 92
#68-W2-0005 TMS
1.0 Correspondence
Vol. 1: 10/1/91 - 3/30/92
CONT-202b Contract PO Records FY 92
#68-W2-0005 TMS
1.0 Correspondence
Vol. 2: 4/1/92 - 9/30/92
CONT-202b Contract PO Records FY 92
#68-W2-0005 TMS
2.0 Contract and Contract Mods
Vol. 1: Original Contract
CONT-202b Contract PO Records FY 92
#68-W2-0005 TMS
2.0 Contract and Contract Mods
Vol. 2: Contract Mods
CONT-202b Contract PO Records FY 92
#68-W2-0005 TMS
3.0 Contract Invoices
Vol. 1: 10/91 - 4/92
CONT-202b Contract PO Records FY 92
#68-W2-0005 TMS
3.0 Contract Invoices
Vol. 2: 5/92 - 9/92
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CONT-202b Contract PO Records FY 92
#68-W2-0005 TMS
4.0 Technical and Monthly Progress Reports
Vol. 1: Monthly Reports 10/91 - 5/92
Disposition
Instructions
CONT-202c
CONT-202b's have a 7 year life. The files should be closed out upon
expiration or termination of the contract. The closed files should be kept
in the office for 1 additional year, then retired to the FRC. They will be
destroyed 7 years after closure, or after they have been in the FRC for 6
years. Additional disposition information can be found in the Disposition
Guidance section.
Contract WAM/DOPO Records
Contract WAM/DOPO records consist of documents received or generated
by the Delivery Order Project Officers (DOPOs) or Work Assignment
Managers (WAMs) in documenting the day-to-day administration and
direction of the contracts. Documents include Work Assignments;
Statements of Work (SOW); Level of Effort (LOE) documents; purchase
requests; modifications; workplans; government furnished property 0r
service lists; progress/status reports; monthly financial vouchers and
monthly reports; meeting notes; deliverables review notes; performance
evaluation forms; and all related correspondence.
Primary Organization: Contract WAM/DOPO files should first be
organized in numerical order by contract number.
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Secondary Organization: Files for each contract should then be
organized in chronological order by fiscal year.
Folder Organization
Folder Labels
For each work assignment or delivery order, documents are kept in
hanging folders and organized according to the major breaks and specific
volume headings listed below. Within the volume headings, documents
should be arranged in reverse chronological order.
1.0 Work Assignment Records
Volume 1: Work Assignment File (copy of Work Assignment;
signed action requests; signed copy of WAM
designation form)
Volume 2: WA Amendments/Mods (all amendments and mods,
with signed cover sheets)
Volume 3: Procurement Requests
Volume 4: Workplans (all workplans, including op. form 60)
Volume 5: Gov't Furnished Property Lists
2.0 Work Assignment Correspondence
Volume 1: Internal WA Correspondence
Volume 2: Contractor Correspondence (includes copies of
notices to proceed, stop work, or correct
deficiencies)
Volume 3: Meeting Notes/Phone Logs
3.0 Contractor Performance Records
Volume 1: Progress Reports (weekly, monthly, etc.)
Volume 2: Monthly Vouchers
Volume 3: Contractor Performance Evaluation
Volume 4: Deliverables (copy of contractor transmittal letter,
coversheet, and table of contents; copy of
acknowledgement letter to the contractor; location
sheet for the deliverable; copy of final deliverable
review notes)
Volume 5: Close-out Evaluation
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
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information on label format can be found in the Folder Label Guidance
section.
CONT-202c Contract WAM Records
#68-W2-0005 WA C06
1.0 Work Assignment Records
Vol. 1: Work Assignment File
CONT-2()2c Contract WAM Records
#68-W2-0005 WA C06
1.0 Work Assignment Records
Vol. 2: WA Amendments/Mods
CONT-202C Contract WAM Records
#68-W2-0005 WA C06
2.0 Work Assignment Correspondence
Vol. 1: Internal WA Correspondence
CONT-202C Contract WAM Records
#68-W2-0005 WA C06
3.0 Contractor Performance Records
Vol. 1: Monthly Progress Reports
CONT-202C Contract WAM Records
#68-W2-0005 WA C06
3.0 Contractor Performance Records
Vol. 2: Monthly Vouchers
Disposition
Instructions
CONT-202c's have a 7 year life. The files should be closed out upon
expiration or termination of the contract. The closed files should be kept
in the office for 1 additional year, then retired to the FRC. They will be
destroyed 7 years after closure, or after they have been in the FRC for 6
years. Additional disposition information can be found in the Disposition
Guidance section.
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CONT-258
Folder Organization
Folder Labels
Final Deliverables Resulting From Contractor Studies and
Services Records
These records consist of all final deliverables resulting from a contractor
study or service that have been submitted to the WAM/DOPO.
Primary Organization: Final deliverables should first be arranged
in alphabetical order by contractor name.
Secondary Organization: Files for each contractor are to be
arranged in numerical order by WA or DO number.
All final deliverables for each Work Assignment/Delivery Order are filed
in hanging or expandable folders (or in binders, where applicable), in order
of receipt.
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label formats can be found in the Folder Label Guidance
section.
CONT-258 Final Deliverables
TMS #68-W2-0005
WA #C-06
ERD File Guidance Manual
CONT-258 Final Deliverables
AMS #68-0107281
DO #188
System Life Cycle Management Study
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Expandable folder containing smaller deliverable products:
CONT-258 Final Deliverables
TMS #68-W2-0005
WA #C-06 ERD Records Management Support
CONT-258 Final Deliverables
TMS #68-W2-0005
WA #C-06
Vol. 1: RSCB Program Records File Structure
CONT-258 Final Deliverables
TMS #68-W2-0005
WA #C-06
Vol. 2: RSCB Administrative Files Guidance
Manual
Disposition
Instructions
CONT-258s are permanent records. The files should be closed out at the
end of the project or delivery order. The closed files should be kept in the
office for 1 additional year, then retired to the FRC. They will be
transferred to the National Archives after they have been in the FRC for
20 years. Additional disposition information can be found in the
Disposition Guidance section.
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Folder Organization
Folder Labels
FOIA REQUEST/RESPONSE RECORDS
FOIA-034
Freedom of Information Act (FOIA) Request/Response records are created
in response to all requests for information submitted under the FOIA.
Documents include a copy of the FOIA request attached to a copy of the
response, and any significant supporting information used in preparation
of the response.
Records Held By: These records are held by the Branch secretary or
designee. They do not represent the official Agency copies of the FOIA
Request/Response records, which are held by the EPA FOIA Officer.
Primary Organization: The FOIA files should first be organized in
chronological order by fiscal year.
Secondary Organization: See Folder Organization below.
FOIA Request/Response files are kept in hanging or expandable folders,
with the individual documents arranged in reverse order by "RIN" control
number.
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidance
section.
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FOIA-034 FOIA Request/Response Records
FY 92
Vol.1: RIN #578-875
FOIA-034 FOIA Request/Response Records
FY 92
Vol. 2: RIN #876-980
Disposition
Instructions
FOIA-O34s have a 2 year life. The files should be closed out at the end
of each fiscal year. The closed files should be kept in the office for 2
additional years, then destroyed. Additional disposition information can
be found in the Disposition Guidance section.
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GENERAL CORRESPONDENCE RECORDS
GCOR-127
General Correspondence records relate to the general correspondence and
memoranda files maintained by EPA Division Directors, Branch Chiefs,
and other supervisory staff, used to document the activities and
management of the program.
Records Held By: These records are held by the Branch secretary or
designee. The official copy of the correspondence and memoranda
prepared by the program staff, as part of their specific program
assignment, is held in the related program records file. The "yellow"
consensus copy of the correspondence or memoranda is filed in the
GCOR-127 files.
Primary Organization: General Correspondence files should first be
organized in chronological order by fiscal year.
Secondary Organization: Files for each fiscal year should be
organized in chronological order by month. Special subject files can
be developed in addition to the monthly files, as needed, to
accommodate specific requirements.
Folder Organization
All General Correspondence files are kept in hanging file folders with the
individual documents arranged in reverse chronological order. In some
cases, where there may be a need to maintain certain groups of documents
together for specific retrieval purposes, documents may be filed by subject,
rather than by month. As with the monthly folders, each individual folder
represents one volume of specific information and is identified in the
volume description section of the label.
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Folder Labels
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidance
section.
GCOR-127 General Correspondence
FY 93
Vol. 1: October
GCOR-127 General Correspondence
FY 93
Vol. 12: September
GCOR-127 General Correspondence
FY 93
Vol. 13: TQM
GCOR-127 General Correspondence
FY 93
Vol. 14: Wood Preservatives
When a program staff member generates a letter, additional keywords for
the letter can be assigned by that staff member. When the lnmagic record
for the letter is generated by the Branch secretary, these keywords will be
searchable, as well as information in the subject, date, author, and
addressee fields.
Disposition
Instructions
GCOR-127s have a 5 year life. The files should be closed out at the end
of each fiscal year. The closed files should be kept in the office for l
additional year, then retired to the FRC. They will be destroyed 5 years
after closure, or after they have been in the FRC for 4 years. Additional
disposition information can be found in the Disposition Guidance section.
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LOCAL GOVERNMENT REIMBURSEMENT RECORDS
LGRS-080
Local Government Reimbursement (LGR) records are created when a local
government or governmental entity has conducted a response action to the
release of a hazardous substance and is seeking reimbursement from EPA
for incurred expenses. Records include general information and cost
documentation on the release, the application for reimbursement, and
records of reimbursement.
Records Held By: These records are under the custodianship of the ERD
program staff member assigned to oversee the claims reimbursement
process. Whether the files making up this series are held in the central
files or within the program staff's office, it is the responsibility of the
program staff to ensure the proper handling and disposition of these
records.
Primary Organization: LGR files should first be organized in
alphabetical order by application ID.
Secondary Organization: See Folder Organization below.
Folder Organization
All documents prepared for each reimbursement application are maintained
together as a submission package. Each set of documents are kept in a
regular manila folder in the following order:
1. Reimbursement Application
2. Application Analysis
3. Application Decision
4. Correspondence
5. Miscellaneous Materials
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Folder Labels
Each folder has a label identifying the folder and its contents. An example
of how these files are to be labeled is given below. Additional information
on label format can be found in the Folder Label Guidance section.
LGRS-080 Local Government Reimbursement
PABUFALL 1987 Doylestown Township, PA
Disposition
Instructions
LGRS-080s have a 30 year life. The files should be closed out
immediately after settlement of the reimbursement claim. The closed files
should be kept in the office for 1 additional year, then retired to the FRc.
They will be destroyed 30 years after closure, or after they have been in
the FRC for 29 years. Additional disposition information can be found in
the Disposition Guidance section.
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NCP PRODUCT FILES RECORDS
NCPP-086
National Contingency Plan (NCP) Product Files contain information on
chemical or biological products that may be authorized for use on oil
discharges. The files include technical product data submitted by
companies during the process of registering their products on the NCP
Products List.
Records Held By: These records are under the custodianship of the
ERD/Oil Pollution Response and Abatement Branch (OPRAB) staff
member assigned to maintain and control submission applications.
Note: NCP Product Files are considered Confidential Business
Information (CBI) material and are stored in locked file cabinets
separate from all other program records.
Primary Organization: NCP Product Files should first be organized
in alphabetical order by company name.
Folder Organization
Secondary Organization: See Folder Organization below.
Documents submitted for each product application are maintained together
as an application package. Documents within the package are kept in a
regular manila folder or expandable folder, as needed, and arranged in the
following order.
1. Application
2. Technical Bulletin
3. Correspondence
4. Final Listing Letter
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Folder Labels
Each folder has a label identifying the folder and its contents. An example
of how these files are to be labeled is given below. Additional information
on label format can be found in the Folder Label Guidance section.
NCPP-086 NCP Products
Acme Chemical
Disposition
Instructions
NCPP-086s have a 10 year life. The files should be closed out when they
are superseded or become obsolete. The closed files should be kept in the
office for 3 additional years, then retired to the FRC. They will be
destroyed 10 years after closure, or after they have been in the FRC for 7
years. Additional disposition information can be found in the Disposition
Guidance section.
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Folder Organization
Folder Labels
OFFICE EQUIPMENT SERVICE CONTRACTS RECORDS
OESC-125
Office Equipment Service Contracts records include reference copies of
service agreements for office equipment maintenance, or other contractual
agreements for office services. Documents include copies of signed
service agreements for all office equipment (copiers, printers, etc.) and
other material related to the agreement, such as sample Procurement
Requests (PRs), equipment lists, and costing figures.
Records Held By: Office Equipment Service Contracts records are held
by the Branch secretary or designee. These service contracts, held in
ERD, do not represent the official Agency copies of these contracts.
Primary Organization: Office Equipment Service Contracts files
should first be organized in chronological order by fiscal year.
Secondary Organization: See Folder Organization below.
Documents are kept in hanging file folders with the individual documents
arranged in alphabetical order by service contractor name.
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidance
section.
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OESC-125 Office Equip. Svc. Conts.
FY 92
OESC-125 Office Equip. Svc. Conts.
FY 93
Disposition
Instructions
OESC-125s have a 1 year life. The files should be closed out at the end
of the fiscal year (when the agreements are renewed). The closed files
should be kept in the office for 1 additional year, or until all outstanding
vouchers are cleared, then destroyed. Additional disposition information
can be found in the Disposition Guidance section.
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PS3
PERS-121
PERSONNEL RECORDS
PERS
Personnel records, as an activity group, relate to four separate record
series: EPA Series 121 -- Travel Expense Records, EPA Series 122 —
Personnel Reference Records, EPA Series 123 — Employee Training
Records, and EPA Series 276 -- Time and Attendance Records.
Records Held By: These records are held by the Branch secretary or
designee in a locked file drawer. Copies of personnel evaluations should
be maintained at the Supervisory level. Copies of these records held by
individual staff members are considered personal papers.
Travel Expense Records
Travel Expense records include copies of all travel records used to account
for employees while on travel, and for follow-up travel reimbursements.
Documents include the travel authorization, travel advance application,
transportation request, copy of the travel voucher, copy of the
reimbursement claim, copies of expense receipts, and related
correspondence.
Primary Organization: Travel Expense records should first be
organized in chronological order by fiscal year.
Secondary Organization: Files for each fiscal year should be
organized in alphabetical order by last name, first name of each
employee.
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Folder Organization
Folder Labels
Documents for each employee are kept in regular manila folders, with the
individual documents arranged in reverse chronological order.
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidance
section.
PERS-121 Travel Expense Records FY 92
Watters, Hubert
PERS-121 Travel Expense Records FY 92
Zeller, Elizabeth
Disposition
Instructions
PERS-122
PERS-121s have a 3 year life. The files should be closed out at the end
of each fiscal year. The closed files should be kept in the office for 3
additional years, then destroyed. Additional disposition information can
be found in the Disposition Guidance section.
Position Descriptions and Personnel Reference Records
Personnel Reference records consist of the Branch copies of all ERD staff-
related items. Documents include copies of personnel qualifications,
position descriptions, personnel action forms, performance standards and
evaluations, and other related records. An electronic copy of all current
performance standards is maintained as well.
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Folder Organization
Folder Labels
Primary Organization: Personnel Reference records should first be
organized in alphabetical order by last name, first name of each
employee.
Secondary Organization: See Folder Organization below.
Documents for each employee are kept in regular manila folders with the
individual documents arranged in reverse chronological order. Since some
of the documents included in these files are physically located in either the
Branch supervisor's office or the Branch secretary's file cabinet, the
documents can be organized by the split categories, then in reverse
chronological order.
Each folder has a label identifying the folder and its contents. Since some
of the documents included in these files are physically located in either the
Branch supervisor's office or the Branch secretary's file cabinet,
document categories may be indicated on the folder labels as determined
by the supervisor/secretary. Examples of how these files are to be labeled
are given below. Additional information on label format can be found in
the Folder Label Guidance section.
PERS-122 Personnel Reference Records
McEaddy, Monica
PERS-122 Personnel Reference Records
Norris, Rich
PERS-122 Personnel Reference Records
Stalcup, Dana
PERS-122 Personnel Reference Records
Thomas, Gail
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Disposition
Instructions
isr
PERS-123
PERS-122 files should be closed out when the employee no longer works
in the Branch. At that time, they should be destroyed. Additional
disposition information can be found in the Disposition Guidance section
Employee Training Records
Employee Training records relate to documentation of ERD staff training
Documents include copies of training requests, training authorizations and
training record forms, nomination forms, interagency training agreement
forms, and other related documents.
Folder Organization
Folder Labels
Primary Organization: Employee Training records should first be
organized in chronological order by fiscal year.
Secondary Organization: Files for each fiscal year should be
organized in alphabetical order by last name, first name of each
employee.
Documents for each employee are kept in regular manila folders, with the
individual documents arranged in reverse chronological order.
Each folder has a label identifying the folder and its contents. Exampies
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidanc
section.
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PERS-123 Employee Training Records FY 92
Johnson, Terry
PERS-123 Employee Training Records FY 92
Lopez, David
PERS-123 Employee Training Records FY 92
Mjoness, Mark
Disposition
Instructions
PERS-276
PERS-123s have a 1 year life. The files should be closed out at the end
of each fiscal year. The closed files should be kept in the office for 1
additional year, then destroyed. Additional disposition information can be
found in the Disposition Guidance section.
Time and Attendance Records
Time and Attendance records relate to the accounting of ERD staff time
for payroll and other purposes. Documents include copies of time sheets,
leave slips (including special leave forms, such as for military leave),
doctors' slips, and other related documents.
Primary Organization: Time and Attendance records should first be
organized in chronological order by fiscal year.
Secondary Organization: Files for each fiscal year should be
organized in reverse chronological order by pay period.
Folder Organization
Documents for each pay period are kept in notebooks with all documents
(time sheets, leave slips, etc.) for each employee placed, as a package, in
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Folder Labels
numerical order by the first 4 digits of the employee's social security
number.
The notebooks will be identified on the front cover as shown below.
PERS-276
Time and Attendance Records
FY 93
Disposition
Instructions
PERS-276s have a 1 year life. The files should be closed out at the end
of each fiscal year. The closed files should be kept in the office for i
additional year, then destroyed. Additional disposition information can be
found in the Disposition Guidance section.
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POLICY GUIDANCE/DIRECTIVES RECORDS
(Developed by Specific Programs)
POLI-007
Policy Guidance and Directives records cover all files that document major
policy decisions and program operational procedures providing the
mandates for overall and specific program direction and action.
Documents include: official policy decisions; delegations of authority;
memos which set policy or issue guidance signed by OSWER's Assistant
Administrator and Office Directors; operating guidance; procedures
manuals; other procedural materials; technical resource documents;
regulatory interpretation and implementation documents; task
force/workgroup meeting notes; background material produced during
policy development; and final drafts and comments.
Records Held By: These records are under the custodianship of the ERD
program staff member assigned the task of developing the policy
document. Whether the files making up this series are held in the central
files or within the individual program staff's office; it is the responsibility
of the program staff to ensure the proper handling and disposition of these
records.
Primary Organization: Policy Guidance/Directives records should
first be organized in alphabetical order by the name of the policy
document under development.
Secondary Organization: Files for each policy document should be
organized according to the subject categories below.
1.0 Background Documentation
2.0 Technical Background Documentation
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3.0 General Correspondence
4.0 Workgroup/Task Force Records
5.0 Meetings
6.0 Interim Progress Reports
7.0 Presentation/Briefing Materials
8.0 Draft Guidance Document and Comments
9.0 Final Guidance Document
Folder Organization
Folder Labels
Documents for each subject category are kept in regular manila folders or
hanging or expandable folders depending on the number of documents.
For most subject categories, individual documents can be arranged in
reverse chronological order. In cases where there are a larger number of
documents, individual folders may be identified with special folder subjects
or content descriptions rather than in strictly chronological order. These
special folder subjects are determined by the staff preparing the folders to
reflect individual work product preferences.
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidance
section.
POLI-007 Policy Guidance/Directives Records
Drinking Water
1.0 Background Documentation
Vol. 1: Needs Assessment Survey, Forms
POLI-007 Policy Guidance/Directives Records
Drinking Water
2.0 Technical Background Documentation
Vol. 1: Site Soil Chemical Evaluation Report
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POLI-007 Policy Guidance/Directives Records
Drinking Water
3.0 General Correspondence
Vol. 1: 1990
POLI-007 Policy Guidance/Directives Records
Drinking Water
4.0 Workgroup/Task Force Records
Vol. 1: Members and Mailing List
POLI-007 Policy Guidance/Directives Records
Drinking Water
4.0 Workgroup/Task Force Records
Vol. 2: Meeting Notes - 1990
POLI-007 Policy Guidance/Directives Records
Drinking Water
5.0 Meetings
Vol. 1: DOE Meetings - 1990
POLI-007 Policy Guidance/Directives Records
Drinking Water
6.0 Interim Progress Reports
POLI-007 Policy Guidance/Directives Records
Drinking Water
7.0 Presentation/Briefing Materials
Vol. 1: A A Briefing - 7/90
POLI-007 Policy Guidance/Directives Records
Drinking Water
8.0 Draft Guidance Document and Comments
Vol. 1: 7/89 Draft
POLI-007 Policy Guidance/Directives Records
Drinking Water
8.0 Draft Guidance Document and Comments
Vol. 2: Comments for Draft of 7/89
POLI-007 Policy Guidance/Directives Records
Drinking Water
9.0 Final Guidance Document
Disposition
Instructions
POLI-007s are permanent records. The files should be closed out when
the directive is published. The closed files should be kept in the office for
1 additional year, then retired to the FRC. The files will be transferred to
53
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the National Archives after they have been in the FRC for 19 years
Additional disposition information can be found in the Disposition
Guidance section.
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PROGRAM MANAGEMENT RECORDS
PROG-006
Program Management records consist of two record series: EPA Series
006a -- Program Management Files Held by the Offices of EPA
Administrators, Deputy Administrators, Assistant and Associate
Administrators, Office of General Counsel, Office of Inspector General,
Regional Administrators, Deputy Regional Administrators, and Division
Directors; and EPA Series 006b ~ Program Management Files Held by the
Offices of Branch Chiefs and Other Personnel.
Records Held By: Program Management files are under the custodianship
of the ERD program staff member assigned the project or the Branch
secretary if the files are maintained in the central files. Whether the files
are held in central filing stations or within the individual program staff's
office, it is the responsibility of the program staff to ensure the proper
handling and disposition of these records.
PROG-006a
Program Management Files Held by Offices of EPA
Administrators, Deputy Administrators, Assistant and Associate
Administrators* Office of General Counsel, Office of Inspector
General, Regional Administrators, Deputy Regional
Administrators, and Division Directors*
Documents covered under PROG-006a include records which relate to the
ongoing management of programs at the Division Director level or above.
Types of files include both mission and operational program material and
may be maintained by one or more organizational units. Specific
documents include correspondence, memoranda, and reports relating to
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general policy and program matters, interagency activity, program
implementation records, strategy papers, budget planning records, research,
and other similar materials. They also include project control files
showing assignments, progress and completion of projects.
Program management files may also be part of a set of files comprised of
several record series. For example, system records may include program
management records and contract records as well as system documentation
(see SYST -- System Records). In these cases, the program management
material should be kept in separate folders within the hanging file folders
and labeled appropriately.
Primary Organization: Program Management files should first be
organized in alphabetical order by subject or project name.
Secondary Organization: See Folder Organization below.
Folder Organization
Folder Labels
Documents for each subject or project are filed in expandable or individual
file folders in reverse chronological order. In those cases where there are
a larger number of documents, individual folders may be identified with
special folder subjects or content descriptions rather than in strictly
chronological order. These special folder subjects are to be determined by
the staff preparing the folders to reflect individual work product
preferences.
Each expandable and individual file folder has a label identifying the
record. Where needed, individual folders may be identified by the special
subject contents held in the folder. Examples of how these files are to be
labeled are given below. Additional information on label format can be
found in the Folder Label Guidance section.
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PROG-006a Program Management Records
Eastern Europe - I
PROG-006a Program Management Records
Budget FY 93
Vol. 1: Planning
Disposition
Instructions
PROG-006b
PROG-006a's have a 10 year life. The files should be closed out at the
end of each fiscal year. Documents that are needed for the program in the
current year should be brought forward. The closed files should be kept
in the office for 1 additional year, then retired to the FRC. They will be
destroyed 10 years after closure, or after they have been in the FRC for 9
years. Additional disposition information can be found in the Disposition
Guidance section.
Program Management Files Held by the Offices of Branch Chiefs
and Other Personnel.
Documents covered under PROG-006b include records which relate to the
ongoing management of programs at the Branch Chief level or below.
Types of files include both mission and operational program material and
may be maintained by one or more organizational units. Specific
documents include correspondence, memoranda, and reports relating to
general policy and program matters, interagency activity, program
implementation records, strategy papers, budget planning records, research,
and other similar materials. They also include project control files
showing assignments, progress and completion of projects.
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Program management files may also be part of a set of files comprised of
several record series. For example, system records may include program
management records and contract records as well as system documentation
(see SYST -- System Records). In these cases, the program management
material should be kept in separate folders within the hanging file folders
and labeled appropriately.
Folder Organization
Folder Labels
Primary Organization: Program Management files should first be
organized in alphabetical order by subject or project name.
Secondary Organization: See Folder Organization below.
Documents of each subject or project are filed in expandable or individual
file folders in reverse chronological order. In those cases where there are
a larger number of documents, individual folders may be identified wi^
special folder subjects or content descriptions rather than in strictly
chronological order. These special folder subjects are to be determined by
the staff preparing the folders to reflect individual work product
preferences.
Each expandable or individual file folder has a label identifying the record.
Where needed, individual folders may be identified by the special subject
contents held in the folder. Examples of how these files are to be labeled
are given below. Additional information on label format can be found in
the Folder Label Guidance section.
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PROG-006b Program Management Records
Underground Storage Tanks
PROG-006b Program Management Records
SPCC Database
Disposition
Instructions
PROG-006b's have a 5 year life. The files should be closed out at the end
of each fiscal year. Documents that are needed for the program in the
current year should be brought forward. The closed files should be kept
in the office for 1 additional year, then retired to the FRC. The files will
be destroyed 5 years after closure, or after they have been in the FRC for
4 years. Additional disposition information can be found in the
Disposition Guidance section.
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Folder Organization
Folder Labels
PUBLIC AWARENESS RECORDS
PUBA-081
Public Awareness records include informal outreach materials for the
public or Congress. Records consist of press releases, "Specials,"
"Response Alerts," fact sheets, background papers, reports, talking points,
briefings, news clippings, etc. These files also may contain conference and
symposium materials relating to a program, an element of a program, a
particular regulation, or an environmental event. NOTE: Presentation
briefing materials prepared as part of the development of a specific
regulation or guidance document are filed with the other records for
that regulation or guidance document. PUBA-081 is used for day-to-
day program implementation activities.
Records Held By: Public Awareness records are maintained by the
Branch secretary or designee in the central files.
Primary Organization: Public Awareness records should first be
organized in chronological order by fiscal year.
Secondary Organization: Records for each fiscal year should be
organized in alphabetical order by the name of the subject or event.
Documents for each subject or event are kept in reverse chronological
order in regular manila folders, or hanging expandable folders, if needed.
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
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information on label format can be found in the Folder Label Guidance
section.
PUBA-081 Public Awareness Records
Federal Response Plans
Briefing
PUBA-081 Public Awareness Records
Local Government Reimbursement
Presentation Materials
Disposition
Instructions
PUBA-081s have a 5 year life. The files should be closed out at the end
of each fiscal year. All active materials should be brought forward for the
new fiscal year. The closed files should be kept in the office for \
additional year, then retired to the FRC. They will be destroyed 5 years
after closure, or after they have been in the FRC for 4 years.
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PURCHASE REQUEST/ORDER RECORDS
PURC-124
Purchase Request/Order records consist of reference copies of requests for
office services or supplies. Documents include copies of procurement
requests/order forms (EPA Form 1900-8), requests for facilities labor and
maintenance (EPA 5100-8), requests for maintenance of certain office
machines (typewriters, etc.), requests for duplication or printing, and other
related records, such as justification memoranda, company invoices, service
call reports, and item descriptions and pictures.
Records Held By: These records are held by the Branch secretary or
designee.
Primary Organization: Purchase Request/Order records should first
be organized in chronological order by fiscal year.
Secondary Organization: Files for each fiscal year should be
organized by the name of the company providing the service, or the
category of the service supplied. These company or service categories
are determined by the Branch secretary, as needed.
Folder Organization
Folder Labels
Documents for each request are stapled together as a request package. The
request packages are kept in regular manila folders, arranged in reverse
chronological order.
Each folder has a label identifying the folder and its contents. Examples
of how these files are to labeled are given below. Additional information
on label format can be found in the Folder Label Guidance section.
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PURC-124 Purchase Request/Order Records
FY 93
Cleaning Services
PURC-124 Purchase Request/Order Records
FY 93
Miscellaneous PRs
PURC-124 Purchase Request/Order Records
FY 93
SAVIN Service Calls
Disposition
Instructions
PURC-124s have a 1 year life. The files should be closed oat at the end
of each fiscal year. The closed files should be kept for 1 additional year,
or until all outstanding vouchers are cleared, then destroyed. Additional
disposition information can be found in the Disposition Guidance section.
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REPORTS TO CONGRESS
RCON-155
Reports to Congress consist of reports made to Congress by EPA in
accordance with the mandates of all environmental legislation. Records
include the reports as well as the report work files, which cover records
related to the organization, design, evaluation, and revision of the reports.
Records Held By: These records are under the custodianship of the
program staff member assigned the task of developing the Teport. The
office that is responsible for submitting the report is responsible for
maintaining the record copy of the report and the work files, and for
ensuring their proper handling and disposition.
Primary Organization:
(a) Reports to Congress should first be organized in
chronological order by fiscal year.
(b) Work Files should first be organized in chronological order
by fiscal year.
Secondary Organization:
(a) Reports for each fiscal year should be organized in numerical
order by report number.
(b) Work Files for each fiscal year should be organized in
numerical order by report number. The files for each report
should be organized according to the subject categories
below.
1.0 Background Information
2.0 Workgroup Records
3.0 Correspondence/Notes, etc.
4.0 Red Border Review
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Folder Organization
Folder Labels
5.0 OMB Review
6.0 Concurrence
7.0 Drafts/Comments/Responses
(a) Reports are grouped by fiscal year and stored in magazine file holders
on central shelving units.
(b) Documents for each subject category are kept in regular manila
folders, or hanging folders, depending on the number of documents.
For most subject categories, individual documents can be arranged in
reverse chronological order. In cases where there are a larger number
of documents, individual folders may be identified with special folder
subjects or content descriptions rather than in strictly chronological
order. These special folder subjects are determined by the staff
preparing the folders to reflect individual work product preferences.
(a) Each magazine file holder has a label identifying the holder contents.
An example of how these holders are to be labeled is given below.
RCON-155 Reports to Congress
FY 92
(b) Each folder has a label identifying the folder and its contents
Examples of how these files are to be labeled are given below.
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Additional information on label format can be found in the Folder Label
Guidance section.
RCON-155 Reports to Congress - Workfiles
540/01-87.001 Truck Study
1.0 Background Information
RCON-155 Reports to Congress - Workfiles
540/01-87.001 Truck Study
2.0 Workgroup Records
Vol 1: Members and Mailing List
RCON-155 Reports to Congress - Workfiles
540/01-87.001 Truck Study
2.0 Workgroup Records
Vol. 2: Meeting Notes 5/18
RCON-155 Reports to Congress - Workfiles
540/01-87.001 Truck Study
3.0 Miscellaneous Correspondence/Notes, etc.
Vol. 1: Correspondence
RCON-155 Reports to Congress - Workfiles
540/01-87.001 Truck Study
4.0 Red Border Review
RCON-155 Reports to Congress - Workfiles
540/01-87.001 Truck Study
5.0 OMB Review
RCON-155 Reports to Congress - Workfiles
540/01-87.001 Truck Study
6.0 Concurrence
RCON-155 Reports to Congress - Workfiles
540/01-87.001 Truck Study
7.0 Drafts/Comments/Responses
Vol. 1: Draft - Red Border Review
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RCON-155 Reports to Congress - Workfiles
540/01-87.001 Truck Study
7.0 Drafts/Comments/Responses
Vol, 2: Comments to Red Border Review
Draft
Disposition
Instructions
(a) Reports to Congress are permanent records. The files should be
closed out when the report is sent to Congress. The closed files
should be kept in the office for 5 additional years, then retired to the
FRC. They will be transferred to the National Archives in 5 year
blocks when the most recent record is 20 years old.
(b) Work files have a 6 year life. The files should be closed out when
the report is sent to Congress. The closed files should be kept in the
office for 2 additional years, then retired to the FRC. They will be
destroyed 6 years after closure, or after they have been in the FRC f0r
4 years.
Additional disposition information can be found in the Disposition
Guidance section.
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Folder Organization
Folder Labels
RECORDS DISPOSITION RECORDS
RECO-307
Records Disposition records cover those activities related to the retirement,
archiving, and disposal of ERD office records. Documents include copies
of completed Records Transmittal and Receipt forms (SF 135s) with
attached box inventories; Request to Transfer, Approval, and Receipt of
Records to the National Archives (SF 258s); Notice of Intent to Destroy
Records CNA 13001s); Reference Request - Federal Records Centers
(OF lis); Facilities Services Request (EPA 5100-8s); and other related
records.
Records Held By: These records are held by the Branch secretary or
designee.
Primary Organization: Records Disposition records should first be
organized in chronological order by fiscal year.
Secondary Organization: See Folder Organization below.
Documents for each accession number should be stapled together as a
records retirement package, including the SF 135, box content Ji.si, 5100-H,
and any related SF 258s or NA 13001s and OF lis. Each set is kept in
regular manila folders, or in hanging or expandable folders where needed,
arranged in order by accession number.
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidance
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section.
RECO-307
Records Disposition Records
FY 92
RECO-307
Records Disposition Records
FY 91
Disposition
Instructions
RECO-307s have the same life as the records to which they relate,
records disposition files should be kept until the office receives notice that
the records have been destroyed or transferred to the National Archives
At that time, the records disposition records should be pulled from the files
and destroyed. Additional disposition information can be found in the
Disposition Guidance section.
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REGULATIONS, STANDARDS, AND GUIDELINES RECORDS
REGS-149
Regulations, Standards, and Guidelines records cover all files relating to
the development, review, and approval of published and unpublished rules
and regulations pursuant to environmental legislation passed by Congress.
Documents include: drafts of proposed regulations and guidelines; the
final regulations and guidelines; public and internal comments including
concurring and dissenting opinions; and background documents and other
technical support material generated during the process to develop and
approve the regulation, standard, or guideline.
Records Held By: These records are under the custodianship of the ERD
program staff member assigned the task of developing the regulation.
Whether the files making up this series are held in the central files or
within the individual program staff's office, it is the responsibility of the
program staff to ensure the proper handling and disposition of these
records.
Primary Organization: Regulations, Standards, and Guidelines files
should first be organized in alphabetical order by the name of the
regulation being developed.
Secondary Organization: Files for each regulation should be
organized according to the subject categories below.
1.0 Background Documentation
2.0 Technical Background Documentation
3.0 General Correspondence
4.0 Workgroup/Task Force Records
5.0 Meetings
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6.0 Presentation/Briefing Materials
7.0 Red Border Review
8.0 OMB Review
9.0 AX Review/Concurrence
10.0 Drafts/Comments/Responses
11.0 Proposed Regulation/Federal Register Notice
12.0 Final Regulation/Federal Register Notice
Folder Organization
Folder Labels
Documents for each subject category are kept in regular manila folders or
hanging folders, depending on the number of documents. For most subject
categories, individual documents can be arranged in reverse chronological
order. In cases where there are a larger number of documents, individual
folders may be identified with special folder subjects or content
descriptions rather than in strictly chronological order. These special
folder subjects are determined by the staff preparing the folders to reflect
individual work product preferences.
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidance
section.
REGS-149 Regulations, Standards, and
Guidelines
SPCC-IP
1.0 Background Documentation
Vol. 1: Economic Impact Analysis
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REGS-149 Regulations, Standards, and
Guidelines
SPCC-IP
2.0 Technical Background Documentation
Vol. 1: Options Paper
REGS-149 Regulations, Standards, and
Guidelines
SPCC-IP
3.0 General Correspondence
Vol. 1: 1990
REGS-149 Regulations, Standards, and
Guidelines
SPCC-IP
4.0 Workgroup/Task Force Records
Vol. 1: SPCC Task Force Summary
REGS-149 Regulations, Standards, and
Guidelines
SPCC-IP
4.0 Workgroup/Task Force Records
Vol. 2: Committee #2 - State Regs, and Task
Stds
REGS-149 Regulations, Standards, and
Guidelines
SPCC-IP
5.0 Meetings
REGS-149 Regulations, Standards, and
Guidelines
SPCC-IP
6.0 Presentation/Briefing Materials
Vol. 1: Ashland Oil Spill Presentation - 6/88
REGS-149 Regulations, Standards, and
Guidelines
SPCC-IP
7.0 Red Border Review
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REGS-149 Regulations, Standards, and
Guidelines
SPCC-IP
8.0 OMB Review
REGS-149 Regulations, Standards, and
Guidelines
SPCC-IP
9.0 AX Review/Concurrence
REGS-149 Regulations, Standards, and
Guidelines
SPCC-IP
10.0 Drafts/Comments/Responses
Vol. 1: Draft 10/91
REGS-149 Regulations, Standards, and
Guidelines
SPCC-IP
10.0 Drafts/Comments/Responses
Vol. 2: Draft 10/91 - Comments #4-39
REGS-149 Regulations, Standards, and
Guidelines
SPCC-IP
11.0 Proposed Regulation/Federal Register
Notice
REGS-149 Regulations, Standards, and
Guidelines
SPCC-IP
12.0 Final Regulation/Federal Register Notice
Disposition
Instructions
Published REGS-149s are permanent records. The files should be cloSe
-------
Unpublished REGS-149s have a 10 year life. The files should be closed
out upon the decision not to publish the regulation, standard, or guideline.
The closed files should be kept in the office for 3 additional years, then
retired to the FRC. They will be destroyed 10 years after closure, or after
they have been in the FRC for 7 years.
Additional disposition information can be found in the Disposition
Guidance section.
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D3P
SPCL-005a
SPECIAL STUDIES RECORDS
SPCL
Special Studies records consist of two record series: EPA Series 005a -
Final Reports Resulting from Special Studies, and EPA Series 005b -
Special Studies Supporting Files.
Records Held By: These records are under the custodianship of the ERD
program staff member assigned the special study. Whether the files
holding study records are held in central filing stations or within the
individual program staff's office, it is the responsibility of the program
staff to ensure the proper handling and disposition of these records.
Final Reports Resulting from Special Studies Records
Final Reports Resulting from Special Studies records consist of the final
report of a special study or survey, produced in-house or developed by a
special Agency Task Force. Files do not include final deliverables
produced by contractors which are filed in CONT-258 -- Final Reports
Resulting from Contractor Studies.
Primary Organization: Final Report records should first be
organized in alphabetical order by the name of the special study or
project.
Secondary Organization: See Folder Organization below.
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Folder Organization
Folder Labels
Each final report should be placed in an expandable folder, or binder,
where applicable.
Each file folder or binder has a label identifying the record and describing
the folder contents (usually the name of the report). An example of how
these files are to be labeled is given below. Additional information on
label format is found in the Folder Label Guidance section.
SPCL-005a Final Reports
Underground Storage Tanks
Options Paper June 1992
Disposition
Instructions
SPCL-005b
SPCL-005a's are permanent records. The files should be closed out upon
completion of the study, then retired to the FRC. The closed files will be
transferred to the National Archives 20 years after closure. Additional
disposition information can be found in the Disposition Guidance section.
Special Studies Supporting Records
Special Studies Supporting records relate to those activities involved in
conducting special studies or surveys, whether performed in-house and/or
by contractors. Documents include working papers, drafts, meeting and
workgroup notes, background materials, and other material accumulated
during the course of the study. Copies of contract related documents that
are pertinent to the study and copies of interim deliverables may also be
filed in this series. However, most contract management material should
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be filed in the contract file for that specific work assignment or delivery
order.
Primary Organization: Special Studies Supporting records should
first be organized in alphabetical order by the project or special study
name.
Folder Organization
Folder Labels
Secondary Organization: See Folder Organization below.
Documents for each special study are filed in expandable or individual file
folders in reverse chronological order. In those cases where there are a
larger number of documents, individual folders may be identified with
special folder subjects or content descriptions rather than in strictly
chronological order. These special folder subjects are determined by the
staff preparing the folders to reflect individual work product preferences.
Each expandable and individual file folder has a label identifying the
folder and its contents. Where needed, individual folders may be
identified by the special subject contents held in the folder. Examples of
how these files are to be labeled are given below. Additional information
on label format may be found in the Folder Label Guidance section.
SPCL-005b Special Studies Support Records
Underground Storage Tanks
News clippings/Journal articles
SPCL-005b Special Studies Supporting Records
Underground Storage Tanks
Correspondence
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Disposition
Instructions
SPCL-005b's have a 7 year life. The files should be closed out upon
completion of the study. The closed files should be kept in the office for
at least 1 additional year, then retired to the FRC. They will be destroyed
7 years after closure, or after they have been in the FRC for 6 years.
Additional disposition information can be found in the Disposition
Guidance section.
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SUPERFUND SUPPORT AGREEMENT RECORDS
SUPT-OOlb
Superfund Support Agreement records include records that document all
types of agreements to which EPA is a party and which support the
Superfund program. Specific types of agreements may include Interagency
Agreements, Cooperative Agreements with federal, state and local
government agencies, access agreements, remedial planning and
implementation agreements, State Superfund Contracts (SSCs), Technical
Assistance Grants, and other types of agreements which provide for
program assistance, support, or other sharing of Agency resources and
services. Specific types of records include documentation of significant
actions and decisions, applications, pre-award reviews, funding decisions,
award documentation, agreement oversight activities, correspondence
relating to the agreement, non-compliance/dispute documentation, audit
records, and closeout documentation for completed agreements.
The structure described in this section applies to Interagency Agreements
(IAGs) that establish a separate funding vehicle. Other types of IAGs
utilize existing contracts and require slightly different structures. For IAGs
where an outside Agency "buys into" an existing EPA contract, two record
series must be used: CONT-202b, for the contract-specific records; and
SUPT-OOlb, for the LAG-specific records. For IAGs where EPA buys into
an existing contract at another Agency, only SUPT-OOlb records must be
maintained by the EPA Project Officer. The Project Officer for the other
Agency is responsible for maintaining the official contract records for the
IAG which will be used for all cost recovery procedures.
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Records Held By: Superfund Support Agreement records are held by the
Project Officer for the specific agreement. All such documents kept in
ROB are considered supporting documentation, or controlled reference
copies. The official records for the IAG currently in place in ROB are
held by the U.S. Coast Guard (USCG), as described in the Memorandum
of Understanding between the USCG and the EPA.
Primary Organization: SUPT-00 lb records should first be organize^
numerically by IAG number.
Secondary Organization: The files for each IAG should be kept in
alphabetical order by Site name. Before the first Site file, there
should be a folder containing the overall, "umbrella," L\q
documentation.
Folder Organization
Folder Labels
Superfund Support Agreement records are kept in a hanging file folder
Site-specific IAG records are kept in a red file folder within the hanging
file for each Site. This folder contains the Procurement Requests and other
IAG documentation for that Site. This file folder constitutes another major
break for the Site file (see TREF-008b -- SF Site Files for a description
of the major breaks in a Superfund Site file). Documents are kept
reverse chronological order.
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidance
section.
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SUPT 001b Superfund Support Agreement
IAG # xxxxxxxxx
FY 93
SUPT-OOlb Superfund Support Agreement
Martinsburg Refinery
IAG # xxxxxxxxx 1 Acct # xmxcuca
SUPT-OOlb Superfund Support Agreement
Martinsburg Refinery
IAG # xxxxxxxxx2 Acct # xaxaxccc
Disposition
Instructions
SUPT-OOlb's have a 7 year life. The files should be closed out at the end
of the agreement (end of fiscal year). Remove the red IAG files from the
Site files. The closed files should be kept in the office for at least 1
additional year, then retired to the FRC. They will be destroyed 7 years
after file closure, or after they have been in the FRC for 6 years. It is the
responsibility of the EPA Project Officer for the IAG to ensure that the
USCG is maintaining the necessary documentation and is following the
proper records handling and disposition procedures. Additional disposition
information can be found in the Disposition Guidance section.
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SYSTEM RECORDS
SYST
System records for ERD cover information systems developed for ERD
operations. These systems may have been developed by and/or are
maintained by contractors, but are the responsibility of specific ERD staff.
At publication, ERD systems are covered by the following record series:
EPA Series 059 -- Oil and Hazardous Materials Technical Assistance Data
System (OHMTADS); EPA Series 060 — Emergency Response
Notification System (ERNS); EPA Series 061 ~ Continuous Release
Emergency Response Notification System (CR-ERNS); EPA Series 089 —
Information Tracking Systems; and EPA Series 090 — Administrative
Support Databases. As additional ERD systems are developed or existing
systems undergo major functional changes, assessments will need to be
made to determine under which series the systems fall, or if additional
series are needed.
Records Held By: These records are the responsibility of the ERD
program staff person assigned to monitor or oversee each system. In most
cases, day-to-day operation and maintenance of these systems are
performed by an outside contractor. Pertinent system records are
maintained by the contractor, who is responsible for ensuring that all
systems documentation and data records are handled properly. It is the
responsibility of the system monitor to convey EPA records management
requirements to the contractor so that the contractor knows how the
records must be delivered to EPA at close-out. In addition, in the event
that a system is discontinued, the ERD system monitor is responsible for
implementing final disposition of specific system records as described
below.
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Primary Organization: System records should first be organized
alphabetically by system name.
Secondary Organization: Records should then be organized under
the following record series.
SYST-059
OHMTADS
OHMTADS supports OSWER's response program operations. The
database contains profiles of approximately 1,400 oils and hazardous
substances. The profiles provide chemical identification information
including names, uses, effects, and descriptions of characteristics and
physical properties. In addition, the data system contains lists Qf
regulations covering production, use, or distribution of chemicals.
OHMTADS information is available in a variety of formats, including
O
online, diskette, microfilm, magnetic tape, and CD-ROM. All online users
must access the database through one of several commercial vendors
Magnetic tape versions of the data system are available through the
National Technical Information Service.
OHMTADS is maintained by the Oil Pollution Response and Abatement
Branch (OPRAB), which is directly responsible for ensuring the proper
handling and disposition of all records series and series items that
comprise the records for OHMTADS. Disposition instructions for program
management files and contract records (defined below) are found in the
Disposition Instructions sections of the referenced record series
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Disposition instructions for other systems records are found in the
Disposition Instructions section of this record series.
Folder Organization
OHMTADS records can include several record series. System design and
development records and operational records, such as requirements
analyses, input files, or user's guides, should be filed under this record
series, SYST-059e — OHMTADS Supporting Documentation.
Background material, such as newspaper clippings or journal articles, and
supplementary material, such as meeting notes, briefing packages, or
presentations, are considered program management material and should be
filed under PROG-006b -- Program Management Files of Branch Chiefs
and Below (see PROG-006 — Program Management Files).
Since the ERD system monitor acts as the Work Assignment Manager for
the task of developing and maintaining the system, specific contract-related
material generated in the course of carrying out this function should be
filed under CONT-202c -- Contract WAM/DOPO Records (see CONT-202
-- Contract Records).
Folder Labels
Documents for each of these record series are kept in regular manila
folders within individual hanging file folders. Each set of documents
should be kept in a separate folder in reverse chronological order.
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidance
section.
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For Supporting Documentation Files:
SYST-059e OHMTADS
Supporting Documentation
Requirements Analysis
June 1985
SYST-059e OHMTADS
Supporting Documentation
User's Manual
January 1987
For Program Management Files:
PROG-006b Program Management Files
OHMTADS
Presentations
October 1991
PROG-006b Program Management Files
OHMTADS
Meetings
October 1991
For Contract Files:
CONT-202c WAM/DOPO Records
1-022-0
OHMTADS
68-C2-0107
ICF
1.0 Work Assignment Records
Vol. 4 Workplans
CONT-202c WAM/DOPO Records
1-022-0
OHMTADS
68-C2-0107
ICF
2.0 Work Assignment Correspondence
Vol. 2 Contractor Correspondence
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OHMTADS Electronic Software Programs. Break software programs
when each major version is discontinued and/or when superseded by
routine software updates. Maintain previous version on tapes or
cartridges for 1 year (following required procedures outlined in
NDPD's Operational Policies Manual), then erase by degaussing.
For routine updates, delete the affected program components after
quality assurance check is performed.
Input. Break input systems files according to instructions for EPA
Series 171 - Input/Source Records (See Appendix C) and all other
material according to EPA Series 008 - Technical Reference Material.
Follow disposition instructions for related records.
Electronic Data. Break file when information is submitted to
commercial vendors for distribution. Transfer current data sets to
NDPD tapes. Instruct NDPD to hold tapes for 1 year, then erase by
degaussing.
Outputs and Reports. File with appropriate case file or related
records. Follow file break and disposition instructions for related
records.
Supporting Documentation. Break file when each major version of
the software is discontinued. Keep in office at least 1 year after file
break, then transfer to the FRC, in paper form or on magnetic floppy
disk, those records necessary to document how the system captures,
manipulates, and outputs data. Supporting documentation can include
system requirements, design documents, development documents,
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software source code, data system specifications, file specifications,
code translations, record layouts, user guides, and output
specifications. Destroy when 15 years old.
The OPRAB staff person is responsible for ensuring proper disposition of
system records according to items a, c, and e. All related records held or
produced in all appropriate offices should be destroyed under items b and
d. Additional disposition information can be found in the Disposition
Guidance section.
isr
SYST-060
ERNS
ERNS is a national computer database used to store information on
releases of oil and hazardous substances. Reports can be entered initially
at the National Response Center (NRC) or at an EPA Regional office. The
data are then transmitted electronically to the National Transportation
Systems Center, where they become part of the national ERNS database.
In addition, each EPA Region maintains its own Region-specific database
which is a subset of the national database.
ERNS is under the control of OPRAB, which is directly responsible f0r
ensuring the proper handling and disposition of all records series and series
items that comprise the records for ERNS. Disposition instructions fQr
program management files and contract records (defined below) are found
in the Disposition Instructions sections of the referenced record series.
Disposition instructions for other systems records are found in the
Disposition Instructions section of this record series.
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Folder Organization
ERNS records can include several record series. System design and
development records and operational records, such as requirements
analyses, input files, or user's guides, should be filed under this record
series, SYST-060e ERNS Supporting Documentation.
Background material, such as newspaper clippings or journal articles, and
supplementary material, such as meeting notes, briefing packages, or
presentations, are considered program management material and should be
filed under PROG-006b — Program Management Files of Branch Chiefs
and Below (see PROG-006 -- Program Management Files).
Since the ERD system monitor acts as the Work Assignment Manager for
the task of developing and maintaining the system, specific contract-related
material generated in the course of carrying out this function should be
filed under CONT-202c ~ Contract WAM-DOPO Records (see CONT-202
-- Contract Records).
Documents for each of these record series are kept in regular manila
folders within individual hanging file folders. Each set of documents
should be kept in a separate folder in reverse chronological order.
Folder Labels
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidance
section.
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For Supporting Documentation Files:
SYST-060e ERNS
Supporting Documentation
System Design Document
May 1989
SYST-060e ERNS
Supporting Documentation
User's Manual
January 1993
For Program Management Files:
PROG-006b Program Management Files
ERNS
Presentations
October 1991
PROG-006b Program Management Files
ERNS
Meetings
OMB Meeting - September 1990
For Contract Files:
CONT-202c WAM/DOPO Records
1-012-C
ERNS
68-C2-0107
ICF
2.0 Work Assignment Correspondence
Vol. 1 Internal WA Correspondence
CONT-202c WAM/DOPO Records
1-012-C
ERNS
68-C2-0107
ICF
3.0 Contractor Performance Records
Vol. 1 Progress Reports
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ERNS Electronic Software Programs. Break software programs when
each major version is discontinued and/or when superseded by routine
software updates. Maintain previous version on tapes or cartridges at
NDPD for 3 years (following required procedures outlined in NDPD's
Operational Policies Manual). After 3 years, erase the tapes by
degaussing. For routine updates, delete the affected program
components after quality assurance check is performed.
Input. Break file when information has been entered into the system
or when regional input database has been electronically transferred
into the national database and quality assurance of all (paper and
electronic) data has been verified. Hold paper input and disposition
according to related records. Delete update input systems when no
longer required to support reconstruction of, or serve as a backup to,
the database, whichever is later.
Electronic Data. Break data file at the end of the fiscal year.
Transfer current data sets to NDPD tapes according to NDPD policies.
Current data sets include a consolidation of all ERNS initial input data
captured in the monthly backups performed by regional central
computer centers along with the input received from the NRC.
Instruct NDPD to hold tapes for 30 years, then destroy data through
degaussing.
Outputs and Reports. Break output systems when data has been
transferred to national database. Delete update output systems when
no longer required to support reconstruction of, or serve as a backup
to, the database, whichever is later. File ad hoc reports with
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appropriate case file or related record. Follow file break instructions
for related record. Disposition ad hoc output reports according to
instructions for related records.
e. £ importing Documentation. Break file when each major version of
the software is discontinued. Keep in office at least 1 year after file
break, then transfer to the FRC, in paper form or on magnetic floppy
disk, those records necessary to document how the system captures,
manipulates, and outputs data. Supporting documentation can include
system requirements, design documents, development documents,
software source code, data system specifications, file specifications,
code translations, record layouts, user guides, and output
specifications. Destroy when 15 years old.
The OPRAB staff person is responsible for ensuring proper disposition of
system records according to items a, c, and e. All related records held or
produced in all appropriate offices should be destroyed under items b and
d. Additional disposition information can be found in the Disposition
Guidance section.
SYST-061
CR-ERNS
CR-ERNS is an information system that serves as the central depository
for all continuous release information received by the EPA Regions. The
national database is housed at the National Transportation Systems Center
(NTSC) in Cambridge, MA. CR-ERNS is currently installed in all ten
EPA Regions. The system is specifically designed to help EPA Regional
personnel manage continuous release information and establish priorities
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with respect to the review and evaluation of continuous release reports.
The kinds of information collected include the source of the continuous
release, the environmental medium affected, certain ecological and
population density information, and a brief statement describing the basis
for asserting that the release is continuous and stable in quantity and rate.
CR-ERNS is under the control of the Response Standards and Criteria
Branch (RSCB), which is directly responsible for ensuring the proper
handling and disposition of all record series and series items that comprise
the records for CR-ERNS. Disposition instructions for program
management files and contract records (defined below) are found in the
Disposition Instructions section of the referenced record series.
Disposition instructions for other system records are found in the
Disposition Instructions section of this record series.
Folder Organization
CR-ERNS records can include several record series. System design and
development records and operational records, such as requirements
analyses, input files, or user's guides, should be filed under this record
series, SYST-061e - CR-ERNS Supporting Documentation.
Background material, such as newspaper clippings or journal articles, and
supplementary material, such as meeting notes, briefing packages, or
presentations, are considered program management material and should be
filed under PROG-006b — Program Management Files of Branch Chiefs
and Below (see PROG-006 -- Program Management Files).
Since the ERD system monitor acts as the Work Assignment Manager for
the task of developing and maintaining the system, specific contract-related
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Folder Labels
material generated in the course of carrying out this function should be
filed under CONT-202c -- Contract WAM/DOPO Records (see CONT-202
-- Contract Records).
Documents for each of these record series are kept in regular manila
folders within individual hanging file folders. Each set of documents
should be kept in a separate folder in reverse chronological order.
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidance
section.
For Supporting Documentation Files:
SYST-061e CR-ERNS
Supporting Documentation
Requirements Analysis
February 1988
SYST-061e CR-ERNS
Supporting Documentation
Programmer's Manual
August 1990
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For Program Management Files:
PROG-006b Program Management Files
CR-ERNS
Presentations
October 1991
PROG-006b Program Management Files
CR-ERNS
Meetings
OMB Meeting - September 1990
For Contract Files:
CONT-202c WAM/DOPO Records
1-012-C
CR-ERNS
68-C2-0107
ICF
3.0 Contractor Performance Records
Vol. 2 Monthly Vouchers
CONT-202c WAM/DOPO Records
1-012-C
CR-ERNS
68-C2-0107
ICF
3.0 Contractor Performance Records
Vol. 3 Contractor Performance Evaluation
a. CR-ERNS Electronic Software Program. Break software programs
when each major version is discontinued and/or when superseded by
routine software updates. Maintain current version on tapes or
cartridges for 3 years (following required procedures outlined in
NDPD's Operational Policies Manual). After 3 years, destroy the
data on the tapes by degaussing. For routine updates, delete those
program components undergoing revision after quality assurance check
has been performed.
Disposition
Instructions
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Input. Break file when information has been entered into the system
or when regional input database has been electronically transferred
into the national database and quality assurance of all (paper and
electronic) data has been verified. Hold paper input and disposition
according to related records. Delete update input systems when no
longer required to support reconstruction of, or serve as a backup to,
the database, whichever is later.
Electronic Data. Break data file at the end of the fiscal year.
Transfer current data sets to NDPD tapes according to NDPD policies.
Instruct NDPD to hold tapes for 30 years, then destroy data through
degaussing.
Outputs and Reports. Break output systems when data has been
transferred to national database. Delete output systems when no
longer required to support reconstruction of, or serve as a backup to,
the database, whichever is later. File ad hoc reports with appropriate
case file or related record. Follow file break instructions for related
record. Disposition ad hoc output reports according to the instructions
for related records.
Supporting Documentation. Break file when each major version of
software is discontinued. Keep in office at least 1 year after fiie
break, then transfer to the FRC, in paper form or on magnetic floppy
disk, those records necessary to document how the system captures,
manipulates arid outputs data. Supporting documentation can include
system requirements, design documents, development documents,
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software source code, data system specifications, file specifications,
code translations, record layouts, user guides, and output
specifications. Destroy when 15 years old.
SYST-089
Folder Organization
The RSCB staff person is responsible for ensuring proper disposition of
system records according to items a, c, and e. All related records held or
produced in all appropriate offices should be destroyed under items b and
d. Additional disposition information can be found in the Disposition
Guidance section.
INFORMATION TRACKING SYSTEMS
This record series covers a broad range of primarily PC-based systems
used to track the processing of permits, applications, reports, approvals,
and other actions relating to records that are disposable under the NARA
General Records Schedules or an approved Agency records disposition
schedule.
At publication, in ERD, the Local Government Reimbursement Tracking
System would fall under SYST-089.
System records are kept in regular manila folders within individual
hanging file folders. Each file folder contains records in a single subject
category, determined by the responsible staff member as needed. Within
each subject category, documents are arranged in reverse chronological
order. Records can include design and development documents, user
guides, input records, output records, etc.
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Folder Labels
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidance
section.
SYST-089e Information Tracking Systems
Local Gov't Reimbursement Tracking System
System Design Document
SYST-089e Information Tracking Systems
Local Gov't Reimbursement Tracking System
User's Manual
Disposition
Instructions
a. Electronic Software Programs. Break software programs when
superseded by routine software updates. Delete affected program
components after quality assurance check is performed.
b. Input. Break input file according to instructions for EPA Series 171 .
- Input/Source Records (see Appendix C). Follow disposition
instructions for related records.
c. Electronic Data. Break file when superseded. Maintain individual
records for at least 2 years after completion of action and then delete
when no longer needed. If tracking system is used as finding aid to
the records, maintain individual entries as long as the records are
retained or as long as finding aid is needed, whichever is longer.
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d. Outputs and Reports. File with appropriate case files or related
records. Follow file break instructions for related records. Follow
disposition instructions for related records.
e. Supporting Documentation. Break file when superseded. Keep in
office for up to 2 years after file break, then transfer to the FRC.
Files will be destroyed when 15 years old.
Additional disposition information can be found in the Disposition
Guidance section.
SYST-090
Folder Organization
ADMINISTRATIVE SUPPORT DATABASES
Administrative Support Databases include a broad range of primarily PC-
based systems used to support administrative or housekeeping functions,
which contain information derived from paper copy records or from other
electronic data systems, which are disposable under the NARA General
Records Schedules or an approved Agency records disposition schedule.
Examples of these databases include budget preparation, property
management, program planning, spending, accounting, activity reporting,
and resource allocation systems.
At publication, in ERD, the Records Management Database System
(RMDS) would fall under SYST-090.
System records are kept in regular manila folders within individual
hanging file folders. Each file folder contains records in a single subject
category, determined by the responsible staff member as needed. Records
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Folder Labels
can include design and development documents, user guides, input records
output records, etc.
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label format can be found in the Folder Label Guidance
section.
SYST-090e Administrative Support Databases
ERDRMDS
System Design Document Jan. 1993
SYST-090e Administrative Support Databases
ERD RMDS
User's Manual Feb. 1993
SYST-090e Administrative Support Databases
ERD RMDS
Training Manual Feb. 1993
Disposition
Instructions
a Electronic Software Programs. Break software programs when
superseded by routine software updates. Delete affected program
components after quality assurance check is performed.
b. Input. Break input file according to instructions for EPA Series 17 \
- Input/Source Records (see Appendix C). Follow disposition
instructions for related records.
c. Electronic Data. Break file when superseded. Maintain individual
records for at least 2 years after completion of action and then delete
when no longer needed. If tracking system is used as finding aid to
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the records, maintain individual entries as long as the records are
retained or as long as finding aid is needed, whichever is longer.
d. Outputs and Reports. File with appropriate case files or related
records. Follow file break instructions for related records. Follow
disposition instructions for related records.
e. Supporting Documentation. Break file when superseded. Keep in
office for up to 2 years after file break, then transfer to the FRC.
Files will be destroyed when 15 years old.
Additional disposition information can be found in the Disposition
Guidance section.
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Folder Organization
Folder Labels
Disposition
Instructions
TRACKING AND CONTROL RECORDS
TRKG-168
Tracking arid Control records include logs, registers, and other records in
hard copy or electronic form that are used to control or document the
status of correspondence, reports, or other records. Logs may show the
receipt date, date of reply, office of referral, nature and purpose of request,
and other processing information.
Records Held By: These records are maintained by the Branch secretary
or designee.
Primary Organization: Control logs should first be organized in
chronological order by fiscal year.
Secondary Organization: Listings in each fiscal year should be
maintained in chronological order by date of receipt.
Listings are kept in a 3-ring notebook.
The notebook is identified on the front cover as "Controlled
Correspondence Log."
TRKG-168s are disposable records. They may be destroyed when related
records (FOIA-034, CCOR-141, CCOR-146 records) are destroyed, or
when no longer needed, whichever is later. Additional disposition
information can be found in the Disposition Guidance section.
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TECHNICAL REFERENCE
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TREF-008a
TECHNICAL REFERENCE
TREF
Technical reference material consists of the technical or general reference
files maintained by the Branches to enable the program offices to perform
their missions. The technical reference material in ERD consists of four
categories: EPA Series 008a - Technical Reference; EPA Series 008b --
Superfund Site Files; EPA Series 008c — Oil Spill Response Files; EPA
Series 008d — Federal Response Plan Incident Files.
Superfund Site files, Oil Spill Response files, and Federal Response Plan
(FRP) Incident files are maintained in the central files and in the working
files of individual program staff. The official copies of these files are
maintained in the Regions or by other offices. Headquarters staff maintain
reference copies only. As such, these files are considered non-record
material.
Technical Reference Material
Technical reference material consists of the technical or general reference
files maintained by the Branches to enable the program to perform its
mission. Collections may be on general environmental research topics or
issues, the program mission, or management and administrative questions.
Files or collections may consist of items such as technical publications,
manuals, extra copies of issue papers, reports, or studies originated by or
for the program; information copies of studies produced by other
programs; journal articles; books; video tapes; photographs; and other
material regardless of medium.
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In addition to the items maintained on the shelving units, there may be
reference file collections in the central files. These reference collections
consist of hanging file folders containing information on a specific subject,
such as the chemical reference files, and reference copies of Underground
Storage Tank (UST) files, and International Response files.
Technical reference material is non-record material.
Records Held By: Technical reference files are under the custodianship
of the program staff, if maintained by individual staff members, or the
program secretary, if maintained in the central files area.
Primary Organization: Program technical reference files should be
organized in alphabetical order by subject categories. These subject
categories should be determined by the program staff who work with
the material. For a list of the proposed subject headings and
organization, see the Technical Reference Material: Subject
Headings and Definitions section.
Secondary Organization: See Folder Organization below.
Folder Organization
Folder Labels
Books and notebooks will be kept on the shelving units. Smaller
documents will be grouped into magazine file holders by subject category
These holders also will be kept on the shelves.
Each file holder will have a label identifying the general subject category
Examples of how these holders are to be labeled are given below.
Individual documents will have a label attached to the item identifying it
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TREF-008a Technical Reference
Miscellaneous
T raining/Orientation
TREF-008a Technical Reference
Community Relations
TREF-008a Technical Reference
Ground Pollution
Examples of how these items are to be labeled are given below.
Additional information on label format can be found in the Folder Label
Guidance section.
TREF-008a Technical Reference
Coping with an Oiled Sea
Oil
Cleanup Remedies
TREF-008a Technical Reference
Clean Air Act Amendments of 1990:
Executive Summary
Air Pollution
TREF-008a's are disposable records. They are to be retained until they are
obsolete or superseded, at which point they are to be destroyed.
Additional disposition information can be found in the Disposition
Guidance section.
Disposition
Instructions
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TREF-008b Superfund Site Files
The Superfund Site files in the Response Operations Branch (ROB) consist
of materials documenting removal actions and other response activities at
Superfund sites throughout the EPA regions.
Records Held By: The ERD Superfund Site files are copies of official
site records and are used by ERD/ROB staff for informational and
reference purposes. The files are under the control of the Branch secretary
when they are stored in the central files, or the program staff when they
are maintained by individual staff members as working files. The official
file copies of site files are maintained by the regional offices, which are
responsible for ensuring their proper disposition.
Primary Organization: Superfund Site files should first be organized
in numerical order by region.
Secondary Organization: Site files for each region should be
organized in alphabetical order by state, and in alphabetical order by
site name within each state.
Folder Organization
For each site file, documents are kept in regular file folders within hanging
file folders and organized according to the subject categories below
Within each subject category, documents are arranged in reverse
chronological order. A time log, located in the front of each file, indicates
the start and end dates of response/removal actions.
1.0 Action Memos
2.0 Polreps
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Folder Labels
3.0 Miscellaneous
4.0 OSC Report
5.0 SUPT-OOlb Superfund Support Agreements (See Supt-OOlb —
Superfund Support Agreements for handling and disposition
instructions for this record series.)
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
information on label formats can be found in the Folder Label Guidance
section.
For the hanging file folder labels:
TREF-008b-SF Site Reg. 3/PA
Son of Lansdowne Site
Lansdowne, Delaware Co., PA
FY 92
For the corresponding file folder labels:
Son of Lansdowne -
SF Site 3/PA
Lansdowne, Delaware Co., PA
1.0 Action Memo
Son of Lansdowne -
SF Site 3/PA
Lansdowne, Delaware Co., PA
2.0 Polreps
Disposition
Instructions
TREF-008b's are disposable records. They are to be retained until they
are no longer needed by the program office. At that time, they may be
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disposed of in accordance with Agency disposition procedures for non-
record material. Additional disposition information can be found in the
Disposition Guidance section.
teg*
TREF-008c
Oil Spill Response Files
Oil Spill Response files consist of material on ERD responses to incidents
under the Oil Pollution Act of 1990. Funding is provided through the U.S.
Coast Guard. ERD/ROB staff members maintain files on oil spill response
actions in their respective regions in the same manner as Superfund Sites.
There are two types of Oil Spill Response files maintained by ERD/ROB:
a) files for Significant oil spills and, b) files for Secondary oil spills.
Significant spills are those of a magnitude great enough to warrant a
removal or cleanup action.
Secondary spills are those for which no removal or cleanup action is
deemed necessary; the files may consist of only a single Polrep per spill.
Records Held By: ERD/ROB's Oil Spill Response files are copies of
official response files and are used by ROB staff for informational and
reference purposes. The files are under the control of the Branch secretary
when they are stored in the central files, or the program staff when they
are maintained by individual staff members as working files. The official
file copies of Oil Spill Response files are maintained by the Coast Guard,
which is responsible for ensuring proper disposition.
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Primary Organization: (a) Significant Oil Spill Response files
should first be organized in numerical order by region; and (b)
Secondary Oil Spill Response files should first be organized in
chronological order by fiscal year.
Secondary Organization: (a) Significant Oil Spill Response files for
each region should be organized in alphabetical order by state, and
alphabetically by site within each state; and (b) Secondary Oil Spill
Response files for each fiscal year should be arranged in numerical
order by region.
Folder Organization
(a) For each significant Oil Spill Response file, documents are kept in
regular file folders within hanging folders, with the individual
documents arranged according to the subject categories below. Within
each subject category, documents are arranged in reverse
chronological order. A time log, located in the front of each file,
indicates the start and end dates of response/removal actions.
1.0 Polreps
2.0 Miscellaneous
3.0 OSC Report
(b) Secondary Oil Spill Response files are kept in regular file folders
within hanging folders. Each hanging file folder contains files for one
region. Within the regional folder, Polreps are arranged in reverse
chronological order.
Folder Labels
Each folder has a label identifying the folder and its contents. Examples
of how these files are to be labeled are given below. Additional
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information on label formats can be found in the Folder Label Guidance
section.
(a) For Significant Oil Spill Responses:
For the hanging file folder labels:
TREF-008c: Oil Spill Reg. 3/WV
Martinsburg Refinery Spill
Martinsburg, Berkeley Co., WV
TREF-008c: Oil Spill Reg. 4/GA
Atlanta Oil
Atlanta, Fulton Co., GA
For the corresponding file folder labels:
Martinsburg Refinery - Oil Spill3/WV
Martinsburg, Berkeley Co., WV
1.0 Polreps
Staunton Exxon Storage Facility - Oil Spill,
3/VA
Staunton, Augusta Co., VA
3.0 OSC Report
Examples of a subject category folder containing a large volume of
documents are given below.
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Staunton Exxon Storage Facility - Oil Spill,
3/VA
Staunton, Augusta Co., VA
1.0 Polreps
Vol. 1 #1-65
Staunton Exxon Storage Facility - Oil Spill,
3/VA
Staunton, Augusta Co., VA
1.0 Polreps
Vol. 2 #66-103
(b) For Secondary Oil Spill Responses:
For the hanging file folder labels:
TREF-008c: Oil Spills
FY 1993 - Polreps
TREF-008c: Oil Spills
FY 1992 - Polreps
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For the corresponding file folder labels:
Oil Spills
FY 1993 - Polreps
Region 4
Oil Spills
FY 1992 - Polreps
Region 7
Vol. 1 Oct 91 - Mar 92
Oil Spills
FY 1992 - Polreps
Region 7
Vol. 2 Apr 92 - Sept 92
Disposition
Instructions
TREF-OOSc's are disposable records. They are to be retained until they are
no longer needed by the proBram office. At that time, they may be
disposed of in accordance with Agency disposition procedures for non-
record material. Additional disposition information can be found in the
Disposition Guidance section.
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L
TREF-008d
Federal Hesponse Plan Incident Files
Federal Response Plan (FRP) Incident files consist of material related to
EPA participation in federal disaster response actions as part of FEMA
response teams. The resulting file may include numerous Superfund
responses relating to any one particular incident.
Records Held By: ERD/ROB's FRP Incident files are copies of official
response files and are used by ROB staff for informational and reference
purposes. The files are under the control of the Branch secretary when
they are stored in the central files, or the program staff when they are
maintained by individual staff members as working files. The official file
copies of FRP incidents are maintained by the regions which are
responsible for ensuring proper disposition.
Primary Organization: FRP files should first be organized in
chronological order by fiscal year.
Secondary Organization: FRP files for each fiscal year should be
organized in alphabetical order by incident name.
Folder Organization
Documents for each FRP Incident file are kept in hanging file folder(s).
Each set of regional and Headquarters documents are kept in regular
manila folders arranged according to the subject categories below. Within
each subject category, documents are arranged in reverse chronological
order.
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Folder Labels
1. Headquarters Activities
2. Situation Reports
3. General Background
Each folder has a label identifying the folder and the incident to which it
pertains. Examples of how these files are to be labeled are given below.
Additional information on label formats can be found in the Folder Label
Guidance section.
For the hanging file folder labels:
TREF-008d - FRP Incident
San Fran. Earthquake 1989
TREF-008d - FRP Incident
Hurricane Andrew 1992
For the corresponding file folder labels:
FRP Incident
Hurricane Andrew 1992
Headquarters Activities
FRP Incident
Hurricane Andrew 1992
Sitreps
FRP Incident
Hurricane Andrew 1992
General Background
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Disposition
Instructions
TREF-008d's are disposable records. They are to be retained until they
are no longer needed by the program office. At that time, they may be
disposed of in accordance with Agency disposition procedures for non-
record material. Additional disposition information can be found in the
Disposition Guidance section.
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TECHNICAL REFERENCE MATERIAL:
SUBJECT HEADINGS AND DEFINITIONS
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TECHNICAL REFERENCE MATERIAL:
SUBJECT HEADINGS AND DEFINITIONS
The ERD technical reference material has been divided into subject
categories for ease of shelving and retrieval. Other subject categories can
be added as needed.
On the shelves located throughout ERD, subject categories are indicated
by labels. The documents are shelved according to the subject category.
Within each category, records should be shelved in alphabetical order by
title.
Subject Heading
Definitions
Miscellaneous:
This subject category contains several
background items that are not related to a
specific program, law, etc. The items are
further divided into the following
subheadings:
1) Distribution Copies
2) Journals
3) Federal Registers
4) Guidance
5) Directories/Brochures
6) Training/Orientation
7) Technology
8) Other
Professional Reference: This subject category contains guides for
improving writing, speaking, and decision-
making skills, as well as guidance on
developing regulations, guidelines, etc.
Research & Development: This subject category contains reports of
technical research and development efforts,
as well as guidelines for conducting these
experiments.
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Community Relations:
Emergency Response;
Ground Pollution:
Air Pollution:
Water Pollution:
Oil:
Hazardous Substances:
Solid Waste:
Chemicals:
This subject category contains items relating
to the public's perception of EPA. Items are
intended either for EPA use in dealing with
the public, or for public distribution to
inform them of various programs and their
impact.
This subject category contains items dealing
with the Emergency Response Team, the
Environmental Response Team, and the
National Response Team.
This subject category contains items dealing
with pollution in the ground.
This subject category contains items dealing
with pollution in the air.
This subject category contains items dealing
with pollution in water.
This subject category contains items dealing
with oil spills and releases. The items are
further divided into the following sub-
headings:
1) Response Preparedness
2) Cleanup Remedies
3) Oil Spills
4) Miscellaneous
This subject category contains items dealing
with the release of hazardous substances
other than oil or specific chemicals.
This subject category contains items dealing
with the treatment and disposal of solid
waste.
This subject category contains items dealing
with the release of chemicals.
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Regulations:
This subject category contains copies of
specific regulations.
Superfund: This subject category contains items directly
connected with the Superfund program.
These items are further divided into the
following categories:
1) Guidance
2) Legislation
3) Publications and Reports
4) Response Actions
5) Technology
6) SITE
7) Status
8) Training
RCRA: This subject category contains items directly
related to RCRA.
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FILING GUIDANCE AND PROCEDURES
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Filing Documents
FILING GUIDANCE
The real test of any filing system is not how quickly material can be filed,
but how quickly it can be retrieved when needed. Therefore, care should
be taken in processing, classifying, and filing material. The procedures
described below should be followed in the identification, storage and
retrieval of ERD files.
All files are arranged according to the order indicated by the file structure
and by the guidance provided in this manual for each record series. As a
result of following this guidance, all files are separated according to their
related record series. Within each series, most files are arranged in
alphabetical order by file name. In some cases, where appropriate, files
are arranged in chronological or numerical order. This organization holds
true whether files are maintained in the central files or in individual
workstations.
ERD staff are responsible for maintaining their own files. This
responsibility involves:
• filing documents received or generated in the appropriate file
folder;
• identifying, preparing, and organizing file folders according to the
instructions and structure presented in this manual;
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• assigning appropriate keywords to correspondence that is to be
filed in the administrative files, before turning it over to the
Branch secretary for filing; and
• ensuring proper disposition of their files.
Disposal of
Extraneous
Documents
In order to ensure the integrity of each file, it is important that staff review
all documents going into the file. Those documents identified in the
contents sections of the Guidelines on the File Structure are to be
considered official records, unless noted otherwise. Any other key
documents generated should be included in the appropriate folder
according to the recommended folder organization for the record series.
There are certain extraneous documents that should not be included as
official contents of the files. These documents are to be considered
working papers and can be destroyed when no longer needed, or made part
of the individual papers or technical reference of the staff person holding
them. They should not be maintained in the official file folders.
Examples of these extraneous documents include:
• Extra copies of paper documents (e.g., reports, letters, etc.). Extra
copies are any copy past the second copy which contain no
significant comments or notations.
• Letters and notes of a purely personal nature.
• EPA internal memoranda unrelated to the record series.
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EPA policy and guidance memoranda unrelated to the record
series.
• Blank EPA forms, EPA letterhead, blank pads of paper, and
phone pads.
• Telephone slips, phone notes, E-Mail messages that are
facilitative and not substantive or decisional in nature.
• Empty file folders, empty envelopes without relevant markings or
addresses, etc.
• Draft documents. Where a document has gone through several
drafts, only the final draft should be included. Other draft
versions should be included only if they contain information
significant to the deliberative process that has not been included
in the final version. The program staff member responsible for
maintaining the official files must determine which commented
draft copies are to be kept.
• Drafts that are not circulated for comment or review.
• Drafts that contain only editorial changes suggested by others.
There are other documents that may or may not be considered extraneous
and can be included in the file after consultation with program and records
management staff. These include:
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Rough versions or outlines of reports prepared for the record
series.
Draft documents circulated for review and comment.
Draft documents that contain substantive changes, especially
drafts that contain information significant to the deliberative
process that has not been included in the final version.
Extra copies of draft or final reports which contain notations and
comments by reviewers. Where the comments and notations have
been summarized and included in a separate official document,
the extra copies may be extraneous.
Research notes. Such working papers should only be included
when they contain information significant to the deliberative
process.
Copies of reference materials and reports produced by non-ERD
offices. Reference materials and reports should only be included
when they contain information significant to the deliberative
process.
Blank non-EPA forms and non-EPA letterhead that may be
evidential in nature.
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Preparing the File
Copies
The following preliminary steps should be taken in preparing documents
for filing:
• Remove rubber bands, paper clips, pins, and other temporary
fasteners.
• Determine that the document is complete, and account for all
enclosures.
• See that parts of another file are not accidentally included.
• Mend or reinforce all torn or frayed papers with transparent
mending tape .
• Destroy identical duplicate copies, except originals and official
copies.
• Remove all copies of mail control forms and routing slips, except
those which contain significant information.
File Maintenance
Neatness and orderliness are the essence of filing efficiency. Additional
standards that will help to maintain the files in a neat and orderly manner
include:
• Keep Filing Current. File material each day on an established
schedule.
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Maintain Loose Filing. Loose filing of papers in subject file
folders is recommended. Papers should not be fastened to the
folders. Loose filing permits the removal of one or more pieces
of paper from the folder without removing the entire folder from
the file. Papers pertaining to an individual transaction should be
stapled together in the upper left-hand corner before they are
placed in the folder.
Keep Papers Straight. When placing material in file folders, do
not let the papers extend beyond the edges of the folders.
Avoid Overloading File Folder. When a file folder gets full
(about 3/4" thick), prepare a new one and indicate the dates or
other identifiers covered on both the old and the new folders.
The new folder should be placed in front of the old folder.
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FILING PROCEDURES
The following procedures should be followed for the identification,
storage, and retrieval of ERD administrative, program, and technical
reference files. In the ERD office, there is no central file room to control
access to and retrieval of documents. A designated records specialist,
whose responsibility it is to coordinate the flow of documents between the
program staff and the central files, is necessary to maintain control over
the program records. This person would be responsible for ensuring that
proper procedures, as described in this manual, are followed. The
following procedures are based on the assumption that there will be such
a position.
ADMINISTRATIVE FILES
The administrative (chron) files are maintained by the Branch secretary or
designee. The secretary is responsible for classifying and filing the
"yellow" concurrence copies of correspondence for the general
administrative correspondence.
For program-specific correspondence, the program staff member who
generates it should designate the appropriate subject keywords before
giving the correspondence to the secretary for filing and keying into the
Inmagic system.
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Assignment of
Keywords
Administrative files are maintained in monthly and subject files.
Keywords assigned by the program staff member can be used to search for
and identify the records in Inmagic. This is a very important process, for
the ability to quickly and easily locate papers after they have been filed
depends largely on the care and skill used in assigning keywords. Be
consistent in classifying material for filing. The following general
procedures will be helpful in determining the subject and keywords for an
item.
• Read and analyze the first paragraph of the correspondence or
other material to determine in which main file group it belongs.
Determine the most outstanding or prominent subject, that is, the
subject by which the papers are most likely to be requested. This
subject may or may not be identical to what is stated in the
subject line. Annotate the document with the selected keyword(s)
in the upper right-hand comer, in pencil.
• Look for essential key words or phrases in the text of the
correspondence.
The subject line of the correspondence may be misleading or not
inclusive enough. Do not determine the keywords on this basis
alone.
File Creation
On a scheduled basis, take correspondence from the "To Be
Filed" tray located at the secretarial workstation. Enter RMDS
and create a record in the administrative database for the
document.
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• The keywords should be written, in pencil, in the upper right-
hand corner on the first page of the correspondence.
• Place the correspondence in its proper monthly or subject file
folder, making sure that the latest dated piece is placed in the
front of the folder.
File
Circulation/Retrieval
File Return
File requests should be made through the Branch secretary who will
retrieve the needed material. Checkout card (Figure 1), available at the
secretarial workstation where the administrative files are kept, will be filled
in when an item is borrowed. The card will be placed in the record's
place until the record is returned.
Return file material to the box labeled "File Returns," located at the
secretarial workstation where the files are stored. The Branch secretary
will refile the material and remove the check out card. The information
on the card will be crossed out and the card will be put back in the pile
to be used again.
PROGRAM RECORDS
Program records in the central files are maintained by the Branch secretary
and/or the Branch records specialist. The records specialist is responsible
for ensuring that closed files are complete and properly filed after closure,
and that all processing procedures are followed.
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File Creation
In order to facilitate records filing and retrieval, standardized file structures
and naming conventions for the program records have been developed.
Program staff responsible for a particular record group, such as Policy
Directives, Regulations, or Contracts, are responsible for ensuring that the
files correspond to the conventions described in this manual. However, to
ensure that standard conventions are used throughout the program, the
following procedures should be used when a new programmatic activity is
started.
1) When a new regulation, policy guidance/directive, contract, or
Report to Congress is started, the responsible staff member should
complete a Task Start-Up form (Figure 2) and give it to the ERD
records specialist.
2) The records specialist will create a complete set of tabbed file
folders for that particular record series. The file labels will
correspond to the labeling conventions as described in the
Guidelines on the File Structure section.
3) As material is collected or generated, the program staff person
must create manila file folders to hold it. To create labels for the
folders, the staff member enters RMDS and creates a record for
each file folder, from which a folder label is generated. (See the
RMDS User's Manual for label generation procedures). it
important to remember that each record in the RMDS Program
Records database represents a folder, not an individual document
When a new document is to be placed in an existing file folder,
a new RMDS record should not be created. However, if thc
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document is of particular significance, the staff member may
enter RMDS and make an entry for this document in the TITLE
field of that folder's database record. Instructions for using
RMDS can be found in the RMDS User's Manual.
File
Circulation/Retrieval
File Return
File Closeout
Checkout cards will be placed in all central filing stations. It will be the
responsibility of ERD staff checking out files from the central files to fill
out the card with name, date, and the name of the folder being checked
out. This card is filed in place of the removed folder. When returning the
folder, the card is removed and the checkout information crossed out.
1) Take a checkout card from the pile located at the Branch
secretarial workstation.
2) Complete the card with name, date, record series name, major
break (1.0, 2.0 etc.).
3) Place the checkout card in the hanging folder at the proper
location, where the retrieved file was stored.
1) Return the file to the ERD records specialist.
2) (Records specialist): Replace the file in the correct central files
location.
3) Cross out the information on the checkout card and return the
card to the central card pile.
(Note: If there is no designated records specialist, the file user should
complete Steps 2 and 3 above.)
Program staff:
For program staff closing out an active file prior to placement in the
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central files: do not place the files directly in the central files. Contact
the Branch records specialist.
1) Complete a Central Files Transfer form (Figure 3).
2) Print a listing of the program's records which have been entered
into the RMDS database.
3) Remove the files from your file drawers and place them in a
records box, in the prescribed order.
4) Place the Central Files Transfer form and the inventory list in the
front of the box.
5) Contact the records specialist to retrieve the box/boxes for central
filing.
Records specialist:
Quality Assurance
1) Using the RMDS inventory, ensure that:
all records in the inventory are in the box; and
all records in the box are included in the inventory.
2) Annotate the inventory list as needed (review the list with the
program staff member; update the database).
3) Place files in alphabetical order, by folder label (as described in
the Guidelines on the File Structure section), in the central files.
The ERD records specialist should conduct periodic reviews of program
records in the central files.
1) See if there are any file folders out of order.
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2) See if there are any empty folders, missing either a checkout card
or note confirming that the folder does not contain any records.
3) Review the checkout cards for any with dates greater than 60
days. Check with user to determine if the document is still
required or may be returned to the files.
TECHNICAL REFERENCE MATERIAL
File Creation
Give Branch Technical Reference material to the ERD records specialist
for classification and filing.
Program staff can add new items to the Technical Reference collection.
Staff members should fill out a Technical Reference Document Addition
form (Figure 4) and give it to the records specialist. The subject category
for the item is indicated on the form. Definitions of the subject categories
can be found in the Technical Reference Material: Subject Headings
and Definitions section. If the item does not fit into any of the existing
subject categories, program staff may suggest a new category. The records
specialist will then enter the information into the Inmagic database.
1) Through Inmagic, determine if the document is a duplicate of
existing material. If it is, contact the appropriate program staff
for instructions on whether to keep or discard the older version.
If it is not a duplicate, determine the subject heading from the
existing lists (or create a new category, if this is warranted).
2) Enter document identification information into RMDS.
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3) Generate two labels from RMDS. Place one label on the front of
the document (try not to cover any title information); place the
second label on a checkout card.
4) Attach the checkout card to the document.
File
Circulation/Retrieval
File Return
Quality Assurance
5) Place the document on the technical reference filing shelf, in the
location determined by its subject category and title.
For technical reference material, a checkout card, which will contain an
identifying label, will be attached to each document. The name and date
of the person checking out the document are to be entered on the card.
The card should then be placed where the document was filed.
When returning a document to the Technical Reference files, cross out the
information on the card, reattach the card to the document, and replace the
document
The ERD records specialist should conduct periodic reviews of the
Technical Reference files.
1) See if there are any documents without checkout cards.
2) Review the checkout cards for any with dates greater than 60
days. Check with user to determine if the document is still
required.
3) Using an RMDS listing, conduct an inventory of selected
categories to determine if documents/cards are present. If not,
mark for further investigation.
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For technical reference material that has been superseded by a new version
or edition:
1) Program staff should determine if the old version should be kept.
a. If yes: create a separate label for the new version; treat as a
unique item in the database. Note that an older version is
also present.
b. If no:
1. Discard in accordance with disposition instructions for
technical reference material.
2. Complete a Technical Reference Document Removal
Form (Figure 5) to have record deleted from the
database
3. Give completed form to the records specialist for
processing.
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Information Labels
Label Format
FOLDER LABEL GUIDANCE
There are two different folder label categories for ERD files: Information
labels and color-coded labels.
Every file folder will be identified by an information label describing the
folder contents. Information labels will be placed in the upper left-hand
corner of the folder. These labels will be 3-inch plastic labels for hanging
folders and self-adhering, plain white labels for manila file folders.
Detailed procedures for generating file folder labels for program records
through Inmagic are described in the RMDS User's Manual.
The label format is designed so that each label line will clearly guide ERD
staff in retrieving and replacing any file. Information for each label
appears as follows:
• Activity/Series Group Code and Record Series Name
• File Name (Primary Organization Level)
• Folder Name (Secondary Organization Level)
• Subject (Category) Number and/or Subject (Category) Name
• Folder Volume Number and/or Folder Content Description
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For example, by reading the labels illustrated below, ERD staff would
know to first go to the area where the Policy Guidance/Directive Records
are kept. Once they locate the POLI-007s, they would look under "D" to
find the files for Drinking Water. They would then look for the 4.0
Workgroup/Task Force Records folders. The first volume under the
subject break 4.0 contains the documents giving the task force members
and the mailing list The second volume contains the meeting notes for
fiscal year 1989. Thus, volumes 1 and 2 would be filed after the last
volume in the subject break 3.0 and before the third volume of break 4.0.
Color-Coded Labels
for Disposition
POLI-007 Policy Guidance/Directives Records
Drinking Water
4.0 Workgroup/Task Force Records
Vol. 1: Members and Mailing List
POLI-007 Policy Guidance/Directives Records
Drinking Water
4.0 Workgroup/Task Force Records
Vol. 2: Meeting Notes, 1989
Each ERD staff person is responsible for labeling the folders containing
the Tecords held in his files. The sample labels described in the Folder
Labels section of each record series can be a helpful reference in
preparing these labels. A label report program is available in RMDS. The
RMDS User's Manual provides instructions on entering data into the
database and generating the labels.
A colored, self-adhering label with the last two digits of the fiscal year
will be used to indicate that a program file has been closed according to
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the appropriate disposition instructions. The date will indicate the fiscal
year in which the files were closed out. This label will be placed in the
upper right-hand corner of each folder of the closed file.
POLI-007 Policy Directives/Guidance
EE/CA
8.0 Draft Guidance & Comments
Vol. 4: Draft - 10/19/92
93
Color-Coded Labels
for CBI Material
A red, self-adhering, circular label is used to indicate that a folder contains
Confidential Business Information (CBI) documents or other sensitive
material. This red dot label is placed in the upper right-hand corner of the
folder.
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CONFIDENTIAL BUSINESS INFORMATION (CBI)
AND SENSITIVE DOCUMENT HANDLING GUIDANCE
Identification and
Handling
Any Confidential Business Information (CBI) and sensitive documents
within ERD files will not be segregated from other file material, with the
exception of Personnel Evaluation Files held in the Office supervisor's
office, and NCP Product files, held in separate locked file cabinets under
the control of OPRAB. It is the responsibility of all ERD staff to ensure
the proper handling of all CBI material and other sensitive documents, and
to ensure that any work space where CBI material is stored is under lock
and key.
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Identification
SLIPSHEET GUIDANCE
The following guidelines are for the use and production of slipsheets
identifying the availability and location of special records and cross-
reference documents.
Activities in the ERD offices may generate records that require special
handling. Such records fall into two categories:
• Special Records. Special records are those documents that do
not physically fit into or should not be stored in the site file
folder. Examples include: non-standard size (larger than 8W x
14" or wider/deeper than 3") documents, maps, audio-visual
materials (slides, audio tapes, etc.), and electronic records
(magnetic tapes, floppy disks, etc.).
• Cross-References. Often documents are submitted that contain
items which could be filed in more than one activity/series group.
When this occurs, the document is to be filed in the file to which
it most applies, and a cross-reference made to the other applicable
areas. This should be done only if necessary.
(Note: If the document in question is only a few pages, make
a copy and Hie it in the related areas.)
Handling and Filing
Several EPA offices within the Superfund program have established some
standardization in slipsheet formats for records requiring special handling.
These standard slipsheets are color-coded to allow easy identification
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within the files by all file users. The color-codes are as follows:
. Special Record slipsheets (Figure 6) are produced in green.
. Cross-Reference slipsheets (Figure 7) are produced in blue.
Slipsheets are placed in the files to replace the documents they represent.
Each slipsheet is to be filed in the same place in the folder where its
replacement document would have been filed. If a file folder does not
exist for a slipsheet, one should be established just as it would have been
for the document it is replacing.
Production and
Citation Format
Information supplied on these slipsheets should include the following
(where applicable) and be written in this sequence:
Media (where applicable}, size (where applicable), and media
type.
• Document title or description.
• Author (where applicable).
• Date.
• Synopsis (where needed).
Slipsheets may be produced by photocopying the appropriate forms found
in Appendix A of this manual and completing the information with a
typewriter or word processor using 12 pitch type or larger, or printed by
longhand using black ink.
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Example
SPECIAL RECORD SLIPSHEET
Document Description:
8 1/2" x 14" Negative camera-ready copy — Federal Facility Response
Plan
(SPCC Phase II).
Is a Special Record Document and is Filed/Located:
ERD/OPRAB Program Staff.
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DISPOSITION GUIDANCE
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Disposition Authority
Disposition
Procedures
DISPOSITION GUIDANCE
Records disposition refers to those actions taken regarding records no
longer needed in current office space. The action will be retirement to the
FRC or destruction. Each ERD staff member is responsible for ensuring
the proper disposition of his or her files. This involves routinely closing
out the files in accordance with the instructions given for the record series
to which the files belong. This process of closing out files is referred to
as file closure or "breaking the file."
The disposition of ERD's administrative and program records is controlled
under several authority numbers in the EPA Records Control Schedules.
The ERD File Structure Disposition Guidelines (Tables 1 and 2) can assist
ERD staff with their close-out review. By locating the record series code
for each set of files being reviewed, ERD staff can quickly identify the file
break milestone for the records, how long they should be held in the office
prior to disposition, what disposition action to take (retirement or
destruction), and the total retention value of the files.
The records schedules contained in Appendix C of this manual are draft
disposition schedules. They may be used for retiring records but not for
destroying/recycling them.
An annual review of all ERD files should be made to determine what files
are to be declared closed. This review should take place at the
end/beginning of each fiscal year. At that time, for program records, a red
label indicating the fiscal year of closure will be placed on all closed files.
For administrative files. Record Closure forms (Figure 8) should be filled
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out providing information on each closed-out series. The information on
this form will be used to prepare inventories of the records for disposition.
The period of time the closed records must be retained in the office before
they are retired to the FRC or destroyed will be entered in the appropriate
place on the form. This form should be kept with the group of closed files
since these files will be held in the office for designated periods of time
before final disposition.
Example 1: FY 1992 Travel Expense Records
Date of Closure: 9/30/92
Office Retention Period: 3 years
Destruction Date: 10/1/95
Example 2: FY 1992 General Correspondence
Date of Closure: 9/30/92
Office Retention Period: 1 year
Send to FRC: 10/1/93
During the annual close-out review, it also will be determined which
closed files are eligible for retirement to the FRC and which closed files
are eligible for destruction. Remember, the disposition action is based
on the "year of closure," not the year of creation. For example,
records with a 5 year retention value will be destroyed 5 years after
the year of closure.
The following sections provide specific instructions on the steps to follow
to properly disposition closed files.
Records Destruction
Those files that have passed their legal retention value are to be prepared
for recycling by removing the paper records from their folders and placinp
o
them in the appropriate recycling containers.
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Sensitive documents and CBI files are to be shredded through the EPA
Headquarters Witness Disposal program. To obtain witness disposal for
these documents, refer to the procedures outlined in the OSWER handout,
"How to Obtain Witness Disposal for Your Records," available from the
OSWER Records Management Officer (RMO).
Records Retirement
The Information Management Services Division (IMSD) has the
responsibility to oversee the Agency's records disposition program. It has
prepared a handbook, Using the Federal Records Center: A Guide for
Headquarters Staff, which details the steps to take in the disposition of
records.
All forms referenced in these instructions are available from the OSWER
Records Management Officer (OSWER RMO), the Headquarters Records
Officer (HQ RO), or the EPA supply store.
To prepare for the retirement of inactive records, obtain a copy of this
handbook and the following supplies:
• Records retirement boxes (GSA 8115-00-290-3379)
• 2-inch strapping (filament) tape (GSA 7510-00-159-4450)
• SF 135 Records Transmittal and Receipt forms
• Black felt-tip markers (GSA 7520-00-973-1059)
(1) Prepare the files for boxing.
• Separate the records that are eligible for retirement according to
their record series. In other words, Permits can only be boxed
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with Permits, Enforcement Cases with Enforcement Cases,
Contract files with Contract files, and so forth.
Prepare the material for future recycling by removing all plastic
products (rubber bands, inserts, notebooks, label protectors, etc.).
Metal binder clips, staples, and paper clips do not have to be
removed.
Make sure the records are in folders. Items in notebooks should
be removed and placed in accordion folders.
(2) Box the records.
• Prepare the boxes according to the diagram (Sample 1) in the
OIRM handbook, Using the Federal Records Center: A Guide
for Headquarters Staff.
• Pack the folders into records storage boxes. The labels should
face the front of the box, which is the end opposite the stapled
end. Do not overstuff the boxes.
• In pencil, number the boxes consecutively for each series, on the
front of the box. For example, the first box in a set of 10 would
be numbered 1/10; the second, 2/10; and so forth to 10/10.
(3) Prepare a box inventory.
• List each folder in each box.
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• Make sure that the inventory matches the box number.
Remember, the ability to retrieve the records will depend on the
inventory. A sample of such an inventory is given on page 30 of
the OIRM handbook.
• Make 5 copies of the box inventory.
(4) Prepare a Standard Form 135 -- Request to Transfer -- Federal
Records Center
• Contact the HQ RO to receive accession numbers for filling out
the SF 135 Records Transmittal form. The following
information is required:
The name of the office retiring the boxes and the name,
position, phone number, and office number of a primary
contact.
The name of the record series planned for retirement.
The number of boxes for each set (series) and the year of
closure for each series.
• Fill out the SF 135 form and bring 5 copies of the form and
related box inventories to the HQ RO for his signature and
approval. This must be done at least 4 weeks (and no later than
3 weeks) prior to shipment. It takes two weeks, or 10 working
days, for FRC approval. Two copies of the SF 135 form and the
box inventory will be returned.
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(5) Prepare for Shipment
• Once approval is given, write the accession number in the upper
left-hand corner of each box in the accession series and the box
number in the upper right-hand comeT. This should be written in
block letters with a black felt-tip marker. Place one copy of the
SF 135 and related box inventory in the first box of the set.
Close the top of the boxes by interlocking flaps. Do not tape the
top of the box.
• Fill out a 5100-8 Facilities Services Request form to have the
boxes moved from the work area for shipment to the FRC. This
must be done so that all boxes are prepared for removal and
shipment at least 2 weeks prior to actual shipment to the FRC.
. Contact the HQ RO to approve the shipment and to sign the EPA
Form 5100-8. The HQ RO will route this form to the Facilities
Department, which will pick up the boxes and take them to the
loading dock.
. Be available when the Facilities staff comes to remove the boxes
for shipment to the FRC.
(6) Once the records have been shipped to the FRC, a completed SF 135
with location numbers will be sent back to the office. Keep an office
record copy of each completed SF 135 and related box inventory.
These records will be vital for future records retrieval from the FRc.
Retrieving Retired
Records
Records stored at the FRC can be retrieved. A folder, box, or several
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boxes may be requested from the FRC by submitting an Optional Form
(OF) 11 « Reference Request -- Federal Records Center. The
completed form must be sent through the HQ RO. Once the request is
received by the FRC, the records are available for Agency retrieval,
normally within 24 hours. Facsimile (FAX) requests can be made on a
case-by-case basis to speed the retrieval process. Instructions for
completing the OF-11 are found in the handbook, Using the Federal
Records Center: A Guide for Headquarters Staff. All forms referenced
in these instructions are available from the OSWER RMO, HQ RO, or the
EPA supply store.
The FRC makes the records available by delivering them to EPA, holding
them for pick-up from the FRC, or allowing review of the records at the
FRC facility. Copy machines are available at the FRC if this option is
chosen. Once records are received at EPA, the requesting program office
is notified and can choose to have them delivered or pick them up.
If the records are sent in envelopes or in fewer than 5 boxes, EPA
interoffice mail will deliver them to the program office. This will take
approximately 2 days after the receipt of the records at EPA HQ.
If there are more than 5 boxes, interoffice mail will not deliver them. In
this case, Shipping and Receiving will deliver the boxes on the next
scheduled weekly delivery day. For Crystal Gateway offices, deliveries are
made once a week, on Tuesday. However, the requestor can choose to
pick up the boxes from Shipping and Receiving any time after their arrival.
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The requestor can, if interested, check out a "Drive-it-Yourself" U.S.
Government vehicle from Transportation and drive directly to the FRC in
Suitland, MD, or pick up the boxes from Shipping and Receiving.
Records that have been retrieved from the FRC should be returned when
no longer needed. All forms referenced in these instructions are available
from the OSWER RMO, the HQ RO, or the EPA supply store.
(1) Package the Records.
• If records were received unboxed, return the records in an
envelope similar to that used by the FRC.
• If records were received in boxes, return the files to their original
boxes, placing the folders in their correct places in the boxes.
• In the event a box has been damaged in transit and must be
replaced with a new box, it is absolutely essential that the
information that was put on the front of the box by the FRc
during its initial accession is replicated on the new box.
(2) Prepare a Mailing Label.
Complete a Form 1320-3 (Mailing Label). Instructions f0r
completing this form are found in the handbook, Using the
Federal Records Center: A Guide for Headquarters Staff.
Returning Records
to the FRC
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(3) Ship the Records.
• Enclose a copy of the OF-11 that was used to retrieve the records
in each box or envelope. Seal each envelope or box with nylon
reinforced tape and paste the mailing label on the front of the
envelope or the top of the box.
• Return envelopes to the FRC through regular mail.
• To return one or more boxes to the FRC, fill out a 5100-8
Facilities Services Request form and send to HQ RO to have the
boxes moved from the work area for shipment to the FRC.
Follow the instructions in the handbook, Using the Federal
Records Center: A Guide for Headquarters Staff, for filling out
the form 5100-8; then forward the form to Facilities. Be
available when the Facilities staff comes to remove the boxes for
shipment to the FRC.
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o\
oo
EPA SERIES
NUMBER
RECORD SERIES
DISPOSAL
AUTHORITY
NUMBER
FILE BREAK
MILESTONE
RETENTION
PERIOD IN
OFFICE
DISPOSITION
ACTION
RETENTION
VALUE
CCOR-141a
Controllsd Correspondence Requiring
Signature of Office Director or Above
Pending
End of FY
1 year
FRC
Permanent
CCOR-141b
Controlled Correspondence Requiring
Signature of Division Directors or Other
Lower Level Supervisory Staff
Pending
End of FY
1 Year
FRC
10 Years
FOIA-034
FOIA Correspondence
NI-412-86-1Q/6
End of FY
2 Years
Destroy
2 Years
GCOR-127
General Correspondence
Pending
End of FY
1 Year
FRC
5 Years
OESC-125
Office Equipment Services Contracts
NI-412-86-2/14
End of FY
1 Year
Destroy
1 Year
PERS-121
Travel Expense Records
NI-412-86-2/10
End of FY
3 Years
Destroy
3 Years
PERS-122
Personnel Reference Records
NI-412-86-2/11
Upon separation of
employee
0 Years
Destroy
0 Years
PERS-123
Employee Training Records
NM12-B6-2/12
End of FY
1 Year
Destroy
1 Year
PERS-276
Time & Attendance/Leave Slip Records
NI-412-86-2/16
End of FY
1 Year
Destroy
1 Year
PROG-006a
Program Management Records Above
Branch Chief Level
Pending
End of FY
1 Year
FRC
10 Years
PROG-006b
«
Program Management Records of Branch
Chiefs and Other Personnel
Pending
End of FY
1 Year
FRC
5 Years
PUBA-081
Public Awareness Records
Pending
End of FY
1 Year
Destroy
5 Years
PURC-124
Purchase Request/Order Records
NI-412-86-2/13
End of FY
1 Year
Destroy
1 Year
RECO-307
Records Disposition Records
NCI-412-86-3/15
Upon destruction of
related records
0 Years
Destroy
0 Years
TRKG-168
Tracking and Control Records
GRS 23/8
Upon destruction of
related records
0 Years
Destroy
0 Years
Table I - ERD Administrative Files Disposition Guidelines
-------
I EPA SERIES
NUMBER
RECORD SERIES
DISPOSAL
AUTHORITY
NUMBER
FILE BREAK
MILESTONE
RETENTION
PERIOD IN
OFFICE
DISPOSITION
ACTION
RETENTION [
VALUE |
CONT-202b
Contract Project Otficar Records
Pending
Upon termination of
contract
1 Year
FRC
7 Years I
CO NT-202c
Contract WAM/DOPO Records
Pending
Upon termination of
contract
1 Year
FRC
7 Years
CONT-258
Final Deliverables
Pending
Upon completion of
project or WA/DO
1 Year
FRC
Permanent f
LGRS-O&O
Local Government Reimbursement Records
Pending
Upon settlement of
claim
1 Year
FFC
30 Y«ars j
NCPP-086
National Contingency Plan Product Records
Pending
When superseded
or obsolete
3 Years
FRC
tO Years
POLf-067
Potfcy Guidance/Directives
Pending
Upon publication
1 Year
FRC
Permanent
RCON-155a
Reports to Congress/President
Panting
Upon submission to
congress/president
5 Years
FRC
Permanent
RCON-155b
Reports to Congress/President - Work Files
Pencing
Upon submission to
congress/president
2 Years
FRC
4 Years
REGS-149 (pub)
Regulations, Standards, and Guidelines
Pending
Upon approval/
publication
5 Years
FRC
Permanent
REGS-149
(unpub)
Regulations, Standards, and Guidelines
Pending
Upon decision not to
publish
3 Years
FRC
10 Years
SPCL-QOSa
Final Reports Resulting from Special
Studies
Pencing
Completion of the
study
1 Year
FRC
Permanent
SPCL-OOSb
Special Studies Support Records
Pending
Completion of the
study
1 Year
FRC
7 Years
SUPT-001b
Suparfund Support Agreements
Pending
End of FY
1 Year
FRC
7 Years
SYST-059
OHMTADS
Pending
When superseded
1 Year
FRC
15 Years
SYST-060
ERNS
Pending
When superseded
1 Year
FRC
15 Years
SYST-061
CR-ERNS
Pending
When superseded
1 Year
FRC
15 Years
SYST-OB9
Information Tracking Systems
GRS 23/3
When superseded
2 Years
FRC
15 Years
SYST-090
Administrative Support Databases
GRS 20/3 and
23/3
When superseded
2 Years
FRC
15 Years
Table 2 - Program Records Disposition Guidelines
-------
170
-------
APPENDIX A
EPA RECORDS MANAGEMENT FORMS
171
-------
172
-------
OUT
IDENTIFICATION OF RECORD
CHARGED TO
DATE
CHARGED
OUT
SS°962F0rm23 CHARGEOUT RECORD
QSA Circular No. 259 5023-101
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Figure 1
173
-------
174
-------
TASK START-UP FORM
Check the box corresponding to the appropriate record series and fill in the information for that series.
Give the completed form to the Branch records specialist who will create a set of labeled file folders to
store the project documentation.
~ CONT-202b Contract Project Officer Records
Contract#:
Contract Name:
~ CONT-202c Contract WAM Records
Contract#:
WA#/DO#:
~ POLI-007 Policy Guidance/Directives
Directive Name:
~ REGS-149 Regulations, Standards, and Guidelines
Regulation Name:
~ RCON-155 Reports to Congress
Report Name:
Report#:
~ Other
Record Series:
Name:
Figure 2
175
-------
176
-------
CENTRAL FILES TRANSFER FORM
Complete the following information and place this form in the front of the records box containing the records that are
being closed out and transferred to the Central Files. Notify the Branch records specialist that the files are ruady for
processing.
Record Series:
Name:
Responsible Staff Member:
Date of Record Closure:
Number of Boxes:
Date submitted
Files checked for completeness:
date initials
Files put in Central Files:
date initials
Figure 3
177
-------
178
-------
TECHNICAL REFERENCE
DOCUMENT ADDITION FORM
Title:
Author: Date:
Publisher:
Contributing Staff Member/Office: /
When submitting a document for the Technical Reference Files, complete the citation information above
and check the appropriate subject category below. The subject category selected will be the heading
under which the document will be be filed on the Technical Reference shelves.
MISCELLANEOUS
Distribution Copies
Journal
Federal Register
Guidance/Directive
Training/Orientation
SUPERFUND
Guidance
Legislation
Pubs and Reports
Technology
SITE
RESEARCH and DEVELOPMENT RCRA
COMMUNITY RELATIONS
EMERGENCY RESPONSE
OIL
Response Preparedness
Cleanup Remedies
Oil Spills
Oil M
HAZARDOUS SUBSTANCES
GROUND POLLUTION
AIR POLLUTION
WATER POLLUTION
CHEMICALS
REGULATIONS
OTHER
SOLID WASTE
Figure 4
179
-------
180
-------
TECHNICAL REFERENCE
DOCUMENT REMOVAL FORM
Record ID:
Title:
Date:
Authorization:
(signature)
Return this form to the Branch records specialist to authorize the deletion of this record from the
Inmagic database. The item will be removed from the Technical Reference shelves and
destroyed.
Figure 5
181
-------
182
-------
SPECIAL RECORD SLIPSHEET
Document Description:
Is a Special Record Document and is Filed/Located:
Figure 6
183
-------
184
-------
CROSS-REFERENCE SLIPSHEET
Document Description:
Is/Are Filed Under:
Figure 7
185
-------
186
-------
RECORD CLOSURE FORM
Name:
Branch:
Record Series:
FY
Disposal Authority Number:
Date of Closure
Disposition Instructions:
Send to FRC ~
Figure 8
187
-------
188
-------
APPENDIX B
RECORDS MANAGEMENT GLOSSARY
189
-------
190
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RECORDS MANAGEMENT GLOSSARY
ACCESSION. The transfer of the legal and physical custody of permanent records from an
agency to the National Archives or the transfer of agency records to a Federal records center for
temporary storage.
ACCESSION NUMBER. The number assigned to agency records being transferred to the
National Archives or to a Federal records center. This number is assigned by the receiving
agency and returned to the sending agency on the SF 258 or SF 135 forms requesting transfer.
It is placed on each box by the sending agency prior to transfer.
ACTIVE RECORDS. Records necessary to conduct the current business of an office and
therefore generally maintained in office space and equipment.
ACTIVITY/SERIES GROUP. A major component in the OSWER file structure. Activity
groups are made up of related record series. Record series are made up of files and files are
made up of documents.
ADMINISTRATIVE RECORDS. Records relating to budget, personnel, supply, and similar
housekeeping, or facilitative, functions common to most agencies, in contrast to program records.
See also PROGRAM RECORDS.
AGENCY RECORDS SCHEDULE. See RECORDS SCHEDULE.
ALPHABETIC-SUBJECT FILING SYSTEM. A classification system in which subjects are
arranged in alphabetical order regardless of their relationship to one another.
ALPHA-NUMERIC FILING SYSTEM. A classification system in which letters are assigned
to main divisions and numbers to subdivisions.
APPRAISAL. The process of determining the value and the final disposition of records, making
them either temporary or permanent.
ARCHIVES. (1) The noncurrent records of an organization or institution preserved because of
their permanent value; also referred to, in this sense, as archival materials or holdings. See also
PERMANENT RECORDS. (2) The agency responsible for selecting, preserving, and making
available archival materials; also referred to as an archival agency. (3) The building or part of
a building where such materials are located; also referred to as an archival repository or
depository.
AUDIOVISUAL RECORDS. Records in pictorial or aural form, regardless of format. Include
still photographs, graphic arts, motion pictures, video recordings, audio recordings, and related
records.
BREAK. See FILE BREAK.
191
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CASE FILES. Records, regardless of media, documenting a specific action, event, person, place,
project, or other matter. Include personnel, project and transaction files, which are types of case
files.
CASE WORKING FILES. Background or support files, such as worksheets, questionnaires,
rough notes, calculations, or drafts, used to prepare or analyze case file documents.
CENTRAL FILES. Files accumulated by several offices or organizational units and maintained
and supervised in one location.
CHRONOLOGICAL (CHRON) FILES. See READING FILES.
CLASSIFICATION. (1) The process of determining the sequence or order in which to arrange
documents. (2) The process or result of identifying records containing national security
information.
CLOSED FILE. (1) A file unit or series containing documents on which action has been
completed and to which more documents are not likely to be added. (2) A file unit or series
to which access is limited or denied.
CODE. See FILE CODES.
CODING. The process of putting file designations on documents.
CONTINUING VALUE. The lasting value of records, especially of permanent records. See
also PERMANENT RECORDS.
CONVENIENCE FILES. Nonrecord copies of correspondence, completed forms, and other
documents kept solely for ease of access and reference. See also TECHNICAL REFERENCE
FILES, WORKING FILES.
COPY. A reproduction of the contents of an original document, prepared simultaneously or
separately and usually identified by function or by method of creation. Copies identified by
function include action copy, information or reference copy, official file copy, reading or
chronological file copy, suspense or tickler file copy, and stock copy.
CORRESPONDENCE. Letters, postcards, memoranda, notes, telecommunications, and any
other form of addressed, written communications that are sent and received. See also GENERAL
CORRESPONDENCE FILES, TRANSITORY CORRESPONDENCE FILES.
CURRENT RECORDS. See ACTIVE RECORDS.
CUTOFF. Breaking, or ending, files at regular intervals, usually at the close of a fiscal or
calendar year, to permit their disposal or transfer in complete blocks and, for correspondence
files, to permit the establishment of new files. Case files are generally cut off at the end of the
year in which the case is closed. Cutoff is sometimes called file break.
192
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DEPOSITORY. A place where records are kept and made available for use. Also called
repository. See also ARCHIVES, RECORDS CENTER.
DESTRUCTION. In records management, the major type of disposal action. Methods of
destroying records include burning, pulping, and selling, or salvaging, the record medium.
DIRECTIVE, A written instruction communicating policy and/or procedure in the form of
orders, regulations, bulletins, circulars, handbooks, manuals, notices, numbered memoranda, and
similar issuances.
DISPOSABLE RECORD. See TEMPORARY RECORDS.
DISPOSAL. (1) The actions taken regarding temporary records after their retention periods
expire; consists usually of destruction, occasionally of donation. (2) Also, when so specified,
the actions taken regarding nonrecord materials when no longer needed, especially their
destruction.
DISPOSAL AUTHORITY. See DISPOSITION AUTHORITY.
DISPOSAL SCHEDULE. See RECORDS SCHEDULE.
DISPOSE. To carry out disposal, which includes either the destruction or the donation of
temporary records but not the transfer of permanent records to the National Archives.
DISPOSITION. (1) The actions taken regarding records no longer needed in current office
space. These actions include transfer to agency storage facilities or Federal records centers,
transfer from one Federal agency to another, transfer of permanent records to the National
Archives, and disposal of temporary records. Disposition is the third stage of the records life
cycle. (2) The actions taken regarding nonrecord materials when no longer needed, including
screening and destruction.
DISPOSITION INSTRUCTIONS. (1) Directions for cutting off records and carrying out their
disposition in compliance with NARA regulations. (2) Directions for screening nonrecord
materials and carrying our their disposal when no longer needed by the agency.
DISPOSITION PROGRAM. Policies and practices designed to achieve effective and efficient
disposition of records by scheduling them, ensuring their proper storage, ensuring the prompt
disposal of temporary records and the timely transfer of permanent records to the National
Archives, and evaluating the program.
DISPOSITION SCHEDULE. See RECORDS SCHEDULE.
DOCUMENT. (1) Recorded information regardless of physical form or characteristics. Often
used interchangeably with record. (2) An individual record or item of nonrecord material.
ELECTRONIC RECORDS. Records stored in a form that only a computer can process. Also
called machine-readable records or ADP records.
193
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EMERGENCY-OPERATING RECORDS. That type of vital records essential to the continued
functioning or reconstitution of an organization during and after an emergency. See also VITAL
RECORDS.
ESSENTIAL RECORDS. See VITAL RECORDS.
EVALUATION. In records disposition, the process of assessing the value of records to
recommend or determine their retention periods, designating the record either temporary or
permanent.
FACILITATIVE RECORDS. See ADMINISTRATIVE RECORDS.
FEDERAL RECORDS CENTER (FRC). A records center operated by NARA.
FILE. (1) An accumulation of records or nonrecord materials arranged according to a plan.
(2) A unit, such as a folder, microform, or electronic medium, containing such records or
nonrecord materials. (3) Storage equipment, such as a filing cabinet.
FILE BREAK. (1) A subject or name for a group of files within a file structure. A file
structure is made up of file breaks. See also MAJOR BREAK and MINOR BREAK. (2) See
CUTOFF.
FILE CODES. Numbers or symbols used to abbreviate lengthy file titles.
FILE GROUPS. See FILE TYPES.
FILE PLAN. (1) A plan designating the physical location(s) at which an agency's files are to
be maintained, the specific types of files to be maintained there, and the organizational element(s)
having custodial responsibility. Sometimes called a file structure. (2) A document containing
the identifying number, title or description, and disposition of files held in an office.
FILE STATION. Any location in an organization at which records are maintained for current
use.
FILE STRUCTURE. The placing of files in a particular order or sequence. A structure allows
an office to identify a document according to its place within the structure.
FILE TYPES. Categories or classes of files. Include case, case working, general correspon-
dence, reading, transitory correspondence, convenience, and technical reference files, along with
vital records and special records.
FILES. A collective term usually applied to all records and nonrecord materials of an office or
agency. See also FILE.
FILES INVENTORY. See INVENTORY.
194
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FILES MANAGEMENT. Applying records management principles and techniques to filing
practices in order to organize and maintain records properly, retrieve them rapidly, ensure their
completeness, and make their disposition easier. See also RECORDS MANAGEMENT.
FILES MANUAL. A document containing the file structure and filing guidance for the records
held in a specific office.
FILING. Putting documents into their place in accordance with a plan or filing system.
FILING SYSTEM. A set of policies and procedures for organizing and identifying files for
documents to speed their retrieval, use, and disposition. Sometimes called recordkeeping system.
FINAL DISPOSITION. The end of the records life cycle in which temporary records are
disposed of and permanent records are transferred to the National Archives.
FORMAT. The shape, size, style, and general makeup of a particular record.
GENERAL CORRESPONDENCE FILES. Letters and memoranda, mainly, but also forms,
reports, and other material, all relating to program and administrative functions, not to specific
cases.
GENERAL RECORDS SCHEDULE (GRS). A NARA-issued schedule governing the
disposition of specified records common to several or all agencies.
HOLDING AREA. Agency space assigned for the temporary storage of records after their
cutoff and removal from office space but before their destruction or their transfer to a Federal
or agency records center or the National Archives.
HOUSEKEEPING RECORDS. See ADMINISTRATIVE RECORDS.
INACTIVE RECORDS. Records no longer required to conduct agency business and, therefore,
ready for final disposition.
195
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INVENTORY. (1) A survey of agency records and nonrecord materials that is conducted
primarily to develop records schedules and also to identify various records management problems,
such as improper applications of recordkeeping technology. (2) The results of the survey. (3)
A list of records or nonrecord materials contained in filing or storage space used as a finding aid.
Such finding aids are required for transfer of agency records to the National Archives.
LIFE CYCLE OF RECORDS. The management concept that records pass through three stages:
creation, maintenance and use, and disposition.
MAJOR BREAK. A file break or category within a file structure.
MINOR BREAK. A subcategory under a major break.
MICROFORM. Any form containing greatly reduced images, or microimages, usually on
microfilm. Roll, or generally serialized, microforms include microfilm on reels, cartridges, and
cassettes. Flat, or generally unitized, microforms include microfiche, microform jackets, aperture
cards, and (opaque) microcards.
MNEMONIC FILING SYSTEM. A classification system in which records are coded by
symbols to remind the user of the subject; for example, PERS for personnel records. These
symbols are usually arranged alphabetically.
NATIONAL ARCHIVES. See ARCHIVES.
NONCURRENT RECORDS. See INACTIVE RECORDS.
NONRECORD MATERIAL. U.S. Government-owned informational materials excluded from
the legal definition of records. Include extra copies of documents kept only for convenience of
reference, stocks of publications and of processed documents, and library or museum materials
intended solely for reference or exhibition. Also called nonrecords.
NUMERIC FILING SYSTEM. Any classification system in which numbers are assigned to
main divisions and subdivisions and the records are arranged accordingly.
OFFER. A term formerly used to describe the act of requesting NARA's one-time approval of
the immediate transfer of unscheduled records to the National Archives ("direct offer") or the act
of initiating the transfer to the National Archives of records already scheduled as permanent
("scheduled offer"). Direct offers have been discontinued, and scheduled offers are now called
scheduled transfers.
OFFICIAL FILES. See RECORDS.
196
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OPTIONAL FORM 11, REFERENCE REQUEST -- FEDERAL RECORDS CENTERS.
A form that an agency may use to obtain reference services involving records it has stored in a
Federal records center.
PERMANENT RECORDS. Records appraised by NARA as having sufficient historical or other
value to warrant continued preservation by the Federal government beyond the time they are
needed for administrative, legal, or fiscal purposes. Sometimes called archival records.
PERSONAL PAPERS. Nonoffical, or private, papers relating solely to an individual's own
affairs. Must be clearly designated as such and kept separate from the agency's records. Also
called personal files or personal records.
PHOTOGRAPHIC RECORDS. Records taking the form of pictures, or photographs,
sometimes with related textual records. See also AUDIOVISUAL RECORDS.
PRESERVATION. The provision of adequate facilities to protect, care for, or maintain records.
PRIMARY ORGANIZATION. The initial way in which the files for a record series are placed
in order or organized. This initial order is the first step in organizing files according to a filing
system. This initial order usually relates to the way the files for the record series will be placed
on the shelves. See also SECONDARY ORGANIZATION.
PRINTED RECORDS. Published materials, such as books and maps, or serial issuances, such
as directives and press releases, produced by or for a particular agency, in contrast to extra copies
kept in stock or distributed inside or outside that agency.
PROGRAM RECORDS. Records documenting the unique, substantive functions for which an
agency is responsible, in contrast to administrative records. See also ADMINISTRATIVE
RECORDS.
PUBLICATIONS. Documents printed or otherwise produced for wide distribution inside or
outside an agency. Include annual reports, brochures, pamphlets, books, handbooks, and maps.
Also include instructional and informational material in audiovisual form. According to 44 USC
1901, a U.S. Government publication is "informational matter which is published as an individual
document at Government expense, or as required by law."
READING FILES. Outgoing correspondence records arranged chronologically, in contrast to
those arranged by subject. Sometimes called chronological (chron) or day files.
197
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RECORD. All books, papers, maps, photographs, machine-readable materials, or other
documentary materials, regardless of physical form or characteristics, made or received by an
agency of the U.S. Government under Federal law or in connection with the transaction of public
business and preserved or appropriate for preservation by that agency or its legitimate successor
as evidence of the organization, functions, policies, decisions, procedures, operations, or other
activities of the Government or because of the informational value of data in them.
RECORD GROUP. A body of organizationally related records established by an archival
agency after considering the organization's administrative history and complexity and the volume
of its records. NARA uses record group numbers to keep track of agency records during and
after the scheduling process, including those transferred to Federal records centers and/or the
National Archives.
RECORD SERIES. See SERIES.
RECORD SET. See PRINTED RECORDS.
RECORD SYSTEM. The organized collection, processing, transmission, and dissemination of
information in accordance with defined procedures.
RECORDKEEPING. The act or process of creating and maintaining records. Assumes the
need for their proper disposition.
RECORDKEEPING REQUIREMENTS. Statements in statutes, regulations, or agency
directives providing general and specific information on particular records to be created and
maintained by the agency. Since each agency is legally obligated to create and maintain adequate
and proper documentation of its organization, functions, and activities, agency recordkeeping
requirements should- be issued for all activities at all levels and for all media, and should
distinguish records from nonrecord materials for agency purposes.
RECORDS CENTER. A facility for the low-cost storage and servicing of records pending their
disposal or transfer to the National Archives. Includes NARA-authorized agency records centers
and NARA-operated Federal records centers.
RECORDS CONTROL SCHEDULE. See RECORDS SCHEDULE.
RECORDS CREATION. The first stage of the records life cycle in which records are made
(or received) by an office.
RECORDS DISPOSAL. See DISPOSAL.
RECORDS DISPOSITION. See DISPOSITION.
RECORDS DISPOSITION AUTHORITY. See DISPOSITION AUTHORITY.
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RECORDS MAINTENANCE AND USE. Any action involving the storage, retrieval, and
handling of records kept in offices by, or for, a Federal agency. This is the second stage of the
records life cycle.
RECORDS MANAGEMENT. The planning, controlling, directing, organizing, training,
promoting, and other managerial activities related to the creation, maintenance and use, and
disposition of records to achieve adequate and proper documentation of Federal policies and
transactions and effective and economical management of agency operations.
RECORDS MANAGEMENT OFFICER (RMO). The person assigned responsibility by the
agency head for overseeing an agency wide records management progranv Also called records
officer or records manager.
RECORDS RETENTION SCHEDULE. See RECORDS SCHEDULE.
RECORDS RETIREMENT. See RETIREMENT.
RECORDS SCHEDULE. A document providing authority for the final disposition of recurring
or nonrecurring records including record identification, retention period, and disposition
instructions.
RETENTION. See PRESERVATION.
RETENTION PERIOD. The length of time that records are to be kept.
RETIREMENT. The transfer of records to agency storage facilities or Federal records center.
SCHEDULED RECORDS. Records whose final disposition has been approved by NARA.
SCHEDULING. The process of developing schedules for the disposition of records, along with
disposition instructions for nonrecord materials.
SCREENING. Examining files to identify and remove documents of short term value, especially
those eligible for immediate destruction. Also called weeding or purging.
SECONDARY ORGANIZATION. The way the files within a record series are organized after
they are arranged in their primary order. This secondary order usually relates to the way the files
for the record series will be placed on the shelves. See also PRIMARY ORGANIZATION.
199
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SEMIACTIVE RECORDS. Records required so seldom to conduct agency business that they
should be moved to a holding area or directly to a record center. Also called semicurrent
records.
SERIES. File units or documents arranged according to a filing system or kept together because
they relate to a particular subject or function, result from the same activity, document a specific
kind of transaction, take a particular physical form, or have some other relationship arising out
of their creation, receipt, or use, such as restriction on access and use. Also called a record
series.
SORTING. In files management, the process of separating records into groups for filing
according to a classification system.
SPECIAL RECORDS. Types of records maintained separately from textual/paper records
because their physical form or characteristics require unusual care and/or because they have
nonstandard sizes. Include electronic, audiovisual, microform, cartographic and remote-sensing
imagery, architectural and engineering, printed, and card records.
STANDARD FORM 135, RECORDS TRANSMITTAL AND RECEIPT. The form to be
submitted by agencies to a Federal records center before transferring records there.
STANDARD FORM 258, REQUEST TO TRANSFER, APPROVAL, AND RECEIPT OF
RECORDS TO NATIONAL ARCHIVES OF THE UNITED STATES. This form is used
by Federal agencies to transfer legal and physical custody of permanent records to the National
Archives.
SUBJECT CLASSIFICATION SYSTEM. A plan used for identifying and coding documents
by topic to provide an orderly and accurate way of filing and finding.
SUSPENSE FILES. Files arranged chronologically to remind officials of actions to be
completed by a specific date. Also called tickler files.
TECHNICAL REFERENCE FILES. Nonrecord copies of articles, periodicals, reports, studies
vendor catalogs, and similar materials that are needed for reference and information but are not
properly part of the office's records.
TEMPORARY RECORDS. Records approved by NARA for disposal, either immediately or
after a specified retention period.
TRANSFER. The act or process of moving records from one location to another, especially
from office space to agency storage facilities or Federal records centers, from one Federal agency
to another, or from office or storage space to the National Archives for permanent preservation.
200
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UNSCHEDULED RECORDS. Records whose final disposition has not been approved by
NARA.
VITAL RECORDS. Records essential to the continued functioning or reconstitution of an
organization during and after an emergency and also those records essential to protecting the
rights and interests of that organization and of the individuals directly affected by its activities.
Include both emergency-operating and rights-and-interests records.
WEEDING. See SCREENING.
WORKING FILES. Documents such as rough notes, calculations, or drafts assembled or
created and used to prepare or analyze other documents.
201
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202
-------
APPENDIX C
RECORDS CONTROL SCHEDULES
NOTE: DRAFT SCHEDULES
The following are draft disposition schedules. After submission to NARA
in June 1993, the schedules may be used for retiring records. However,
they may not be used for destroying/recycling records until they have been
approved by NARA. at a later date.
203
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204
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DRAFT
DRAFT OP 4/27/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Grants and Other Program Support Agreements - Superfund Sice
Specific
PROGRAM: Superfund
EPA SERIES HO: 001A
NARA SCHEDULE NO. Pending
(Use this number to retire records to the FRC)
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: Includes records that document all types of agreements to which
EPA is a party and which support the Superfund program. Specific types of
agreements may include Interagency Agreements, Cooperative Agreements with
Federal, State and local government agencies, access agreements, remedial
planning and implementation agreements, State Superfund Contracts (SSCs),
Technical Assistance Grants, and other types of agreements which provide for
program assistance, support or other sharing of Agency resources and services.
Specific types of records include documentation of significant actions and
decisions, applications, pre-award reviews, funding decisions, award
documentation, agreement oversight activities, correspondence relating to the
agreement, non-compliance/dispute documentation, audit records, and closeout
documentation for completed agreements.
Included are:
a. Final products and deliverables, and
b. Supporting documentation.
Excludes Superfund grants and agreements which are not site specific.
ARRANGEMENT: Arrangement varies.
TYPE OP RECORDS: SPECIFIC RESTRICTIONS:
Case files None
MEDIUM: VITAL RECORD:
Microfilm, paper, forms,
electronic
FUNCTIONS SUPPORTED:
Program operations
SPECIFIC LEGAL REQUIREMENTS:
Comprehensive Environmental Response, Compensation and Liability Act of 1930,
as amended, Section 101, et seq.
40 CFR 3 0 and 31
205
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DRAFT
EPA SERIES NO. 001A
DISPOSITION INFORMATION:
FINAL DISPOSITION:
a. Permanent
TRANSFER TO PRC PERMITTED:
Yes
b. Disposable
Yes
PILE BREAK INSTRUCTIONS: Break file immediately after closeout of the
agreement.
DISPOSITION INSTRUCTIONS:
a. Keep inactive materials in office at least 1 year after file break, then
retire to PRC. If volume necessitates, records may be transferred to PRC
prior to the time designated in the disposition instructions. Destroy 30
years after closeout of the agreement.
b. Keep inactive materials in office at least 1 year after file break, then
retire to PRC. Destry when 7 years old unless used for cost recovery. If
used for cost recovery, destroy when 3 0 years old.
APPLICATION GUIDANCE:
REASONS FOR DISPOSITION: These records are necessary for litigation and cost
recovery support. These records were previously approved for disposal. The
retention period has been changed to bring it into line with the retention of
other Superfund records which they support.
AGENCYWIDE GUIDANCE: Agreement closeout is when the Agency determines all
administrative actions and required work is completed or when the agreement is
terminated or annulled and any disputes settled.
The Grant Administrator is responsible for the record cdpy of these records
and implementing the disposition. Copies of these records may be filed with
the site files for historical purposes or with cost recovery records which are
schedule as EPA 024A. See EPA 013A and EPA 014A for Removal Site Files and
Remedial Site Files, respectively. All other copies may be destroyed when no
longer needed.
For general Superfund (not site specific) grants and agreements and programs
other than Superfund, see EPA 003A. Contract management records are scheduled
as EPA 020A (Superfund), EPA 055A, EPA 202A, and EPA 258A.
Financial assistance to local governments responding to releases of hazardous
substances through the Local Government Reimbursement Progrm are scheduled as
EPA 080H. See EPA 084A for Case-Specific Decisions on Indemnification
Requests from States for Response Action Contractors (RACs).
Note: Recipients of awards must maintain all records for 10 years following
submission of the final Financial Status Report unless otherwise directed by
the EPA award official, and must obtain written approval from the EPA award
official before destroying any records (40 CFR 35.6705). Retention of
agreement records by the Agency is governed by this schedule.
PROGRAM OFFICE GUIDANCE/ DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATION ;
CONTROLLING UNITl Multiple units CONTACT POINT:
Name: Nans:
Location: Mai.! Coda:
206
-------
EPA SERIES NO. 001A
Inclusive Dates: Telephone:
Volume on Hand (Peat): Office:
Annual Accumulation: Room:
(feat or inches)
CONTROL INFORMATION:
RELATED ITEMS: EPA 003A, EPA 020A, EPA 024A, EPA 080H, EPA 034H, EPA 202A,
EPA 253A
PREVIOUSLY APPROVED BY
KARA SCHEDULE NOS: NC1-412-35-10/15, NC1-412-85-18/2 and 24,
NC1-412-85-25/5 and 6
Approval Approval Entry Last
Data EPA Data NARA Data Modified
3/20/91 4/27/93
207
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208
-------
DRAFT
DRAFT OF 4/30/93
TT.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Special Studies
PROGRAM: All Programs
EPA SERIES NO: 00 5A
.VARA SCHEDULE NO. Pending
(Use this number to retire records to the FRC)
APPLICABILITY: Agencywide
IDENTIFYING INFORMATIONi
DESCRIPTION: Contains documents relating to the development of special
studies and surveys produced in house by individuals, committees or task
forces. Examples of such studies include topics such as environmental levels
of toxic substances, coastal zone management, or economic benefits and impacts
of pesticides.
There are two types of records:
a. Final reports; and,
b. Supporting files.
Excludes studies and surveys covered by other program specific schedules such
&s those far size specific Super fund studies, contract and grart final
products And deliveraJblesr, and management scudies whzcb &ra scheduled
separately.
ARRANGEMENT: Arranged by subjecu/study.
TYPE OP RECORDS: SPECIFIC RESTRICTIONSs
Reports, data, case files None
MEDIUM: VITAL RECORDS:
Paper, photographs, publications, No
maps and architectural materials,
electronic
FUNCTIONS SUPPORTED".
Program operations
SPECIFIC LEGAL REQUIREMENTS:
None
209
-------
EPA SERIES NO. 005A
DISPOSITION INFORMATION:
FINAL DISPOSITION: TRANSFER TO FRC PERMITTED:
a. Permanent Yes
b. Disposable Yes
FILE BREAK INSTRUCTIONS: Break file upon completion of study.
DISPOSITION INSTRUCTIONS:
a. Retire to FRC in annual increments, then transfer to the National Archives
20 years after file break. If volume necessitates, records may be transferred
to the FRC prior to the time designated in the disposition instructions.
b. Retain in office at least 1 year after file break, then retire to FRC.
Destroy 7 years after completion of study.
APPLICATION GUIDANCE:
REASONS FOR DISPOSITION: This combines a number of special studies items into
an Agencywide disposition and provides consistent retention across programs.
AGENCYWIDE GUIDANCE: If studies are incorporated into other permanent series
such as Superfund site files, that disposition takes precedence. Reference
(nonrecord) and information copies may be destroyed when no longer needed.
Contract records are covered in EPA 020A (Superfund site specific), EPA 055a
EPA 202A, and EPA 253A. Grants and Other Program Agreements are found in EP\
Q01A (Superfund site specific) and EPA 003A (all programs except Superfund
site specific). Management studies are scheduled as EPA 105A.
PROGRAM OFFICE GUIDANCE/ DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATION:
CONTROLLING UNIT: Multiple units
Name:
Location:
Inclusive Dates:
Volume on Hand (Feet):
Annual Accumulation:
(feet or inches)
CONTROL INFORMATION:
RELATED ITEMS: EPA 001A, EPA 003A,
EPA 253A
CONTACT POINT:
Name:
Mall Code:
Telephone:
Office:
Room:
EPA 020A, EPA 055A, EPA 105A, EPA 2Q2A,
PREVIOUSLY APPROVED BY
VARA SCHEDULE NOSs NCl-412-34-l/16a and b, NC1-412-85-6/9, NC1-412-85-7/q
NC1-412-35-10/16, NC1-412-35-12/8, 11a and b, NC1-412-85-14/9
NCl-412-35-15/3a(l) , 3b, 4a and b, NC1-412-35-17/3 and IS, NCI-412-85-1 ftc
and 17, NC1-412-85-21/9 and 10, NCl-412-85-24/20a and b Nl-412-86-1/9 /16
N1-412-37-4/16 ' Bb i/9'
Approval
Date EPA
Approval
Date KARA
Entry
Date
3/20/91
Last
Modified
4/30/93
210
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DRAFT OF 4/12/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Program Management Files
PROGRAM: All Programs
EPA SERIES NO: 006A
KARA SCHEDULE DO. Pending
(Use this number to retire records zo the PRC)
APPLICABILITY: Agencywide
IDENTIFYING HtTORMA TION:
DESCRIPTION: Includes records which relate to the on-going management of
programs and routine projects within programs. Types of files include both
mission and operational programs and may be maintained by one or more
organizational unit. Specific types of records include correspondence,
memoranda, and reports relating to general policy and programs matters,
interagency activity, research and other similar materials. Also includes
project control files showing assignments, progress, and completion of
proj ects.
Ther= are two types of files:
a. Program management files held by offices of EPA Administrators, Deputy
Administrators, Assistant and Associate Administrators, Office of General
Counsel, Office of Inspector General, Regional Administrators, Deputy Regional
Administrators, and Division Directors.
b. Program management files held by offices of Branch Chiefs and other
personnel .
Excl^ss po±±zy scf.-aj~sr.zs and zin?cr_r.'es. -occract records, axd organization
ajid zz-gr-jn dsvsiopniMt records vfcicn
-------
EPA SERIES NO. 006A
DISPOSITION' INFORMATION:
FINAL DISPOSITION: TRANSFER TO PRC PERMITTED:
Disposable Yes
FILE BREAK INSTRUCTIONS: Break file annually; bring forward active materials
DISPOSITION INSTRUCTIONS:
a. Keep inactive files in office at least 1 year after file break, then.
retire to the FRC. Destroy 10 yea^s after file break.
b. Keep inactive files in office at least 1 year after file break, then
retire to FRC. Destroy 5 years after file break.
APPLICATION GUIDAXCS:
REASONS FOR DISPOSITION: This item combines a number of items previousLy
approved for disposal and standardizes retention.
AGENCTfWIDE GUIDANCE: This schedule item gives the retention for program
management files only. Also includes routine project control documents such
as personnel assignments and periodic progress reports maintained by branch
-and section personnel. Such, records should be incorporated into the branch o
section files prior to retirement. General administrative and housekeeping
records are scheduled under EPA 110A. There are specific EPA and MARA
schedules to cover records such as budget, personnel, property, etc. Records
documenting Che program development of the Agency should be pulled arid cetiren
in accordance with EPA 125R and 142H. See EPA 127A fcr General
Correspondence. "EPA I41A Ecr Controlled and Major Correspondence, and EPA 140A
tor Speeches. Management Studies ^re scheduled as EPA 1C5A.
PROGRAM OFFICE GtllDJUTCE/ DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATION:
CONTROLLING UNIT: Multiple units
Name:
Location:
Inclusive Datas:
Volume on Hand (Fast):
Annual Accumulation:
(fast or inches)
CONTROL INFORMATION:
RELATED ITEMS: EPA 10SA, EPA 110A,
143H
CONTACT POINT:
Name:
Nail Coda:
Talaphona:
Office:
Room:
EPA 126R, EPA 127A, EPA 140A, EPA 141A,
PREVIOUSLY APPROVED BY
NARA SCHEDULE NOS: NC174-113/3, NCI-412-84-1/3, NC1-412-S4-2/1 NC1-41? oe
1/6, NC1-412-35-2/3, NCl-412-85-3>4, NC1-412-85-4/4, NC1-412-8S-5/3 *"-85
MC1-412-85-S/4, NC1-412-35-7/4, NCl-412-a5-3/2, NC1-412-8S-10/4
NC1-412-85-12/4, NC1-412-35-13/4, NC1-412-SS-14/4, NC1-412-35-15/la
NC1-412-35-16/4, NC1-412-35-17/1, NC1-412-85-13/18, NC1-4L2-85-19/3'
NCI-412-85-20/14, NCl-412-35-21/3 , NC1-412-85-21/11, NC1-412-85-22/7b in
and 24b, NCl-412-35-23/la, NC1-412-85-24/52, NC1-412-35-26/I/2 and 26/tt/-.
NCI-412-85-27/2, NC1-412-35-28/2, N1-412-S6-1/4, N1-412-86-3/4 /A-i-/2,
Nl-412-86-4/1, N1-412-37-2 / 4, Nl-412-37-4i4, Nl-412-87-5/4
212
-------
EPA SERIES NO. 006A
Approval Approval Entry Last
Eat* EPA. Data NARA Data Modified
3/20/91 4/12/93
DRAFT
213
-------
214
-------
DRAFT OP 5/4/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Directives and Policy Guidance Documents Issued by Specific
Programs and Regions
PROGRAM: All Programs
EPA SERIES MO: 007A
NARA SCHEDULE NO. Pending
(Use this number Co retire records to the FRC)
APPLICABILITY: Agencywide
IDElfTIPYXNa INFORMATION:
DESCRIPTION: Includes all records which document EPA's major policy decisions
and program operational procedures originated within each program and Regional
office providing the mandates for overall and specific program direction and
action. Records consist of official policy decisions, delegations of
authority, memos which set policy or issue guidance, operating guidance,
procedures manuals, other procedural materials, technical resource documents,
regulatory interpretation and implementation documents, and mandates for
action. These collections of materials may be in the form of a program
directives system or a program compendium with finding aids and indexes.
ARRANGEMENT: Arrangement varies. Directives are arranged numerically by
directive number as published in the Code of Federal Regulations.
TYPE OP RECORDS: SPECIFIC RESTRICTIONS:
Case files None
MEDIUM: VITAL RECORD:
Paper, publications, forms,
electronic
FUNCTIONS SUPPORTED:
Program direction
SPECIFIC LEGAL REQUIREMENTS:
Varies by statute
215
-------
EPA SERIES HO. 0C7A
DISPOSITION INFORMATION:
FINAL DISPOSITION: TRANSFER TO PRC PERMITTED:
Sacord copy: Permanent Yes
FILE BREAK INSTRUCTIONS: Break file upon issuance or publication of directive
or guidance.
DISPOSITION INSTRUCTION'S: Seep inactive materials in office at least 1 year
after file break, then retire to FRC. Transfer to NARA in 5 year blocks, 20
years af-er file break.
APPLICATION G&IDANCB:
REASONS POft DISPOSITION: This item documents the major functions,
organization, policies, and operation of the Agency. These records were
previously appraised by the National Archives as permanent.
AGENC1WIDE GUIDANCE: Agencywide Directives issued by the Management and
Organization Division are covered in EPA 1Q3A. This disposition covers all
directives, guidance documents, and compendiums at the point of origin. The
office that issues the guidance or directive is responsible for implementing
the disposition and ensuring that a permanent record is maintained either in
issuing offics or a central facility (e.g., records center, central program
office}.
Programs should maintain an on-si-e reference file of current and superseded
directives and guidance to support litigation and ongoing site activities.
Information copies maintained by programs other than the issuing one should be
destroyed when superseded or no longer needed.
Program management files are scheduled as EPA 0Q6A.
PROGRAM OFFICE GUIDANCE/ DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATION:
CONTROLLING UNIT: Multiple units CONTACT POINT:
Nam*: Nam*:
Location: Hail coda;
Inclusiv* Dataa: Talaphona:
Voluma on Hand (Pa«t): Offic«:
Annual Accumulation: Room:
(faat or inchaa)
COflTROL INFORMATION:
RELATED ITEMS: EPA 006A, EPA 108H
PREVIOUSLY APPROVED BY
KARA SCEEDOXE NOS: NCi74-ll£/4, NC1-412-85-S/16, Nei-412-85-7/¦??
NCl-4:2-85~ll/7, N1-412-36-2/15 /22'
Approval Approval Entry Last
Data EPA Data NARA Data Modifiad
3/29/91 5/4/93
216
-------
T%?r°h ,f\ r'T
jJjtAr I
ERAFT OF 4/6/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Freedom of Information Act (FOIA) Request Files - Copies
Maintained by FOIA Coordinators and Program Offices
PROGRAM: All Programs
EPA SERIES HO: 034A
KARA SCHEDULE NO. Pending
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: Files created in response to all requests Cor information under
the Freedom of Information Act normally consisting of incoming FOIA requests,
a copy of the reply to the request, and in some cases supporting information.
Also includes control files such as logbooks used to track requests. This
file is not the Agency's official copy of the FOIA reply because the official
copy is maintained by the FOIA Officer- Nor does this file contain the
Program's official record of the information requested.
ARRANGEMENT: Arranged by FOIA request.
TY?E OF RECORDS: SPECIFIC RESTRICTIONS:
Correspondence/subject files Privacy Act
MEDIUM: VITAL RECORD:
Paper, electronic No
FUNCTIONS SUPPORTED:
FOIA Acodnistratior.
SPECIFIC LEOAL REQUIREMENTS:
Freadcrr. of Information Act, as amended, 5 U.3.C. 552
40 CFR 2
217
-------
EPA SERIES NO. 034A
DISPOSITION INFORMATION:
FINAL DISPOSITION: TRANSFER TO FRC PERMITTED:
Disposable No
FILE BREAK INSTRUCTIONS: Break file at the end of each year.
DISPOSITION INSTRUCTIONS: Destroy 2 years after the date of the reply.
APPLICATION GUIDANCE:
REASONS FOR DISPOSITION: This item replaces a number of program specific
items previously approved by NARA, and extends coverage to all programs. See
entry for previously approved authorities below.
AX2ENCYWIDE GUIDANCE: This item should be used by FOIA coordinators and others
who retain copies of FOIA responses and control files such as logbooks to
dispose of all FOIA records they maintain. FOIA Officers records are
scheduled under EPA 030A and 033A. EPA 031A covers FOIA administrative files
and reports and EPA 032A covers FOIA appeals.
The official copy of the records requested should be disposed of in accordance
with the approved Agency disposition instructions for that category of record
or with the related FOIA request, whichever is later.
See EPA 263A for the Freedom of Information Action Tracking System (FOIMATS)
and EPA 309A for public inquiries that are not formal FOIA requests.
See EPA 1550 - Freedom of Information Act Manual for additional information on
the Agency's FOIA policies and procedures.
As required by 36 CFR 1228.58, records with special restrictions such as
confidential business information (CBI) or exempted from disclosure by statute
such as the Privacy Act must be shredded with witness disposal.
PROGRAM OFFICE GUIDANCE/ DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATION-.
CONTROLLING UNIT: Multiple units
Nama:
Location:
Inclusive Dates:
Volume on Hand (Peet):
Annual Accumulation:
(feet or inch*a)
CONTACT POINT:
Nama:
Mail Coda:
Talaphona:
Office:
Room:
CONTROL INFORMATION:
RELATED ITEMS: EPA 030A, EPA 031A, EPA 032A, EPA 033A, EPA 263A, EPA 309A
PREVIOUSLY APPROVED
NARA SCHEDULE NOS: NC1-412-85-2/4, NC1-412-85-3/6, NC1-412-85-4/6,
NC1-412-35-5/8, NC1-412-85-6/6, NC1-412-85-3/4, NC1-412-85-10/6,
NC1-412-85-11/8, 10 and 11, NC1-412-85-12/7, NC1-412-85-13/6,
NC1-412-85-14/6, NC1-412-85-15/10, NC1-412-35-16/6, NC1-412-85-19/14,
NC1-412-85-22/23, NC1-412-85-24/47, NC1-412-35-26/I/3,
NC 1-412-35-27/1/3, NC1-412-85-28/22, Nl-412-86-1/6, Nl-412-86-3/6,
Nl-412-87-1/6, Nl-412-87-2/6, NI-412-87-4/6, Nl-412-87-5/6
218
-------
EPA SERIES KO. 034A
Approval Approval Entry Last
Data EPA Data NARA Data Modified
8/19/91 4/5/93
219
-------
220
-------
DRAFT OF 4/28/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Oil and Hazardous Materials Technical Assistance Data System
: 0 H-lT AOS;
PROGRAM: Superfund
EPA SERIES NO: 059A
NARA SCHEDULE NO. Pending
APPLICABILITY: Agencywide
IDENTIFYING ItTPOSXA TIOlf:
DESCRIPTION: OHMTADS supports OSWER'3 response program operations. The data
base contains profiles on approximately 1,400 oil and hazardous substances.
The profiles provide chemical identification information such as chemical
name, manufacturer's name for the chemical (trade name), Chemical Abstract
Service {CAS) number; quality assured data on chemical and physical properties
(e.g., flashpoint reactions with other substances); uses; and effects on human
health and the environment. The system also recommends response procedures
for handling and disposing of releases or spills (e.g., methods for
evacuation, disposal information, transportation information, protective
equipment information). In addition, it contains lists of regulations
covering production, use, or distribution of chemicals.
OHMTADS information is made available for commercial distribution in a variety
of formats, including ONLINE, diskette, microfilm, magnetic tape, and CD-ROM.
ARRANGEMENT: Arrangements varies.
TYPE OP RECORDS:
Data files, printouts
MEDIUM:
Electronic, paper, microfilm,
optical
FUNCTIONS SUPPORTED:
Program operations
SPECIFIC LEGAL REQUIREMENTS:
Comprehensive Environmental Response, Compensation, and Liability Act of 1980,
as amended, Section 104
SPECIFIC RESTRICTIONS:
None
VITAL RECORD:
No
"221
-------
EPA SERIES NO. 05 9A
DISPOSITION INFORMATION:
PINAL DISPOSITION:
a. OHMTADS electronic software
programs: Disposable
No
TRANSFER TO PRC PERMITTED:
b. Input: Disposable
No
c. Electronic data: Disposable No
d. Output and reports
Dependent on related records
e. Supporting documentation:
Disposable
Yes
PILE BREAK INSTRUCTIONS:
a. Break software programs when each major version is discontinued and/or
when superseded by routine software updates.
b. Break input systems files according to instructions for EPA 171A -
Input/Source Records and all other material according to EPA 008A - Technical
Reference Material.
c. Break file when information is submitted to commercial vendors for
distribution.
d. File with appropriate case file or related records. Follow file break
instructions for related records.
S'. Break file when each major version is discontinued.
DISPOSITION INSTRUCTIONS:
a. When each major version of OHMTADS is discontinued, maintain current
version on tapes or cartridges for 1 year following procedures required in
NDPD's Operational Policies Manual, Sections #200.01 and #200.02 on archiving
data sets and records management. After 1 year, the tapes are to be destroyed
by degaussing. When software is superseded by routine program updates, delete
those program components undergoing revision after quality assurnce check is
performed.
b. Follow disposition instructions for related records.
c. Upon submittal of each version of OHMTADS for distribution, transfer
current data sets to NDPD tapes, along with tape layout, block size, and other
tape specifications, according to NDPD policies. Instruct NDPD to hold t&pes
for 1 year, then destroy data through degaussing.
d. Follow disposition instructions for related records.
e. Keep in office at least 1 year after file break, then retire to FRC in
paper form or on magnetic floppy disk those records necessary to document how
the system captures, manipulates, and outputs data. Supporting documentation
can include the software source code, data system specifications, file
specifications, code translations, record layouts, user guides, and output
specifications. Destroy when 15 years old.
APPLICATION GUIDANCE:
REASONS FOR DISPOSITION: OHMTADS is a collection of scientific and technical
data extracted from a wide variety of sources, both commercial and
governmental, and is collectively presented in a user-friendly format for
Agency and public use.
222
-------
EPA SERIES NO. 059A
AGENCYWIDE GUIDANCE: OHMTADS is under the control of the Oil Pollution
Response and Abatement Branch (OPRAB) of the Emergency Response Division (ERD
in the Office of Emergency and Remedial Response (OERR). OERR/ERD/QPRAB staf
is directly responsible for implementing the disposition for items a, b, c,
and e. All related output, item d, generated for Agency use will be in the
form of print files and reports to be filed in a related case or program file
All output formats generated for commercial distribution are to be considered
technical reference and can be destroyed when superseded.
PROGRAM OFFICE GUIDANCE/DESCRIPTIVE INFORMATION: OHMTADS is updated on a
periodic basis as needed.
CUSTODIAL INFORMATION:
CONTROLLING UNIT: CONTACT POINT:
Name: OERR/ERD/OPRAB Name: Richard Norris
Location: EPA Headquarters Mail Coda: 5202G
Inclusive Data*: 1980 to present Telephones 703-603-90 53
Voluma on Hand (Feat) : Office: OPRAB
Annual Accumulation: Room:
(feat or inches)
CONTROL INFORMATION:
RELATED ITEMS: EPA 008A, EPA 171A
PREVIOUSLY APPROVED BY
NARA SCHEDULE NOS:
Approval
Data EPA
Approval
Data KARA
Entry
Data
5/14/92
Last
Modified
4/28/93
223
-------
224
-------
DRAFT OF 4/28/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Emergency Response Notification System (ERNS)
PROGRAM: Superfund
EPA SERIES HO: 060A
KARA SCHEDULE NO. Pending
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: The Emergency Response Notification System (ERNS) is a national
computer data base used to store information on releases of oil and hazardous
substances. The ERNS program is a cooperative effort among EPA Headquarters,
the Department of Transportation (DOT), National Transportation Systems Center
tNTSC'; , the ten EPA Regions, the U.S. Coast Guard (USCG) , and the National
Response Center (NRC) . ERNS provides the most comprehensive data compiled on
release notifications of oil and hazardous substances in the United States.
When a release report is submitted to Federal authorities (e.g., NRC or
Regional offices), the individual reporting is asked a series of questions
regarding the release (e.g., type, location, volume). Information concerning
all releases originally reported to the NRC or EPA Regional offices is entered
into local computers and transmitted electronically from the NRC or EPA
Regional office to the NTSC, where it becomes part of the ERNS national data
base. Each EPA Region maintains its own Region-specific data base, which is a
subset of the national data base. ERNS supports the Emergency Response and
the Title III program.
ARRANGEMENT: Arrangement varies, electronic data arranged by ERNS number.
TYPE OP RECORDS:
Reports, forms, fact sheets,
printouts, data files
SPECIFIC RESTRICTIONS;
Privacy Act
MEDIUM:
Electronic, paper
VITAL RECORD:
No
FUNCTIONS SUPPORTED:
Program operations
SPECIFIC LEGAL REQUIREMENTS:
Comprehensive Environmental Response, Compensation, and Liability Act of 1980,
as amended, Section 103
Title III - Emergency Planning and Community Right-to-Know, Section 304
Clean Water Act, as amended, Sections 311
Hazardous Materials Transportation Act, Section 1808(b)
National Oil and Hazardous Substances Contingency Plan, Sections 300.51 and
300 .65
225
-------
EPA SERIES MO. 06OA
DISPOSITION INFORMATION:
PINAL DISPOSITION:
a. ERNS electronic software
programs: Disposable
No
TRANSFER TO FRC PERMITTED:
b. Input
Dependent on related records
c. Electronic daca: Disposable No
d. Output and reports
e. Supporting documentation:
Disposable
Yes
Dependent on related records
PILE BREAK INSTRUCTIONS:
a. Break, software programs when each major version is discontinued and/or
when superseded by routine software updates.
b. Break file when information hag been entered into the system or when
Regional input data base has been electronically transferred into the national
data base and quality assurance of all (paper and electronic) data has been
determined. Paper input should be broken according to the instructions for
EPA 091A - CERCLA 103 Notifications.
c. Break data file at the end of the fiscal year.
d. Break output systems when data has been transferred to national data base
File ad hoc reports with appropriate case file or related records. Follow
file break instructions for related records.
e. Break file when each major version is discontinued.
DISPOSITION INSTRUCTIONS:
a. When each major version of ERNS is discontinued, maintain current version
on tapes or cartridges for 3 years fallowing procedures required in NDPD's
Operational Policies Manual, Sections #200.01 and #200.02 on archiving data
sets and records management. After 3 years, the tapes are to be destroyed bv
degaussing. When software is superseded by routine program updates, delete
those program components undergoing revision after quality assurance check is
performed.
b. Hold paper input and disposition according to the instructions for EPA
091A - CERCLA 103 Notifications. Delete update input systems when no longer
required to support reconstruction of, or serve as a backup to, the data base
whichever is later.
c. Transfer current data sets to NDPD tapes, along with tape layout, block
size, and other tape specifications, according to NDPD policies. Current data
sets include a consolidation of all ERNS initial input data captured in the
monthly backups performed by Regional central computer centers along with the
input received from NRC. Instruct NDPD to hold tapes for 30 years, then
destroy data, through degaussing.
d. Delete update output systems when no longer required to support
reconstruction of, or serve as a backup to, the data base, whichever is later
Disposition ad hoc output reports according to instructions for related
records.
e. Keep in office at least 1 year after file break, then retire to FRC in
paper form or on magnetic floppy disk those records necessary to document how
the system captures, manipulates, and outputs data. Supporting documentation
226
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EPA SERIES NO. 0 6OA
can include the software source code, data system specifications, file
specifications, code translations, record layouts, user guides, and output
specifications. Destroy when 15 years old.
APPLICATION GUIDANCE:
REASONS FOR DISPOSITION: ERNS tracks initially invalidated data, at a high
level. It is used primarily as a preliminary tool to identify potentially
hazardous situations and serves as a mechanism to document and verify
incident-location information. Initial input by Regional offices is needed
for litigation support.
AGENCYW2DE GUIDANCE: ERNS is under the control of the Emergency Response
Division (ERD) of the Office of Emergency and Remedial Response (OERR) in the
Office of Solid Waste and Emergency Response (OSWER). OSWER/OERR/ERD staff is
directly responsible for implementing the disposition according to items a, c,
and e.
All paper copies of initial input records, under item b, held or produced in
EPA Regional Hazardous Waste Management offices should be dispositioned
according to the instructions for EPA 091A - CERCLA 103 Notifications. These
Regional offices are also responsible for the disposition of all input and
output systems according to the instructions in items b and d.
Output systems containing initial data being transferred from the EPA Regional
offices to the NRC are not covered by item d of this series. This initial
electronic data is captured by each Regional computer center as part of their
routine monthly backups. At the end of each fiscal year, the ERNS data files
from each monthly backup are to be consolidated and transferred to NDPD tapes
and dispositioned according to item c. This process is necessary to capture
the initial input of data which may be necessary for verification of the time
and date of the initial notification.
Ad hoc output reports held or produced in all appropriate offices should be
handled according to disposition instructions outlined in series item d or,
where appropriate, EPA 175A - Print Files.
PROGRAM OFFICE GUIDANCE/DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATION:
CONTROLLING UNIT:
Nam#: OSWER/OERR/ERD
Location: EPA Headquarters
Inclusive Dates: 1983 to present
Volume on Hand (Feet):
Annual Accumulation:
(feet or inches)
CONTACT POINT:
Name: Dana Stalcup
Mail Code: 5202G
Telephone: 703-603-8735
Office: ERD
Room:
CONTROL INFOKMATION:
RELATED ITEMS: EPA 056A, EPA 061A, EPA 091A, EPA 175A
PREVIOUSLY APPROVED BY
NARA SCHEDULE NOS:
227
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EPA SERIES MO. 06OA
Approval Approval Entry Last
J'Jk OsA*. X&JE& Qa.t%
5/30/92 4/28/93
228
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DRAFT OP 4/28/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Continuous Release Emergency Response Notification System
(CR-ERNS)
PROGRAM: Superfund
EPA SERIES NO: 0S1A
MARA SCHEDULE NO. Pending
(Use this number to retire records to the FRC)
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: CR-ERNS is an information system that serves as the central
depository for all continuous release information received by the EPA Regions.
The national data base is housed at the Transportation Systems Center (TSC) in
Cambridge, Massachusetts. CR-ERNS is currently installed in all ten EPA
Regions. The system is specifically designed to help EPA Regional personnel
manage continuous release information and establish priorities with respect to
the review and evaluation of continuous release reports. The kinds of
information collected include the source of the continuous release, the
environmental medium affected, certain ecological and population density
information, and a brief statement describing the basis for asserting that the
release is continuous and stable in quantity and rate.
A key feature contained in each Regional system is a screening level risk
assessment model, called the Priority Assessment Model (PAM) . PAM assists
Regional personnel in the evaluation of the long-term (i.e., chronic) threat
posed by a continuous release. CR-ERNS supports the Emergency Response
Program.
ARRANGEMENT: Arranged by facility unique identification case number.
TYPE OF RECORDS: SPECIFIC RESTRICTIONS:
Reports, forms, data files None
MEDIUM: VITAL RECORD:
Electronic, paper No
FUNCTIONS SUPPORTED:
Program operations
SPECIFIC LEGAL REQUIREMENTS »
Comprehensive Environmental Response, Compensation, and Liability Act of 1980,
as amended, Section 103(f)(2)
40 CFR 302.8
229
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EPA SERIES NO. 061A
DISPOSITION INFORMATION:
PINAL DISPOSITION: TRANSFER TO FRC PERMITTED:
a. CR-ERNS electronic software
program: Disposable No
b. Input Dependent on related records
c. Electronic data: Disposable No
d. Output and reports Dependent on related records
e. Supporting documentation:
Disposable Yes
PILE BREAK INSTRUCTIONS:
a. Break software programs when each major version is discontinued and/or
when superseded by routine software updates.
b. Break file when information has been entered into the system or when
Regional input data base has been electronically transferred into the natio
data base and quality assurance of all (paper and electronic) data has been114
determined. Paper input should be broken according to the instructions for
EPA 091A - CERCLA 103 Notifications.
c. Break data file at the end of the fiscal year.
d. Break output systems when data has been transferred into the national d
base. File ad hoc reports with appropriate case file or related records a
Follow file break instructions for related records.
e. Break file when each major version is discontinued.
DISPOSITION INSTRUCTIONS:
a. When each major version of CR-ERNS is discontinued, maintain current
version on tapes or cartridges for 3 years following procedures required in
NDPD's Operational Policies Manual, Sections #200.01 and #200.02 on archivi
data sets and records management. After 3 years, the tapes are to be ^
destroyed by degaussing. When software is superseded by routine program
updates, delete those program components undergoing revision after quality
assurance check is performed. y •
b. Hold paper input and disposition according to the instructions for EPA
091A - CERCLA 103 Notifications. Delete update input systems when no lonr,
required to support reconstruction of, or serve as a backup to, the data v> r
whichever is later. 4se<
c. Transfer current data sets to NDPD tapes, along with tape layout, block
size, and other tape specifications, according to NDPD policies. Instruct
NDPD to hold tapes for 3 0 years, then destroy data through degaussing.
d. Delete output systems when no longer required to support reconstruct!
of, or serve' as a backup to, the data base, whichever is later. Disposit^*1
ad hoc output reports according to instructions for related records. l0n
e. Keep in office at least 1 year after file break, then retire to FRc in
paper form or on magnetic floppy disk those records necessary to document k
the system captures, manipulates, and outputs data. Supporting documentat*°W
can include the software source code, data system specifications, file ior*
specifications, code translations, record layouts, user guides, and outnut
specifications. Destroy when 15 years old. puc
230
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EPA SERIES NO. 0 61A
APPLICATION GUIDANCE:
REASONS FOR DISPOSITION: Records must be kept to support litigation and
regulatory activities. Hard copies of input records must be kept for the
narrative element as well as certification purposes.
AGENCYWIDE GUIDANCE: CR-ERNS is under the control of the Response Standards
and Criteria Branch (RSCB) of the Emergency Response Division (ERD) of the
Office of Emergency and Remedial Response (OERR) in the Office of Solid Waste
and Emergency Response (OSWER). OSWER/OERR/ERD staff is directly responsible
for implementing the disposition according to series items a, c, and e.
All paper copies of initial input records, under item b, held or produced in
EPA Regional Hazardous Waste Management offices should be c*spositioned
according to the instructions for EPA 091A - CERCLA 103 Notifications. These
Regional offices are also responsible for the disposition of all input and
output systems according to the instructions in items b and d. All ad hoc
output records held or produced in all appropriate offices should be handled
according to disposition instructions outlined in series itsm d or, where
appropriate, EPA 175A - Print Files.
PROGRAM OFFICE GUIDANCE/DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATIONi
CONTROLLING UNIT:
Nam*: OSWER /OERR/ERD/RSCB
Location: EPA Headquarters
Inclusive Dataa: 1990 to present
Volume on Hand (Past) :
Annual Accumulation:
(fast or inches)
CONTACT POINT:
NazM t Garain Perry
Mail Coda: 5202G
Telephone: 703-603-87 32
Office: RSCB
Rooxn:
CONTROL INFORMATION:
RELATED ITEMS: EPA 056A, EPA 060A, EPA 091A, EPA 171A, EPA 17SA
PREVIOUSLY APPROVED BY
KARA SCHEDULE NOS:
Approval
Data EPA
Approval
Data NARA
Entry
Date
5/30/92
Laat
Modified
4/28/93
231
-------
232
-------
DRAFT OP 4/27/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Local Government: Reimbursement Program
PROGRAM: Superfund
SPA SERIES NO: OSOH
SARA SCHEDULE NO. Pending
{Use this number to retire records to the FRC)
APPLICABILITY: Headquarters
IDSimZYZNa INFORMATION:
DESCRIPTION: The Local Government Reimbursement Program provides financial
assistance to local governments responding to releases of hazardous
substances. When a local government has conducted an emergency response
action and is unable to recover costs in accordance with 40 CFR 310, an
application may be submitted to EPA for reimbursement, up to $25,000. (This
program differs from a grant in that the local government later recovers costs
and must return the reimbursed funds to EPA.) Records include general
information and cost documentation on the release, the application for
reimbursement, records of reimbursement, and rejected and accepted
applications.
ARRANGEMENT: Arranged by application number.
TYPE OF RECORDS: SPECIFIC RESTRICTIONS:
Case files None
MEDIUM: VITAL RECORD:
Paper, forms
FUNCTIONS SUPPORTED:
Program operations
SPECIFIC LEGAL REQUIREMENTS:
Superfund Amendments and Reauthorization Act of 1986, Section 123
40 CFR 310
233
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EPA SERIES NO. 08OH
DISPOSITION INFORMATION:
PINAL DISPOSITION: TRANSFER TO FRC PERMITTED:
Disposable Yes
FILE BREAK INSTRUCTIONS: Break file immediately after closeout of the
reimbursement.
DISPOSITION INSTRUCTIONS: Retain in office at least 1 year after file break
then retire to FRC. Destroy 30 years after file break. '
APPLICATION GUIDANCE:
REASONS POR DISPOSITION: These records are necessary for litigation and co
recovery support.
AGENCYWIDE GUIDANCE: Records in this series differ slightly from Grants and
Other Program Support Agreements - Superfund Site Specific, EPA 001A, becau
the reimbursement is not considered a grant. Reimbursements under this SS
program must be repaid to EPA only if the recipient is able to recover the
costs. The retention of these records reflects their value to cost recovarv
support. ™
Pursuant to the local government reimbursement program, the local government-
recipient of funds must maintain their files on the response action for 10
years. At that time, the local government must offer the records to EP\
before destruction. Typically, these records will include more detailed
technical records relating to the incident and response action. EPA will
review the files for enforcement value and determine whether they warrant
integration and retention with the EPA portion of the file.
Copies of documents from this series may be retained in related series such
Cost Recovery Records, EPA 024A, and disposed of with the related series a??
other copies may be destroyed when no longer needed. '
PROGRAM OFFICE GUIDANCE/DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATION:
CONTROLLING UNIT:
Name:. Response Standards
Criteria Branch
Location: EPA Headquarters
Inclusive Dates.-
Volume on Hand (Feet) : 4
Annual Accumulation: 1 ft.
(feet or inches)
CONTROL INFORMATION:
RELATED ITEMS: EPA 001A, EPA 024A
PREVIOUSLY APPROVED BY
NARA SCHEDULE NOS: NC1-412-85-18/2
CONTACT POINT:
Name: John Ferguson
Mail Codet 5202-G
Telephone: 703-603-8712
Office: OSWER/OERR/ERD/RSCB/RPGSS
Room:
and 24, NC1-412-35-25/5 and 6
ADDroval Approval Entry Last
D^te EPA Data NARA Date Modified
Date eea 6/8/92 4/27/93
234
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DRAFT OP 4/27/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: National Contingency Plan {NCP; Product Filas
PROGRAM: Super-fund
EPA SERIES NO: 08SA
NASA SCHEDULE NO. Pending
(Use this number to retire records to the FRC)
APPLICABILITY* Agencywide
IDEtFTIPYING INFORMATION!
DESCRIPTION: The NCP requires EPA to maintain an NCP Product Schedule of
dispersar.ts and other chemical or biological products that may be authorised
for use on oil discharges. Applicants who wish to list their product must
submit the appropriate technical product data to EPA in accordance with 40 C
300, Subpart J. Records associated with NCP product files include the NCP
Product Schedule and associated data base, vendor applications, interim
correspondence, telephone notes. Agency and contractor review documentation,
correspondence, Technical Bulletins, and associated records.
ARRANGEMENT: Arrangement varies.
TYPE OP RECORDS: SPECIFIC RESTRICTIONS:
Data file, Correspondence, Confidential Business Information
Reports, Lists
MEDIUM: VITAL RECORD:
Paper, electronic
FUKCTIONS SUPPORTED:
Program operations
SPECIFIC LEGAL REQUIREMENTS t
Oil Pollution Act of 1990
40 CFR 3 00, Subpart J
235
-------
EPA SERIES NO. 086A
DISPOSITION INFORMATION;
PINAL DISPOSITION:
Disposable
TRANSFER TO FRC PERMITTED:
Yes
pt-,7 BREAK INSTRUCTIONS: Break file when superseded or obsolete.
DISPOSITION INSTRUCTIONS a Keep inactive macariala in office 2 yaars after
fila break, than retire to FRC. Destroy 13 yeaxs after file break.
APPLICATION GUIDANCEt
REASON'S FOR DISPOSITION: Records provide ongoing support and reference for
oil on water spills. These records are not permanent at this tine because no
formal approval process or decision element by the Agency is in place. The
Agency is currently accepting applications and product information only.
AGENCYWIDE GUIDANCE: Reference copies of the NCP Product Schedule and
Technical Bulletins held in the Regions are disposable when no longer needed.
As required by 3 6 CFR 1228.58, records with special restrictions such as
confidential business information (CBI) or exempted from disclosure by statute
such as the Privacy Act must be shredded with witness disposal.
PROGRAM OFFICE GUIDANCE/DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATION:
CREATING UNIT:
Name: OPRAS
Location: EPA Headquarters
Inclusive Dates:
Volume on Hand (Feat):
Annual Accumulation:
(feet or inches}
CONTROL INFORMATION:
RELATED ITEMS:
PREVIOUSLY APPROVES BY
NARA 3CHEDULE NOS:
CONTACT POINT:
Name: Gail Thomas
Mail Code: 5202-G
Telephone: 703-6C3-8736
Office: OSWER/OERR/ESD/RSCB/OPRAS
Room: 13 3 37
Approval
Date SPA
Approval
Date NARA
Entry Laat
Data Modified
7/15/92 4/27/93
236
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DRAPT OP 4/30/93
U.S?»EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Information Tracking Systems
PROGRAM: All Programs
EPA SERIES NO: 089A
NASA SCHEDULE NO. GRS 22/8
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: Includes a broad range of primarily PC-based systems used to
track the processing of permits, applications, reports, approvals, and other
actions relating to records that are disposable under the NARA General Records
Schedules or an approved Agency records disposition schedule.
ARRANGEMENT: Arrangement varies.
TYPE OP RECORDS: SPECIFIC RESTRICTIONS:
Reports, printouts, data files Varies by system.
MEDIUM: VITAL RECORD:
Electronic, paper, forms No
FUNCTIONS SUPPORTED:
Program operations
SPECIFIC LEGAL REQUIREMENTS:
None
237
-------
EPA SERIES NO. 089A
DISPOSITION INFORMATION:
FINAL DISPOSITION: TRANSFER TO FRC PERMITTED:
a. Electronic software
system: Disposable No
b. Input: Disposable No
c. Electronic data: Disposable No
d. Output and Reports: See Disposition Instructions.
e. Supporting documentation:
Disposable Yes
FILE BREAK INSTRUCTIONS :
a. Break file when superseded by routine software updates.
b. Break file according to instructions for EPA 171A - Input/Source Records
c. Break file when superseded.
d. File with appropriate case files or related records. Follow file break
instructions for related records.
¦e. Ere-ak file whan superseded.
313EC £ITIQ27 INSTRUCTIONS :
a. Delete -hen supersedsi by routine acft^re ptogram updazas ar.d -q^alitv
assj£3.r.oe check cci&pLetad or when aa laager r.e-edad.
b. Follow disposition instructions Cor EPA 171A - rnput/Source Records.
c. Maintain individual records for at least 2 years after completion of
action and then delete when no longer needed. If tracking system is used a
finding aid to the records, maintain individual entries as long as the reco^3
are retained or as long as finding aid is needed, whichever is longer. S
d. Follow disposition instructions for related record.
e. Keep in office for up to 2 years after file break, then retire to Frc
Destroy when 15 years old.
APPLICATION SOI DANCE:
REASONS FOR DISPOSITION: Conforms to GRS 20 and 23.
AGENCYWIDE GUIDANCE: Paper-based tracking systems are scheduled as EPA 168A
Electronic information systems with long-term or permanent retention such a
CERCLIS (EPA 050A) are scheduled separately. Other disposable systems not S
requiring specific schedules have been categorized into this schedule or on
of the other "generic" schedules: ®
EPA 063A - Electronic Models and Expert Systems
EPA 088A - Bibliographic and Reference Systems
EPA 090A - Administrative Support Data Bases
Specific systems covered in each of these generic schedules are identified •
the Program Office Guidance/Descriptive Information section of the schedules'1
Electronic records not requiring their own schedules or covered in one of th
generic schedules above may be segments or phases of information systems
Examples of this type of schedule include, but are not limited to: EPA 164a
238
-------
EPA SERIES NO. 089A
ElecCronic Spreadsheets, SPA 170A - FiLes/Records Used Co Create and Maintain
Master Files, EPA 3Q4A - Systems Documentation.
PROGRAM OFFICE GUIDANCE/DESCRIPTIVE INFORMATION: This schedule item applies
to the following systems:
301(h) Application Tracking System (301(H) INFO)
304(1) Progress Tracking System
Administrative Order Inventory and Tracking System
Administrative Order Tracking System (ACTS)
Administrative Penalty Orders Invencory and Tracking System
Air Significant Violators System (AIRSVL)
ANDERSON Management and Reporting System
Assembly Line Test and Selective Enforcement Audit Data (ALT-SEA)
Assistance Disputes (ADTRACS)
Automated Imports Tracking System (AITS)
Bid Protests (BIDS)
Comprehensive Assessment Information Rule Database (CAIR)
Consent Decree Tracking System (CDETS)
Contract Administration Assistance Tool (CAAT)
Corrective Action Reporting System (CARS)
Data Call in System (DCI)
Delisting Petition Tracking System (DPDMS)
Enforcement Document Retrieval System (EDRS)
Fuel and Fuel Additives Registration System (FFARS)
Hazardous Waste Export Database (EXPORT)
Interagency Testing Committee Tracking System (ITS)
Inventory of 309(g) Orders
Judicial Case Review Tracking System
MPB Exemptions
Management Information Tracking System (New Chemicals) (MITS)
Manufacturers Programs Branch Investigation Tracking System
-------
SPA SERIES NO. 089A
Volume on Hand (Feat): Office:
Annual Accumulation: Room:
(£aet or inches)
CONTROL INFORMATION:
RELATED ITEMS: EPA 0S3A, EPA 038A, EPA 090A, EPA 162A, EPA 164A, EPA 168A
EPA 17OA, EPA 171A, EPA 172A, EPA 173A, EPA 174A, EPA 175A, EPA 176A
EPA 177A, EPA 173A, EPA 179A, EPA 304A, EPA 3 05A, EPA 306A
PREVIOUSLY APPROVED BY
KARA SCHEDULE HQS:
Approval Approval Entry Last
Data EPA Data NARA Data Modified
9/24/92 4/30/93
240
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DRAFT OP 4/30/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Administrative Support Data Bases
PROGRAM: All Programs
EPA SERIES NO: 09OA
NARA SCHEDULE NO. GRS 20/3 and 23/3
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: Includes a broad range of primarily PC-based systems used to
support administrative or housekeeping functions, containing information
derived from paper copy records or from other electronic data systems
disposable under the NARA General Records Schedules or an approved Agency
records disposition schedule. Examples of these data bases include budget
preparation, property management, program planning, spending, accounting,
activity reporting, and resource allocation.
ARRANGEMENT: Arrangement varies.
TYPE OP RECORDS: SPECIFIC RESTRICTIONS:
Reports, printouts, data files Varies by system.
MEDIUM: VITAL RECORD:
Electronic, paper, forms No
FUNCTIONS SUPPORTED:
Program operations
SPECIFIC LEGAL REQUIREMENTS:
None
241
-------
EPA SERIES NO. 09OA
DISPOSITION INFORMATION:
FINAL DISPOSITION:
a. Electronic software
system: Disposable
No
TRANSFER TO FRC PERMITTED:
b. Input: Disposable
No
c. Electronic data: Disposable No
d. Output and Reports:
See Disposition Instructions.
e. Suppor
Disposable
Support ing documentat ion:
Yes
FILE BREAK INSTRUCTIONS:
a. Break file when superseded by routine software updates.
b. Break file according to instructions for EPA 171A - Input/Source Records.
c. Break file when superseded.
d. File with appropriate case file or related records. Follow file break
instructions for related records.
e. Break file when superseded.
DISPOSITION INSTRUCTIONS:
a. ..Delete when superseded by routine software program updates and quality
assurance check completed or when no longer needed.
b. Delete after expiration of the retention period authorized for the
disposable paper copy or other electronic data system.
c. Maintain individual records at least 2 years after completion of action
and then delete when no longer needed.
d. Follow disposition instructions for related records.
e. Keep in office for up to 2 years after file break, then retire to FRC.
Destroy when 15 years old.
APPLICATION GUIDANCE:
REASONS FOR DISPOSITIONS Conforms to GRS 20 and 23.
AGENCYWIDE GUIDANCE: Electronic information systems with long-term or
permanent retention such as CERCLIS (EPA 050A) are scheduled separately.
Other disposable systems not requiring specific schedules have been
categorized into this schedule or one of the other "generic" schedules:
EPA 063A - Electronic Models and Expert Systems
EPA 088A - Bibliographic and Reference Systems
EPA 089A - Information Tracking Systems
Specific systems covered in each of these generic schedules are identified in
the Program Office Guidance/Descriptive Information section of the schedules.
Electronic records not requiring their own schedules or covered in one of the
generic schedules above may be segments or phases of information systems.
Examples of this type of schedule include, but are not limited to: EPA 164A -
Electronic Spreadsheets, EPA 170A - Files/Records Used to Create and Maintain
Master Files, EPA 3 04A - Systems Documentation.
242
-------
EPA SERIES NO. 09OA
PROGRAM OFFICE GUIDANCE/DESCRIPTIVE INFORMATION: This schedule item applies
to the following systems:
AARP Cost Analysis and Tracking (AARP)
Action Tracking System (ATS)
ADMINLAN - Office Forms Facilitator & Perform Pro Administrative LAN
Applications (ADMINLAN)
ADP Budget Planning System (APS)
ADP Budget Preparation System
ADP Capital Equipment Inventory System (ADPCETS)
ADP Inventory System (ADPIS)
Advanced Information System for Career Management (AISCM)
AEERL-RTP Management Information System (IMIS)
Applicant Tracking System (ATS)
Asbestos School Hazard Abatement Automated Information System (ASHAAIS)
Athens Financial Management System (AFMS)
Athens Inhouse Property System (AIPS)
Athens Personnel System (APS)
Athens Telephone Inventory System (ATIS)
Audit Tracking System (AUDIT)
Automated Clearing House Network (EPA-ACH)
Automated Document Control Register (ADCR)
Barcode Information System (BARCIS)
Boilers and Chillers System (B&CS)
Building Information Center System (BIC)
Carpool System (CARPOOL)
Changes Clause Advisory System (CHANGESC)
Circulation System (EPACIR)
Combined Payroll Redistribution and Reporting System (CPARS)
Conference Scheduler System (CSS)
Conflict of Interest Prototype (COINS)
Contract Administration Assistance Tool (CAAT)
Contract Delivery Order Tracking System (CDOTS)
Correspondence Control System (CCS)
Correspondence Management Tracking System (CMTS)
Dock Freight System (DFS)
Document and Personnel Security System (DAPSS)
Environmental Priorities Initiative Tracking System (EPITS)
EPA RTP Locator System (FMSR)
ERL-Athens Lab Planning System (ALPS)
ERL-CORV Financial Management (CVFM)
ERL-CORV Library Circulation System (OVLB)
ERL-CORV Personnel Management (CVPM)
ERL-Duluth Financial Management and Reporting System (FMRS)
ERL-Duluth Personnel Information Projection System (PIPS)
ERL-Gulf Breeze Financial Data Management (FMS)
ERL-Gulf Breeze Laboratory Contributions Data Management System (CONTRIBS)
ERL-Gulf Breeze Text Data Management (EPALIT)
Expert Maintenance Management System (EMM)
Facilities Alterations Tracking System (FATS)
Facilities Management Program (FMP)
Facility Management System (FMS)
Five Year Information Resources Management (FIRMIS)
Foundation Information and Real Property Management System (FIRM)
Full Time Equivalence (FTE)
General Counsel Defense Docket System (DEFENSIVE)
Grants Administration Division Management Information System (GADMIS)
Gulf Breeze Task Sheet Information Management System (TASKSHEET)
Health Effects Research Laboratory Management Information System (HERL MIS)
Hotline Assistance Request System (IRMHELP)
In-House Mailing Label Support System
Integrated Financial Management Information System (INFIMIS)
243
-------
EPA SERIES NO. 090A
Inter-library Loan Copywrite
Inventory Tracking System
Investigation Tracking System (ITS)
Labor Services Request Tracking System (LSRTS)
Laboratory Management Information System (LMIS)
Mail Distribution System (MDS)
Mail Management System (MMS)
Management Audit Tracking System (MATS)
NEIC Library System
OA-Cinc (EMSAC) Library Circulation System (LCS)
Office of Civil Rights Reporting System (OCRS)
Office of Research and Development Information Systems (ORDIS)
OPP Planning Support System (OPPAS)
Operation Information System (OIS)
ORD Equipment Justification System (OEJS)
OSWER Data Resource Directory (DRD)
Paperwork Reduction Act Management System (PRAMS)
Performance Standards System
Personal Computer Inventory System (PCIS)
Personal Property Accountability System (PPAS)
Personal Property Accounting System (PPAS)
Personnel Security System (PSS)
PhotoCopv System (PCS)
Prime Audit Tracking System (PATS)
Program Management System (PMS)
Project Officer Record System (PORS)
Project Output Planning System (POPS)
Project Tracking System (PTS)
Purchase Order System (POS)
Reference Manager (RM)
Scheduling and Allocation Monitoring System (SAM)
SEA Audits
Small Procurement Automated Tracking System (SPATS)
Small Purchases Automated Management System (SPAMS)
Superfund Cost Organization and Recovery System (SCORE $)
Supply Store System (SSS)
Telephone Call Analysis System (TCAS)
Time Accounting System
Time and Accounting Information System (TAIS)
Training Data System (TDS)
Travel Funds Tracking System (TFTS)
Utilization Management (FMSD)
Warehouse Inventory Control System (WIC)
Warehouse Inventory System (WIS)
Workstation Inventory System (WIS)
CUSTODIAL INFORMATION:
CONTROLLING UNIT: Multiple units CONTACT POINT:
Name: Nam*:
Location: Hail Coda:
Inclusive Dataa: Telephone:
Volume on Hand (Fast): Office:
Annual Accumulation: Room:
(feat or inches)
244
-------
EPA SERIES NO. 09OA
CONTROL INFORMATION:
RELATED ITEMS: EPA 063A, EPA 083A, EPA 089A, EPA 162A, EPA 154A, EPA 170A,
EPA 171A, EPA 172A, EPA 173A, EPA 174A, EPA 175A, EPA 176A, EPA 177A,
EPA 178A, EPA 179A, EPA 304A, EPA 305A, EPA 306A
PREVIOUSLY APPROVED BY
NARA SCHEDULE NOS:
Approval Approval Entry Last
Data EPA Data NARA Data Modified
9/24/92 4/30/93
245
-------
246
-------
DRAFT OP 4/7/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Travel Expense Files (Originating Office Copies)
PROGRAM: All Programs
EPA SERIES NOt 121A
NARA SCHEDULE NO. Nl-412-86-2/10
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: Includes reference copies of travel records used to account for
employees while on travel status, and to request 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, and other expense receipts and related
correspondence.
ARRANGEMENT: Arrangement varies.
TYPE OF RECORDS: SPECIFIC RESTRICTIONS:
Case files Privacy Act
MEDIUM: VITAL RECORD:
Paper, electronic, microfilm No
FUNCTIONS SUPPORTED:
Program management
SPECIFIC LEGAL REQUIREMENTS:
None
247
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EPA SERIES NO. 121A
DISPOSITION INFORMATION:
PINAL DISPOSITIONS TRANSFER TO PRC PERMITTED:
Disposable No
PILE BREAK INSTRUCTIONS: Break file each year.
DISPOSITION INSTRUCTIONS: Keep inactive materials in office up to 3 years
after file break, then destroy.
APPLICATION GUIDANCE:
REASONS FOR DISPOSITION: Disposition previously approved by the National
Archives.
AGENCYWIDE GUIDANCE: This item is used by programs submitting travel
vouchers. Record copies on microfiche are held by Financial Management
Division. Accounting and financial management offices approving the vouchers
should consult NARA's General Records Schedule, Chapter 9, for further
guidance.
As required by 3 6 CFR 1228.58, records with special restrictions such as
confidential business information (CBI) or exempted from disclosure by statute
such as the Privacy Act must be shredded with witness disposal.
PROGRAM OFFICE GUIDANCE/ DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATION:
CONTROLLING UNIT: Multiple units
Name:
Location:
Inclusive Dates:
Volume on Hand (Feat) :
Annual Accumulation:
(fast or inches)
CONTROL INFORMATION:
RELATED ITEMS:
PREVIOUSLY APPROVED BY
NARA SCHEDULE NOS:
CONTACT POINT:
Name:
Mail Code:
Telephone:
Office:
Room:
Approval
Date EPA
7/24/86
Approval
Date NARA
12/31/86
Entry Last
Data Modified
8/19/91 4/7/93
248
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DRAFT OP 5/4/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Personnel Reference Files
PROGRAM: A11 Programs
EPA SERIES NO: 122A
NARA SCHEDULE NO. General Records Schedule 1/18
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: Records consist of copies of personnel records maintained at the
supervisory level. Records consist of copies of personal qualifications
statements, position descriptions, personnel action forms, performance
evaluations, and other related records (reference copies only.)
ARRANGEMENT: Arrangement varies.
TYPE OP RECORDS: SPECIPIC RESTRICTIONS:
Subject files Privacy Act
MEDIUM: VITAL RECORD:
Paper No
FUNCTIONS SUPPORTED:
Reference
SPECIFIC LEGAL REQUIREMENTS:
None
249
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EPA SERIES NO. 122A
DISPOSITION INFORMATION:
FINAL DISPOSITION; TRANSFER TO FRC PERMITTED:
Disposable No
FILE BREAK INSTRUCTIONS: Mot applicable.
DISPOSITION INSTRUCTIONS: Review annually and destroy superseded or obsolete
documents. Keep remaining materials in office until separation or termination
of employment., then destroy.
APPLICATION GOXIMfCEi
REASONS POR DISPOSITION: Copies used for reference purpose only. See NARA
General Records Schedule 1, Item 18.
AGENCYWIDE GUIDANCE: Official record copies of these files are maintained by
the Agency's personnel office which should be retained as specified in NARA's
Genera.1 Records Schedule 1, Item 1. Other copies are sent to employee,
payroll, and a copy is retained in personnel. Time and attendance records are
scheduled as EPA 276A.
As required by 3 6 CFR 1228.58, records with special restrictions such as
confidential business information (CBI) or exempted from disclosure by statute
such as the Privacy Act must be shredded with witness disposal.
PROGRAM OFFICE GUIDANCE/ DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATION:
CONTROLLING UNIT: Multiple units
Name:
Location:
Inclusive Dates:
Volume on Hand (Feet):
Annual Accumulation:
(feet or inches)
CONTROL INFORMATION:
RELATED ITEMS:
CONTACT POINT:
Name:
Kail Code:
Telephone:
Office:
Room:
PREVIOUSLY APPROVED BY
NARA SCHEDULE NOS: Nl-412-86-2/11
Approval
Data EPA
7/24/86
Approval
Date KARA
12/31/86
Entry Last
Data Modified
8/19/91 5/4/93
250
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DRAFT OP 4/7/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Employee Training Files (Originating Office Copies)
PROGRAM: All Programs
EPA SERIES MO: 123A
NARA SCHEDULE NO. Nl-412-86-2/12
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: Includes reference copies of employee training records,
maintained at the supervisory level. Records consist of training request,
authorization, record forms, nomination forms, interagency training agreement
forms, and other related correspondence and records.
ARRANGEMENT: Arrangement varies.
TYPE OP RECORDS: SPECIFIC RESTRICTIONS:
Subject files None
MEDIUM: VITAL RECORD:
Paper No
FUNCTIONS SUPPORTED:
Reference
SPECIFIC LEGAL REQUIREMENTS:
None
251
-------
EPA SERIES HO. 123A
DISPOSITION INFORMATION-.
PINAL DISPOSITION: TRANSFER TO PRC PERMITTED!
Disposable No
PILE BREAK INSTRUCTIONS: Break file annually.
DISPOSITION INSTRUCTIONS: Keep inactive materials in office up to 1 year
after file break, then destroy.
APPLICATION GUIDANCE:
REASONS POR DISPOSITION: Copies used for reference purposes only.
Disposition previously approved by the National Archives.
ACENCYWIDE QUIDANCE: Record copies of these files held by the Training
Office should be destroyed in accordance with NARA General Records Schedule 1,
Item 29b.
Records used for planning, preparing, writing, arranging, and conducting
training are scheduled as EPA 200A.
As required by 36 CFR 1228.58, records with special restrictions such as
confidential business information (CBI) or exempted from disclosure by statute
such as the Privacy Act must be shredded with witness disposal.
PROGRAM OFFICE GUIDANCE/ DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATION;
CONTROLLING UNIT: Multiple units CONTACT POINT:
Name: Nana t
Location: Mail Coda:
Inclusive Sates: Telephone:
Volume os Hand (Feat): Office:
Annual Accumulation: Room:
(feet or inches)
CONTROL INFORMATION:
RELATED ITEMS: GRS l/29b, EPA 2 0OA
PREVIOUSLY APPROVED BY
NARA SCHEDULE NOS:
Approval Approval Entry Last
Date EPA Data NARA Data Modified
7/24/86 12/31/86 8/20/91 4/7/93
252
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DRAFT OP 4/7/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Requests/Requisitions for Supplies or Services
PROGRAM: All Programs
EPA SERIES NOi 124A
NARA SCHEDULE NO. Nl-412-86-2/13
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: Includes reference copies of requests for office services or
supplies, printing, etc. Records consist of procurement requests/requisition
forms, requests for duplication or printing, building/labor services, machine
requests, and other related records.
ARRANGEMENT: Arrangement varies.
TYPE OP RECORDS: SPECIFIC RESTRICTIONS:
Forms None
MEDIUM: VITAL RECORD:
Paper No
FUNCTIONS SUPPORTED:
Reference
SPECIFIC LEGAL REQUIREMENTS:
None
253
-------
EPA SERIES NO. 124A
DISPOSITION INFORMATION:
FINAL DISPOSITION:
Disposable
FILE BREAK INSTRUCTIONS!
DISPOSITION INSTRUCTIONSi
break, then destroy.
APPLICATION GUIDANCE:
REASONS FOR DISPOSITION)
for reference purposes only.
TRANSFER TO PRC PERMITTED:
No
Break file annually; bring forward active material.
Keep inactive material in office 1 year after file
Disposition meets administrative needs. Copies used
AGENCYWIDE GUIDANCES This item covers hold back copies of requests for
supplies and services maintained by requesting office. Record copies of these
items are maintained by the office responding to the request. They should
consult the NARA General Records Schedule 3, item 3.
Requests for ADP Hardware and Software are scheduled as EPA 305A.
PROGRAM OFFICE GUIDANCE/ DESCRIPTIVE INFORMATION:
custodial, iffroftKa/rxo?r?
CONTROLLING UNtl: Multiple ar.its
Nana:
Location:
Inclusive Dates:
Volume on Hand (Feat):
Annual Accumulation:
(feet or inches)
CONTROL INFORMATIONt
RELATED ITEMSj GRS 3/3, EPA 305A
PREVIOUSLY APPROVED BY
NARA SCHEDULE NOS:
CONTACT POIHT:
Hu»i
Mfl.il Code:
Telephone:
Office:
Room:
Approval
Data EPA
7/24/86
Approval
Data KARA
12/31/86
Entry
D*ta
8/20/91
Last
Kodifiad
4/7/93
254
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DRAFT O? 4/8/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Office Equipment Service Contracts File
PROGRAM! All Programs
EPA SERIES HO: 125A
NASA SCHEDULE NO. Nl-412-36-2/14
APPLICABILITY: Agencywide
IDENTIFYING INFORMATIONs
DESCRIPTION: Includes copies of service agreements for office equipment
maintenance or other contractual agreements for office services used for
reference or general office administration.
ARRANGEMENT: Arrangement varies.
TYPE OP RECORDS: SPECIFIC RESTRICTIONS:
Contracts None
MEDIUM: VITAL RECORD:
Paper No
FUNCTIONS SUPPORTED:
Reference
SPECIFIC LEGAL REQUIREMENTS:
None
255
-------
EPA SERIES NO. 125A
DISPOSITION IHPORMATIOlfi
PINAL DISPOSITION: TRANSFER TO PRC PERMITTED:
Disposable No
PILE BREAK INSTRUCTIONS: Break file at termination of agreement.
DISPOSITION INSTRUCTIONS: Keep in office up to 1 year after contract becomes
obsolete or is superseded by new agreement, then destroy.
APPLICATION GUIDANCE:
REASONS FOR DISPOSITION: Nonrecord copy used for reference purposes only.
Record copies are maintained by the contract office.
AGENCYWIDE GUIDANCE: Record copies of contract files are scheduled under EPA
020A (Superfund Site Specific), EPA 202A (all programs except Superfund site
specific), and NARA General Records Schedule 3.
PROGRAM OFFICE GUIDANCE/ DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATION:
CONTROLLING UNIT: Multiple units
Name:
Location:
Inclusive Datest
Volume on Hand (Feet):
Annual Accumulation:
(feet or inches)
CONTROL INFORMATION:
RELATED ITEMS: EPA 020A, EPA 202A
PREVIOUSLY APPROVED BY
NARA SCHEDULE NOS:
CONTACT POINT:
Name:
Kail Code:
Telephone:
Office:
Room:
Approval
Date EPA
Approval
Date NARA
7/28/86
Entry
Date
8/20/91
Last
Modified
4/8/93
256
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DRAFT OF 4/8/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: General Correspondence Files
PROGRAM: A11 Programs
EPA SERIES NO: 127A
NARA SCHEDULE NO. Pending
(Use this number to retire records to the PRC)
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: Contains copies of all non-controlled correspondence and
memoranda relating to work accomplishments, personnel needs, and other routine
activities of the office. Includes incoming letters and enclosures.
ARRANGEMENT: Arrangement varies.
TYPE OP RECORDS: SPECIFIC RESTRICTIONS:
Correspondence files None
MEDIUM: VITAL RECORD:
Paper No
FUNCTIONS SUPPORTED:
Program operations
SPECIFIC LEGAL REQUIREMENTS:
None
257
-------
EPA SERIES NO. 127A
DISPOSITION INFORMATION:
FINAL DISPOSITION: TRANSFER TO PRC PERMITTED:
Disposable Yes
FILE BREAK INSTRUCTIONS: Break file at end of year.
DISPOSITION INSTRUCTIONS; Keep inactive files in office at least 1 year after
file break, then retire to the FRC. Destroy when 5 years old.
APPLICATION GUIDANCES
REASONS FOR DISPOSITION: This items combines a number of previously approved
items and provides a consistent retention Agencywide.
AGENCYWIDE GUIDANCE: This item covers all general or uncontrolled
correspondence files in all programs Agencywide. Controlled correspondence is
scheduled as EPA 141A. Records documenting the organization and program
development of the Agency are covered in EPA 105A. See EPA 006A for records
relating to program management activities. General administrative and
housekeeping records, other than correspondence, are scheduled under EPA 110A.
PROGRAM OFFICE GUIDANCE/ DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATION:
CONTROLLING UNIT: Multiple units
Name:
Location:
Inclusive Dates:
Volume on Hand (Peat):
Annual Accumulation:
(feet or inches)
CONTACT POINT:
Nana:
Mail Coda:
Telephone:
Office:
Room:
CONTROL INFORMATION:
RELATED ITEMS: EPA 006A, EPA 105A, EPA 110A, EPA 141A
PREVIOUSLY APPROVED BY
NASA SCHEDULE NOS: NC1-412-84-1/2, NC1-412-84-2/12, NC1-412-85-2/1,
NCI-412-85-3/2, 9, NCl-412-85-4/2, NC1-412-85-6/2, NCI-412-85-7/2, 6, 7,
NC 1-412-85-8/1, NC1-412-85-10/2, NC1-412-85-11/2, 6b, NC1-412-85-12/2,
NC1-412-85-13/2, NC1-412-85-14/2, NCl-412-85-15/lb, NC1-412-85-16/2,
NC1-412-85-19/2, NC1-412-85-21/3, NCl-412-85-22/20, 22, NC1-412-85-24/14
NCI-412-85-25/lb, NC1-412-85-26/I/1, NC1-412-85-27/1, NC1-412-85-28/1,
Nl-412-86-1/2, Nl-412-86-3/2, N1-412-8S-4/10, Nl-412-87-2/2,
Nl-412-87-4/2, Nl-412-87-5/2
10,
Approval
Date EPA
Approval
Date NARA
Entry
Date
8/20/91
Last
Modified
4/8/93
258
-------
DRAFT OP 4/30/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Controlled and Major Correspondence
PROGRAM: All Programs
EPA SERIES HO: 141A
KARA SCHEDULE MO. Pending
(Use this number to retire records to the FRC)
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: Includes copies of signed controlled and major correspondence.
The correspondence significantly documents the program activities and was
processed under special handling control procedures because of the importance
of the letters or time requirements of replies. Records consist of copies of
incoming letters, copies of the responses, and enclosures. Also includes
indexes to the correspondence.
There are two types of records:
a. Controlled and major correspondence of the offices of EPA Administrators,
Deputy Actaar.isrrators, Assistant and Associate Administrators, Office of
General Counsel, Office of Inspector Generalr and Headquarters Office
Directors.
b. Controlled and ma.; or correspondence ef the oEEices of Divisic-n Directors
ar.d other perscarel.
ARRANGEMENT: Arrangement varies.
TYPE OP RECORDS: SPECIFIC RESTRICTIONS:
Correspondence files None
MEDIUM: VITAL RECORD:
Paper, electronic No
FUNCTIONS SUPPORTED:
Program management
SPECIFIC LEGAL REQUIREMENTS:
None
259
-------
EPA SERIES NO. 141A
DISPOSITION INFORMATION':
FINAL DISPOSITION: TRANSFER TO FRC PERMITTED:
a(l). Record copy: Permanent Yes
(2). All other copies:
Disposable No
b. Disposable Yes
FILE BREAK INSTRUCTIONS: Break file at end of year; bring forward active
materials.
DISPOSITION INSTRUCTIONS t
a(l). Keep inactive materials in office 1 year after file break, then retire
to FRC. Transfer to National Archives in 5 year blocks, when the most recent
record is 20 years old.
(2). Keep until no longer needed, then destroy.
b. Keep inactive materials in office 1 year after file break, then retire to
FRC-. Destroy when 10 years old.
APPLICATION GUIDANCE:
REASONS FOR DISPOSITION: This item replaces several program specific items,
and coverage has been expanded so that all programs are treated in a uniform
fashion.
AGENCYWIDE GUIDANCE: Indexes for permanent controlled and major
correspondence files are also permanent records. If the index is paper,
enclose a copy of the index together with the correspondence files when the
files are transferred to the FRC. If the index is electronic, retire a copy
of the index to the National Archives when the correspondence is retired to
the FRC.
Routine correspondence and memoranda are scheduled as EPA 127A.
PROGRAM OFFICE GUIDANCE/ DESCRIPTIVE INFORMATION:
Office of the Administrator and Deputy Administrator - Includes former
interagency correspondence file and environmental multiple letters file as
item a(l). Other previous schedule items combined into this schedule were for
the following programs: Federal Activities, General Counsel, Regional
Operations, Intergovernmental Liaison, Water, Solid Waste, Emergency and
Remedial Response, Toxic Substances, Enforcement and Compliance Monitoring,
Mobile Source, Air Quality Planning and Standards, International Activities,
Research and Development, Pesticides, Radiation, Information and Resource
Management, Inspector General, Legislative, Planning and Evaluation and
Program Reporting, and Public Affairs. Specific item numbers are cited below.
CUSTODIAL INFORMATION:
CONTROLLING UNIT: Multiple units CONTACT POINT:
Name < Name:
Location* Kail Code:
Inclusive Dates: Telephone:
Volume on Hand {Feet) : Office:
Annual Accumulation: Roam:
(feet or inches)
260
-------
EPA SERIES NO. 141A
CONTROL INFORMATION:
RELATED ITEMS: EPA 127A
PREVIOUSLY APPROVED BY
NARA SCHEDULE HOS: NC1-412-84-1/1, NC1-412-84-2/11, NC1-412-85-3/1,
NC1-412-85-4/1, NC1-412-85-6/1, NC1-412-85-7/1, NC1-412-85-L0/1,
NC1-142-85-11/1, 3, 6a; NC1-412-85-12/1, NC1-412-85-13/1, NC1-412-85-14/I,
Nl-412-85-15/lb(l), NC1-412-85-16/1, NC1-412-85-22/6, NC1-412-85-24/13,
NI-412-36-1/1, Nl-412-36-3/I, Nl-412-86-4/9, NI-412-87-2/I, NI-412-87-4/1,
NI-412-87-5/1
Approval Approval Entry Last
Data EPA Data KARA Data Hodifiad
8/26/91 4/30/93
261
-------
262
-------
DRAFT OP 3/26/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Regulations, Standards, and Guidelines
PROGRAM: All Programs
EPA SERIES NO: 149A
NARA SCHEDULE NO. Pending
(Use this number to retire records to the FRC)
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: Files contain information relating to the development, review, and
approval of published and unpublished rules and regulations pursuant to
environmental legislation passed by Congress. Records include drafts of proposed
regulations and guidelines, the final regulations and guidelines, public and
internal comments including concurring and dissenting opinions, hearing
transcripts, background documents and other technical support material generated
during the process to develop and approve the regulation, standard, or guideline,
along with current indices of documents both included and cited as precedent.
Files may include confidential business information or other information to which
access is restricted.
ARRANGEMENT: Arranged by regulation, standard, or guideline.
TYPE OP RECORDS: SPECIFIC RESTRICTIONS:
Case files Confidential Business Information
Enforcement Sensitive Information
MEDIUM: VITAL RECORDS:
Paper, microfilm No
FUNCTIONS SUPPORTED:
Regulatory development
SPECIFIC LEGAL REQUIREMENTS:
Administrative Procedures Act and various program statutes
263
-------
EPA SERIES NO. 149A
DISPOSITION INFORMATIONS
PINAL DISPOSITION: TRANSPER TO PRC PERMITTED:
a. Published regulations,
standards and guidelines
(microform or non-microformed
paper): Permanent Yes
b. Unpublished regulations,
standards and guidelines
(microform or non-microformed
paper): Disposable Yes
FILE BREAK INSTRUCTIONS:
a. If record is paper, break file on completion of rulemaking process or
approval of guideline. If record is microformed, break file upon completion of
quality assurance check.
b. If record is paper, break file upon decision to not publish the regulation
standard, or guideline. If record is microformed, break file upon completion of
quality assurance check.
DISPOSITION INSTRUCTIONS:
a. If record is paper, keep inactive materials in office up to 5 years after
file break, then retire to the FRC along with indices. Transfer to the National
Archives when 2 0 years old.
If record is microform, retire one silver gelatin copy and one diazo copy to the
FRC along with finding aids and indices. Transfer to the National Archives when
20 years old. Retain one silver halide copy and two diazo copies for office use
Destroy paper after quality assurance check is completed. Destroy Agency
microform copies when superseded or no longer needed.
b. If record is paper, keep inactive materials in office up to 3 years after
file break, then retire to the FRC. Destroy when 10 years old.
If record is microform, retire one silver gelatin copy and one diazo copy to the
FRC along with finding aids and indiceg. Retain one silver halide copy and two
diazo copies for office use. Keep in office up to 3 years, then transfer to the
FRC. Destroy when 10 years old.
APPLICATION GUIDANCE!
REASONS FOR DISPOSITION: This item combines and extends a number of program
specific items from previous schedules and coverage has been extended to create
uniform guidance. These records are part of the basic documentation of the
Agency's rulemaking function. They form part of the core documentation of the
Agency's work and are necessary for adequate and proper documentation of how
environmental regulations are developed and approved. When the development of
regulations, standards, and guidelines is stopped prior to publication, the
information constitutes necessary background of the decision making process and
the development of related rules. Existing schedules did not allow for these
unpublished records and resulted in the unnecessary permanent retention of
disposable material.
AOEHCYWIDE GUIDANCE: This disposition covers all published and unpublished
regulations, standards, and guidelines. The issuing office is responsible for
implementing the disposition and ensuring that a permanent record is maintained
The official set of these records maintains those items specified in the
Administrative Procedures Act and are to be sufficiently complete so that thev
can serve as the administrative record if necessary. y
The official set may be designated in certain programs as held in the rulemakina
docket supporting the program, which would then be responsible for ensuring the
264
-------
EPA SERIES NO. 149A
completeness of the records and for implementing disposition as a permanent
record. In such cases, the program sponsoring the regulation need only retain
documents (such as those containing sensitive information) not included in the
docket file. Background or deliberative material not going to the docket must
be retained in the sponsoring office and disposed of in accordance with
disposition instructions a.
Reference copies should be destroyed when superseded. Working papers with no
significant information should be destroyed when final rule is promulgated.
If records are microformed, it is recommended that the unit retain a silver
halide set as well as diazo sets on site which will simplify making copies.
For Administrative Records for permits see EPA 210R. Dockets are scheduled as
EPA 150A. See EPA 154A for legislation.
PROGRAM OPPICE GUIDANCE/ DESCRIPTIVE INFORMATIONS Previous schedule items
combined into this schedule were for the following programs: Water, Solid Waste,
Emergency & Remedial Response, Toxic Substances, Air Quality Planning and
Standards, Environmental Services, Pesticides, Assistance and Interagency
Agreements, Radiation, Planning and Evaluation and Program Reporting. Specific
item numbers are cited below.
CUSTODIAL INFORMATION:
CONTROLLING UNIT: Multiple units
Name:
Location:
Inclusive Dates:
Volume on Hand (Feet):
Annual Accumulation:
(feet or inches)
CONTACT POINT:
Name:
Mail Code:
Telephone:
Office:
Room:
CONTROL INFORMATIONS
RELATED ITEMS: EPA 150A, EPA 154A, EPA 210R
PREVIOUSLY APPROVED BY
NARA SCHEDULE NOS: NC1-412-85-6/7a, b and c, NC1-412-85-7/13,
NCl-412-85-10/14, NCl-412-85-12/13a, b and c, NCl-412-85-15/5a and b,
NCl-412-85-17/6, NC1-412-85-21/4, NC1-412-85-22/9, NC1-412-85-24/8,
NCI-412-85-25/3, Nl-412-86-1/7, Nl-412-87-4/7
Approval
Date EPA
Approval
Date NARA
Entry
Date
3/30/92
Last
Modified
3/26/93
265
-------
266
-------
Draft of 5/4/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES XITIiE: Reports to Congress and/or the President
PROGRAM: All Programs
EPA SERIES NO: 155A
NARA SCHEDULE NO. Pending
(Use this number to retire records to the FRC)
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: Consists of reports made to Congress and/or the President by EPA
in accordance with the mandates of all environmental legislation. Records
include reports prepared by EPA Assistant Administrators of the various
Headquarters Program Offices. Report presents the objectives and accomplishments
of the program, a summary of outstanding environmental problems in order of
priority, recommendations for proposed legislation which is necessary in solving
these problems, and plans for program activities during the next fiscal year.
ARRANGEMENT: Arrangement is chronological by fiscal year.
TYPE OP RECORDS: SPECIFIC RESTRICTIONS:
Reports None
MEDIUM: VITAL RECORDS:
Paper No
FUNCTIONS SUPPORTED:
Program direction
SPECIFIC LEGAL REQUIREMENTS:
Varies by statute
267
-------
EPA SERIES NO. 155A
DISPOSITION INFORMATION:
PINAL DISPOSITION: TRANSFER TO PRC PERMITTED:
a. Final report: Permanent Yes
b. Work files: Disposable Yes
PILE BREAK INSTRUCTIONS: Break file upon transmission to Congress or President.
DISPOSITION INSTRUCTIONS:
a. Keep inactive materials in office up to 5 years after file break, then retire
to FRC. Transfer to the National Archives in 5 year blocks when the most recent
record is 20 years old.
b. Keep inactive materials in office up to 2 years after file break, then retire
to the FRC. Destroy 6 years after file break.
APPLICATION GUIDANCE:
REASONS POR DISPOSITION: This item replaces several program specific items and
coverage has been expanded so that all programs are treated in a uniform fashion.
In most if not all cases the program specific items scheduled the report records
a^s permanent and the work files as disposable. Electronic records such as test
files and spreadsheets specifically created to support production of the reports
are disposable under NARA General Records Schedule 23.
AGENCYWIDE GUIDANCE: Office that is responsible for submitting the report is
responsible for maintaining the record copy of the report and for ensuring that
a permanent record is maintained.
Work files pertaining to the organization, design, construction, evaluation, and
revision of the report generated by participating program offices are to be
maintained by the program offices involved. These work files will vary according
to the participation of the program and may include requests to form work groups,
work plans, minutes of work group meetings, initial and corrected drafts of
reports or parts of reports, distribution lists, and comments on drafts. All
other office and information copies of the final reports and drafts are to be
destroyed when no longer needed.
PROGRAM OPPICE GUIDANCE/ DESCRIPTIVE INFORMATION: Previous schedule items
combined into this schedule were for the following programs: Water, Solid Waste,
Emergency and Remedial Response, Facilities and Support Services, and Planning
and Evaluation and Program Reporting. Specific item numbers are cited below.
CUSTODIAL INFORMATION:
CONTROLLING UNIT: Multiple units CONTACT POINT:
Name: Name:
Location: Hail Coda:
Inclusive Dates: Telephone:
Volume on Hand (Feet): Office:
Annual Accumulation: Room:
(feet or inches)
CONTROL INFORMATION:
RELATED ITEMS:
PREVIOUSLY APPROVED BY
NARA SCHEDULE NOS: NCl-412-85-6/41, NCI-412-85-7/21, NC1-412-85-10/22,
NCI-412-35-26/VIII/4, Nl-412-37-4/8
268
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EPA SERIES NO. 155A
Approval
Data EPA
Approval
Data NARA
Entry
Data
3/30/92
Last
Modified
5/4/93
269
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270
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DRAFT OF 4/12/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Tracking and Control Records
PROGRAM: All Programs
EPA SERIES NO: 168A
KARA SCHEDULE NO. General Records Schedule 23/8
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: Logs, registers, and other records in hard copy or electronic
form used to control or document the status of correspondence, reports, or
other records that are authorized for destruction by the NARA General Records
Schedules or a NARA-approved records disposition schedule.
ARRANGEMENT: Arranged chronologically.
TYPE OP RECORDS: SPECIFIC RESTRICTIONS:
Logs, registers None
MEDIUM: VITAL RECORD:
Paper No
FUNCTIONS SUPPORTED:
Program management
SPECIFIC LEGAL REQUIREMENTS:
None
271
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EPA SERIES NO. 168A
DISPOSITION INFORMATION:
PINAL DISPOSITION: TRANSFER TO FRC PERMITTED:
Disposable No
FILE BREAK INSTRUCTIONS: Not applicable.
DISPOSITION INSTRUCTIONS: Destroy when related records are destroyed or when
no longer needed, whichever is later.
APPLICATION GUIDANCE:
REASONS FOR DISPOSITION: Conforms to NARA General Records Schedule 23/3.
AGENCYWIDE GUIDANCE: This schedule item is to be used for paper-based
tracking and control systems. See EPA 089A - Information Tracking Systems for
PC-based systems.
PROGRAM OFFICE GUIDANCE/ DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATION:
CONTROLLING UNIT: Multiple units
Name:
Location:
Inclusive Dates:
Volume on Hand (Feet):
Annual Accumulation:
{feat or inches)
CONTROL INFORMATION:
RELATED ITEMS: EPA 089A
PREVIOUSLY APPROVED BY
NARA SCHEDULE NOS:
CONTACT POINT:
Name:
Mail Code:
Telephone:
Office:
Room:
Approval
Date EPA
Approval
Date NARA
10/30/89
Entry
Date
9/24/91
Last
Modified
4/12/93
272
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DRAFT OF 4/23/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Input/Source Records
PROGRAM: All Programs
EPA SERIES NO: 171A
KARA SCHEDULE NO. General Record Schedule 20/2
APPLICABILITY: Agency-wide
IDENTIFYING INFORMATION:
DESCRIPTION: This item covers the following type of input/source documents:
a. Non-electronic documents or forms designed and used solely to create, update,
or modify the records in an electronic medium and not required for audit or legal
purposes (such as need for signatures) and not previously scheduled for permanent
retention in a NARA-approved agency records schedule.
b. Electronic records, except as noted in item c below, entered into the system
during an update process, and not required for audit and legal purposes.
c. Electronic records received from another agency and used as input/source
records by the receiving agency, EXCLUDING records produced by another agency
under the terms of an interagency agreement, or records created by another agency
in response to the specific information needs of the receiving agency.
d. computer files or records containing uncalibrated and unvalidated digital or
analog data collected during observation or measurement activities or research
and development programs and used as input for a digital master file or data
base .
ARRANGEMENT:
TYPE OP RECORDS:
Electronic
SPECIFIC RESTRICTIONS:
None
MEDIUM:
Paper, electronic
FUNCTIONS SUPPORTED;
Program operations
VITAL RECORD:
No
SPECIFIC LEGAL REQUIREMENTS:
None
273
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EPA SERIES HO. 171A
DISPOSITION INFORMATION:
PINAL DISPOSITION:
Disposable
FILE BREAK INSTRUCTIONS:
TRANSFER TO FRC PERMITTED:
No
DISPOSITION INSTRUCTIONS:
a. Destroy after the information has been converted to an electronic medium and
verified, or when no longer needed to support the reconstruction of, or serve as
the backup to, the master file, whichever is later.
b. Delete when data have been entered into the master file or data base and
verified, or when no longer required to support reconstruction of, or serve as
back-up to a master fila or data base, whichever is later.
c. Delete when data have been entered into the master file or data base and
verified, or whan no longer needed to support reconstruction of, or serve as back
up to, the master file or data base, whichever is later.
d. Delete after the necessary data have been incorporated into a master file.
Conforms to General Records Schedule 20/2.
APPLICATION GUIDANCE:
REASONS POR DISPOSITION:
AGENCVWIDE GUIDANCE: May be used for mainframe, LAN and PC-based systems.
Many input documents for major data bases must be retained because they are
signed by the submitting party. In such cases a specific disposition has been
assigned superseding this general one.
If the input documents include information that is not entered into the data
file, those input records need to be scheduled separately.
Other schedules for segments or phases of information systems include:
EPA 170A - Piles/Records Used to Create and Maintain Master Files
EPA 172A - Master Files (Including Master Files That Are Components of Data
Base Management Systems) Relating to Administrative Functions
EPA 173A - Data Files Consisting of Summarized Information
EPA 174A - Records Consisting of Extracted Information
EPA 175A - Print Files
EPA 176A - Technical Reformat File
EPA 177a - Security Backup File
EPA 179A - Special Purpose Programs
PROGRAM OFFICE GUIDANCE/ DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATION:
CONTROLLING UNIT: Multiple units
Nam*:
Location:
Inclusive Data*:
Volume on Hand (Faat):
Annual Accumulation:
CONTACT POINT:
Kama:
Hail Coda:
Talaphona:
Offlea:
Room:
274
-------
EPA SERIES NO. 171A
(Cast or inches)
CONTROL INFORMATION:
RELATED ITEMS: EPA 170A, EPA I'm, EPA 173A, EPA 174A, EPA 175A, EPA 176A,
EPA 177A, EPA 179A
PREVIOUSLY APPROVED BY
MARA SCHEDULE NOS:
Approval Approval Entry Last
Data SEA Data KARA Data Modified
10/30/39 9/24/91 4/23/93
275
-------
276
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Draft of 4/22/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Contract Management Records
PROGRAM: All Programs except Superfund Site Specific
EPA SERIES NO: 202A
NARA SCHEDULE NO. Pending
(Use this number to retire records to the FRC)
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: Contract records include all correspondence and related records
pertaining to the award, administration, receipt, inspection and payment of any
and all contracts, requisitions, purchase orders, leases, and bond and surety
agreements to which EPA is a party and which are maintained and used by the
Agency or Contracting Officer for contract documentation and for performance and
financial monitoring and oversight activities.
Excludes Superfund Contract Management Records which are site specific, final
deliverables, and unsuccessful bids and proposals which are scheduled separately.
ARRANGEMENT: Arranged by contract.
TYPE OP RECORDS: SPECIFIC RESTRICTIONS:
Contracts Confidential Business Information
Enforcement Sensitive Information
Privacy Act
MEDIUM: VITAL RECORD:
Paper No
FUNCTIONS SUPPORTED:
Administration
SPECIFIC LEGAL REQUIREMENTS:
43 CFR Chapters 1 and 15
277
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SPA SERIES HO. 202A
DISPOSITION INFORMATION:
FINAL DISPOSITION: TRANSFER TO PRC PERMITTED:
Disposable Yes
FILE BREAK INSTRUCTIONS:
a. Responsible Contracting Officer - Break file upon termination or expiration
of contract.
b. Project Officer (PO) - Break file upon filing of final invoice for deliver*/
order or work assignment.
c. Delivery Order Project Officer (DOPO)/Work Assignment Manager (WAM) - Break
file upon completion of final invoice for delivery order or work assignment.
DISPOSITION INSTRUCTIONS:
Keep inactive materials in office 1 year after file break, then retire to FRC.
Destroy when 7 years old.
APPLICATION GUIDANCE:
REASONS FOR DISPOSITION: Retention period is set for 7 years which is the
statute of limitations in the event of a claim against the Agency.
AGENCTCWIDE GUIDANCE: This series covers oversight of contracts by Headquarters
or field offices, except for site-specific Superfund contracts which are
scheduled as EPA 020A. Final deliverables are scheduled as EPA 25SA. For
Superfund Site-Specific Program Support Agreements, see EPA 001A and EPA 003A for
Grants and Other Support Agreements for programs other than Superfund site
specific. Wastewater Construction Grants are scheduled as EPA 23 2A. Contracts
for office equipment services are found in EPA 125A. Unsuccessful Bids and
Proposals are scheduled as EPA 27 5A.
Documents held by various offices are described below:
a. Responsible Contracting Officer - Record copy of RFPs, successful bids and
proposals, contract and modifications; financial and payment documents; contract
specifications, drawings or manuals incorporated into the contract by reference-
project officer and contract monitor designations; notices to proceed, stop work
or correct deficiencies; and related documents.
b. Project Officer - Record copy of performance evaluations, technical and
financial progress reports.
c. Delivery Order Project Officers and Work Assignment Managers - Record copy
of documents used for day-to-day technical direction of the contract. Documents
include work plans and schedules, deliverables submitted by the contractor
comments provided to the contract or other records of technical direction'
contract monitoring logs and communication records, meeting records and notes'
evaluation forms, statement of work (SOW) and level of effort (LOE) documents'.
DOPOs maintain invoices for delivery orders and WAMs maintain invoices for WAMs!
Final deliverables are permanent records and are covered by EPA 258A.
Copies of parts of this series (e.g., statements of work, work plans, etc.) may
be kept with the relevant portions of related program records and may be retired
according to the disposition requirements governing the series in which these
records are filed. All other copies can be destroyed when no longer needed.
As required by 3 6 CFR 1228.58, records with special restrictions such as
confidential business information (CBI) or exempted from disclosure by statute
such as the Privacy Act must be shredded with witness disposal.
278
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EPA SERIES HO. 202A
PROGRAM OFFICE GUIDANCE/ DESCRIPTrV
CUSTODIAL INFORMATION:
CONTROLLING DNITs Multiple units
Mama:
Location:
Incluaiva Data*:
Volmna on Sand (Faat):
Annual Accumulation:
(fast or inchaa)
CONTROL INFORMATION:
RELATED ITEMS: EPA 001A, EPA 003A,
EPA 258A
I INFORMATION:
CONTACT POINT:
Kama:
Mail Coda:
Talaph.ona:
OCfica:
Room:
EPA 020A, EPA 055A, EPA 125A, EPA 232A
PREVIOUSLY APPROVED BY
WARA SCHEDTJLE NOS: NC1-412-85-5/4, 6 and 13, NC1-412-85-6/8, NC1-412-35-7
NCI-412-35-10/15, NCI-412-95-12/64 NCI-412-85-14/7, NCI-412-85-22/11,
NCI-412-35-23/4a, NC1-412-85-24/12, Nl-412-86-1/8, Nl-412-36-3/7,
Ml-412-87-5/13
Approval Approval Entry Last
Data EPA Data KARA Data Modified
4/2/92 4/22/93
279
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280
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Draft of 4/27/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Final Deliverables Resulting From Concractor Studies and
Services
PROGRAM: All Programs
EPA SERIES NO: 2S8A
MARA SCHEDULE NO. Pending
(Use this number to retire records to the FRC)
APPLICABILITY: Agencywide
IDENTIFYING XNPORXATIOt?:
DESCRIPTION: Files consist of the final draft and final deliverables
submitted by contractors to the Agency. Records include all final drafts
final deliverables resulting from a contracted service or study and
transmittal letters.
ARRANGEMENT: Arrangement varies.
TYPE OP RECORDS: SPECIFIC RESTRICTIONS:
Case files None
MEDIUM: VITAL RECORD:
Paper, publications, No
data, reports
FUNCTIONS SUPPORTED:
Program operations
SPECIFIC LEGAL REQUIREMENTS:
None
281
-------
EPA SERIES HO. 25 8A
DISPOSITION INFORMATION:
FINAL DISPOSITION: TRANSFER TO FRC PERMITTED:
Permanent Yes
PILE BREAK INSTRUCTIONS: Break file upon completion of Che project.
DISPOSITION INSTRUCTIONS: Keep inactive materials in office 1 year after file
break, then retire to FRC. Transfer to the National Archives when the most
recent record is 20 years old.
APPLICATION GUIDANCE:
REASONS POR DISPOSITION: This item replaces several program specific items
and coverage has been expanded so chat all programs are treated in a uniform
fashion. Existing disposition for these records in most cases was permanent.
JU3ENCYWIDE CtJIDANCE; Work Assignment Managers (WAMsl and Delivery Order
project Officers (DOPOs) assigned oversight of program contracts hold the
trecord copy o£ all contract final deliverables- and are responsible for
implementing the disposition and ensuring that a permanent record is
(ttaintained.
Copies of final deliverables may become part of related records supporting
program offices and if so, they are to be retired according to the disposition
requirements governing that series (e.g., Superfund site files). Information
copies can toe destroyed irtien no longex Tieetled.
Draft deliverables and other documents which do not have long term or
permanent value should be filed with other contract documentation, scheduled
as EPA 020A - Contract Management Records - Superfund Sits Specific, and EPA
202A - Contract Management Records (other than Superfund site specific}.
final products and deliverables for grants and other program support
Agreements are covered in EPA 001A for Superfund site specific and EPA 003A
for programs other than Superfund. Waste Water Construction Grants are
scheduled as EPA 232A.
Another related series is EPA 005A - Special Studies for studies not covered
by other program specific schedules.
PROGRAM OFFICE GUIDANCE/ DESCRIPTIVE INFCRKATION:
CUSTODIAL iKPORtfATXON:
CONTROLLING OWITs Multiple units
Hamm:
location:
Jncluaiv* Dates:
Volume on Hand (Feet} :
Annual Accumulation:
(faae or inehas)
CONTROL INFORMATION:
RELATED ITEMS: EPA 001A, EPA 003A
PREVIOUSLY APPROVED BY
KARA SCHEDULE BOS: NC1-412-35-6/9
tfC 1-412-85-12/8, NCl-4l2-SS-15/3al,
CONTACT POINT t
Name:
Mail Coda:
Talapbone:
Office:
Room:
EPA 005A, EPA 020A, EPA 202A, EPA 232A
and 32, NC1-412-85-7/9, NC1-412-S5-10/16,
Nl-412-36-1/9
282
-------
EPA SERIES NO. 258A
Approval Approval Entry Last
Data EPA Data KARA Data Modified
3/30/92 4/27/93
283
-------
284
-------
DRAFT OP 4/12/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLE: Time and Attendance Records
PROGRAM: All Programs
EPA SERIES NO: 276A
NARA SCHEDULE NO. General Records Schedule 2/3
APPLICABILITY: Agencywide
IDENTIFYING INFORMATION:
DESCRIPTION: Contains forms for payroll processing and preparation. Report
is prepared biweekly. Includes Optional Form 1130 or equivalent and flexitime
attendance records such as supplemental time and attendance records used for
time accounting under Flexitime systems.
ARRANGEMENT: Arranged by employee.
TYPE OF RECORDS: SPECIFIC RESTRICTIONS:
Forms, reports Privacy Act
MEDIUM: VITAL RECORDS:
Paper, microfilm, electronic No
PUNCTIONS SUPPORTEDi
Administration
SPECIFIC LEGAL REQUIREMENTS:
285
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EPA SERIES NO. 276A
DISPOSITION INFORMATION:
PINAL DISPOSITION: TRANSFER TO PRC PERMITTED:
a. Record copy: Disposable No
b. Other copies: Disposable No
PILE BREAK INSTRUCTIONS:
a. If record is microformed, break file upon completion of microfilming. If
record is not microformed, break file at end of year.
b. Break file at end of pay period.
DISPOSITION INSTRUCTIONS:
a. If record is microformed, keep paper until completion of quality assurance
check, then destroy. Keep microform in office until 6 years after file break,
then destroy. If record is not microformed, keep inactive materials in office
6 years after file break, then destroy.
b. Keep inactive materials in office 1 year after file break, then destroy.
APPLICATION GUIDANCE:
REASONS POR DISPOSITION: Deviation from NARA General Records Schedule 2/3 for
disposition of copies held in offices other than the office of record
previously approved in schedule NC1-412-85-27, item II/7.
AGENCYWIDE GUIDANCE: Official record copies are maintained on microfiche by
the Financial Management Division and should be disposed of in accordance with
disposition instructions a.
Other copies such as those held by the employee, payroll, or other offices,
use disposition instructions b, except in cases where they are filed as part
of a related series. For example, copies of time and attendance records used
for Superfund cost recovery would be disposed of in accordance with the
disposition instructions for the cost recovery records. Superfund Cost
Recovery Records are scheduled as EPA 024A.
Other Personnel Reference Files are covered in EPA 122A.
If paper records are converted to microform, see 36 CFR 1230.10 and 36 CFR
1230.20 for microfilm standards.
PROGRAM OFFICE GUIDANCE/DESCRIPTIVE INFORMATION:
CUSTODIAL lifPORMA TIQIf :
CONTROLLING TJNIT:
Nam*:
Location:
Inclusive Dates:
Volume on Hand (Feet):
Annual Accumulation:
(Cut or inches)
CONTROL INFORMATION1;
RELATED ITEMS: EPA 024A, EPA 122A
CONTACT POINT:
Name:
Mail Coda:
Telephone:
Office:
Room:
286
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EPA SERIES NO. 276A
PREVIOUSLY APPROVED BY
NARA SCHEDULE NOS:
Approval
Data SPA
8/2/85
Approval
Data NARA
12/22/86
Entry
Data
4/7/93
Laat
ModiClad
4/12/93
287
-------
288
-------
DRAFT OP 4/21/93
U.S. EPA RECORDS CONTROL SCHEDULE
SERIES TITLEs Records Disposition Files
PROGRAM: All Programs
EPA SERIES NO: 307A
NARA SCHEDULE NO. NC1-412-36-3/15
(Use this number to retire records to the FRC)
APPLICABILITY: Agencywide
IDEtrriFYZNO INFORMATION:
DESCRIPTION: These files contain documents of descriptive inventories, disposal
authorizations, schedules for the retirement of records, approved microfilming
procedures and correspondence relating to revisions.
ARRANGEMENT: Arranged by subject.
TYPE OP RECORDS: SPECIPIC RESTRICTIONS:
Subject files None
MEDIUM: VITAL RECORD:
Paper No
FUNCTIONS SUPPORTED:
Program management
SPECIFIC LEGAL REQUIREMENTS:
None
289
-------
EPA SERIES HO. 307A
DISPOSITION INFORMATION:
PINAL DISPOSITION: TRANSFER TO PRC PERMITTED:
Record copy: Disposable No
PILE BREAK INSTRUCTIONSs Break file when related records are destroyed or
transferred to the National Archives.
DISPOSITION INSTRUCTIONS: Destroy when no longer needed.
APPLICATION GUIDANCE:
REASONS FOR DISPOSITION: Records previously approved for disposal by the
National Archives.
AGENCYWIDE OUTDANCE: The record copy is maintained by the Information Management
Services Division (OIRM). All other copies should be considered information
copies and can be disposed of when no longer needed.
PROGRAM OFFICE GUIDANCE/ DESCRIPTIVE INFORMATION:
CUSTODIAL INFORMATION:
CONTROLLING UNIT:
Nam*: Information Management
and Services Division
Location: 2003 WSM
Inclmiv* Datea: 1970-
Voluata on Hand :
Annual Accumulation:
(feet or inches)
CONTROL INFORMATION:
RELATED ITEMS:
PREVIOUSLY APPROVES BY
KARA SCHEDULE NOS:
Approval
Data EPA
7/23/86
Approval
Date NARA
2/3/87
CONTACT POINT:
Kama: HareId Webster
Mall Cod*: PM 211-D
T*l«ph.oMi 202-260-5912
Officer Information Services
Room: 2003
Entry
Date
3/4/92
Last
Modified
4/21/93
~ U.S. GOVERNMENT PRINTING OFFICE: t993 - 3 41-8 3 5/ 83080
290
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INTRODUCTION
ERD FILE STRUCTURE
GUIDELINES ON THE FILE STRUCTURE
TECHNICAL REFERENCE
FILING GUIDANCE
FILING PROCEDURES
FOLDER LABEL GUIDANCE
CBI AND SENSITIVE DOCUMENT HANDLING GUIDANCE
SLIPSHEET GUIDANCE
DISPOSITION GUIDANCE
APPENDIX A: ERD RECORDS MANAGEMENT FORMS
APPENDIX B: RECORDS MANAGEMENT GLOSSARY
APPENDIX C: RECORDS CONTROL SCHEDULES
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