United States Office of Information Collection EPA 220-B-96-003
Environmental Protection (MC 2822T) November 2004
Agency
v>EPA Records Management Series:
EPA Records Management
Tool Kit
Moving Your Records
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Contents
Introduction
1 Moving Your Records...A Short Checklist for Managers
2 Guidelines for Planning a Move
Timing Issues
Moving Planning
Sample Box Identification Form
Sample Records Move Inventory Sheet
Sample Move Timeline Form
3 Checklist #1: Records Inventory
4 Checklist #2: Records Cleanup
5 Checklist #3: Retiring Records to the FRC
Records Schedules
Preparing Records for Retirement
6 Checklist #4: Space Planning
Effective Use of Space
Choosing Filing Equipment
Selection Criteria
Types of Filing Equipment
Filing Equipment Comparison Chart
7 Sample Record Series Inventory Form
8 Sample Electronic System Inventory Form
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Introduction
Moving your office from one place to another is a fairly common, and sometimes traumatic,
experience. It can be difficult to continue your day-to-day work and make a move into new
quarters. We still have assignments and projects to complete, requests to fulfill, and bosses and
clients to keep happy while we're in the process of moving.
Just like the three most important things when you buy a house are "location, location, location,"
the three most important things when you move your office is "planning, planning, planning."
Too often, little thought goes into moving the records in the office. In fact, moving your records
will probably require the most planning.
The items included in this tool kit will give you the tools necessary to plan and implement a
successful move of your office records. It will help you:
Determine what needs to be moved;
Decide what to do with what shouldn't be moved;
Plan for the effective use of space and equipment.
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1 - MOVING YOUR RECORDS...
...A Short Checklist For Managers
Moving your records is an essential part of your successful move to new space. This checklist is
designed to help you plan for your next move by outlining the records management issues that
need to be considered. The key to a successful move is moving only those records that need to
be moved.
Attention to your records before the move will:
Lower your moving costs;
Improve control over your information assets;
Boost morale and lower stress.
Waiting until after the move can result in:
Wasted dollars and time;
Lost, misplaced, and abandoned records;
Less productive staff.
On the next page you will find a list of the steps to consider as you make your plans, and
contacts for additional information.
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Here is a list of the steps you need to take:
Assign a lead person. (Records management knowledge is a plus!)
Devise a timetable.
Identify records on hand.
Sort the records and nonrecords.
Purge outdated materials.
Plan the new space.
Retire inactive records to the Federal Records Center.
Determine placement of records and nonrecords.
Work stations
Centralized active files (if applicable)
Centralized inactive files (if applicable)
Nonrecords, including any technical reference materials (if applicable)
Pack into boxes.
After the move...
Unpack and organize.
For more information, contact the Records Help Desk, 202-566-1494.
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2 - GUIDELINES FOR PLANNING A MOVE
Planning a successful move requires a tremendous amount of planning and coordination. You
can't start the planning process too early. Whether you are planning a move for five people or
several hundred, the sooner you can start, the better.
Here is a sample of the activities you need to include.
As soon as you know about the move:
Assign a lead person to coordinate meetings and assign responsibilities.
Start planning meetings with affected staff.
Meet with space planners (probably someone in your Facilities office) about move dates,
space allocations and what's happening with existing equipment.
Discuss any special records management requirements such as reinforced floors for
certain types of filing equipment, electrical outlets for PCs, etc.
Develop a timeline - Who does What and When.
Other activities to include are:
Ordering new equipment, furniture and supplies.
Identifying and inventorying existing records.
Coordinating records clean-ups.
Retiring eligible records to the Federal Records Center.
Planning placement of equipment and records in the new space.
Labeling and packing.
After the move...
Unpacking and organizing.
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TIMING ISSUES
When developing your timeline for the move, remember that there can be lots of variables, and
you may need to revise your timeline frequently. Here are some of the issues to consider:
Some activities can be done concurrently. For instance, your inventories and clean-ups
may be done at the same time.
The time required to obtain new equipment and furniture may vary by location. If
ordered too early, it may need to be stored. If ordered too late, you may have to store
your records until it arrives.
The time needed to complete your inventory, records retirements, and packing will
depend on who is available to do it and how much time they can devote to it.
Individuals will probably be responsible for packing their own materials. Who will be
responsible for packing centralized file stations or records centers?
If your office is reorganizing at the same time, you may need to schedule additional time
to reorganize the records too.
As you can see, there are lots of issues to be considered as you make your plans. The move
planning guidelines on the next few pages are adapted from a document developed by the
headquarters Office of Solid Waste and Emergency Response (OSWER). This will give you an
idea of the steps they took. Remember, this is only a sample - You will need to develop your
own plan.
We've also included a sample timeline form you can adapt for your use.
Other items included in this tool kit will help you through the various steps in the process.
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MOVE PLANNING (Adapted from an OSWER document)
1. Meet with management to discuss move preparation needs.
2. Meet with the groups or representatives of the groups who are moving to look at what
will need to be considered and why.
General issues to consider:
Reducing the volume of their records prior to the move 1) so that there is less to
move and 2) so that the new space will be used effectively. Reduction can be
accomplished by practicing records disposition; i.e., disposing of records past
their life and retiring records to the Federal Records Center (FRC).
Planning what records will be housed in central filing areas and what will be held
in the work stations. Plans will need to include the allocation of central filing
space, so as records are moved, the boxes can be assigned to and placed in the
appropriate shelving areas.
The program offices may want to take this as an opportunity to look at starting on
the development of new or improving existing filing systems or file plans. If they
do not feel they need to develop a file plan, then they will minimally need to
develop some method for shelf identification and for monitoring the use of the
central files for retrieving files and refiling.
Identifying what information and assistance they would like for the records
support staff to provide in terms of guidance, training, etc.
3. Find out more specifics about the move and the new facilities.
The exact dates of the moves and which groups will be moved to what floors.
The number of work spaces assigned each group.
The type of filing equipment that will be in the designated "filing" rooms.
The number and location of any other non-workstation filing equipment.
The numbering scheme that is being used for the movement of boxes and
equipment from the old location to the new location.
4. Go into office areas and get a general picture of what does exist in comparison to the
information collected by Facilities staff on existing number of file cabinets.
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For example: According to information the following offices have the following amount
of file material. This needs to be verified:
Policy Management 615ft
Emergency Response 3150ft
Investigation 1125 ft
Education 630 ft
Find out the name and volume for each group.
What records do they have? Name them according to existing schedules and
record the volume of each record group.
What records are kept in the work spaces?
What records are kept in central files?
What records are kept in binders or any other odd-sized folders?
What records are due for destruction (past their useful life in the office)?
What records can be retired or closed out and are eligible for FRC storage?
What records will be moved (active, non-closed out records)?
Implement actions for records that can be destroyed.
Organize a. "Clean-Up Campaign."
Designate a person to oversee the clean-up operation.
Set a date(s).
Coordinate this date with "Operation Clean-up" so your office will be included in
clean-up stats.
Contact Recycling Support Supervisor for recycling barrels to be placed and
moved as filled.
Prepare a list of records identified as eligible for destruction to pass out to
programs prior to clean-up date(s).
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[This may take some education to staff as to what makes something eligible for
destruction.]
Have records contact person available on day of clean-ups to answer questions
concerning what records are eligible for destruction.
7. Implement actions for records that can be retired.
Designate a person to oversee disposition operation.
Obtain a copy of the National Records Management Program (NRMP)
publication Using the Federal Records Center: A Guide for Headquarters Staff
[http://www.epa.gov/records/tools/toolkits/usingfrc/index.htm]. This publication
will guide the program staff through the disposition process.
Order boxes for records retirement. Base the order on estimates.
[To estimate the number of boxes each program will need to retire records to the
FRC, use the following formula:
No. 1ft of current files X 10%
1.25
If a program plans to retire more material, which they probably can since 40% is
the average number of records eligible for off-site storage, they will need to
substitute the 10% in the formula with whatever percentage of reduction is
planned. The 10% is based on reasonable reduction expectations.]
Set a "last date" for having records moved to FRC. (Should be 2 weeks prior to
move date, at the latest.)
Prepare records for retiring.
Review records for file breaks (file cut-off or closure).
Prepare records for boxing by separating by record groups and closure date.
Estimate the number of boxes required for each group and closure date.
Obtain supplies.
FRC Boxes
2 inch strapping (filament) tape
SF 135 Records Transmittal and Receipt forms
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Black felt-tip markers
Contact the Headquarters Records Officer or your Regional, Laboratory, or Field
Office Records Officer to obtain accession numbers for filling out the SF 135
Records Transmittal Form. You will need to communicate:
The name of the records to be retired.
The number of boxes for each group and each closure period for the records to be
retired.
Place files into boxes and write a box inventory for the contents of each box.
Fill out the SF 135 form and submit to the Records Officer. This must be done at
least 4 weeks (and no later than 3 weeks) prior to move. It takes two weeks or 10
working days for FRC approval.
[Some FRCs have restrictions on the number of boxes which may be retired at
one time, so be sure to factor this into your plan.]
Once approval is given, write the accession number in the upper left hand corner
of each box in the accession and the box number in the upper right hand comer.
This should be written in block letters with a black felt-tip marker. Close top of
boxes by interlocking flaps; do not tape the top of the box.
Fill out EPA 5100-3 Facilities Services Request form (headquarters only) to have
boxes moved from work area for shipment to the FRC. This must be done so that
all boxes are planned for removal from work area and shipment at least 2 weeks
prior to the actual move to the new building.
Once the records have been shipped to the FRC, keep an office record copy of
each SF 135 and Box Inventory. These records will be vital for future records
retrieval from the FRC.
8. Implement actions for the records to be moved to the new facility.
Designate a person to be in charge of moving records to new facility.
Determine the number of linear file feet of active records to be moved. The
number of file feet will be:
No. of current 1ft of files - (No. of eft of records destroyed + the No. of eft [no. of
boxes] shipped to the FRC x 1.25)
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Determine if library carts can be used for the move instead of boxes. Using carts
will make it easier to find records if they are requested and less likely to "lose"
boxes during the move. Carts can be shrink wrapped to keep the folders in place
during the move.
If boxes are to be used, order FRC boxes. To estimate the number of boxes
needed for moving, use the following formula:
No. of 1ft of active records
1.25
Prepare files for packing.
Identify and separate files according to record groups.
Place files in correct order that they should be arranged on the shelves. When
assigning files to shelves, estimate that approximately 2 boxes or 2-1/2 linear feet
of files will go into the 3-foot shelves.
Most shelves are 3 feet; some are less. This needs to be figured into file
placement.
Pack files in order in the boxes or on the carts. Do not overstuff the boxes since
they will not close properly and may come open during the move. Leave boxes
open for active file use during the packing process.
If using boxes, consider renting carts to place the boxes on so they can be
accessed during the packing process.
Fill out the Box/Cart Identification Form (see sample) and place inside each box
or tape to each cart.
This form will identify:
Name of the record group being packed.
Box or cart number of records in this group. If there are 10 boxes in this group,
the first box would be 1/10, then 2/10, and so forth to 10/10.
Office and work space number from where the files are being moved and if
applicable, employee name.
Office number, location number, and placement number for where the files are
being moved.
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[Discuss this numbering system with the move committee to see what they have
devised and what, if any, additional identification would be necessary.]
Write new location number and placement order number in the upper right hand
corner of each box or cart in black felt-tip marker.
For records going from one individual workstation to another, what will be
written on each box or cart will be:
Employee name, new office number, and placement order number
For records going into central files what will be written on each box or cart will
be:
Central File Location Number, Central File Section Number, Central File
Shelf Number, and Box Number (i.e., 1/10, 2/10, etc.)
Fill out a Records Moving Inventory Sheet (see sample) for each office moving.
This sheet identifies:
Name of the Office;
Name of each group of records and number of boxes or carts in each group;
Location number from where the boxes or carts are being moved from;
Location number to where the boxes or carts are being moved.
On the day before the move, seal the tops of all boxes with one pull of tape (2
inch strapping tape) across the top seam. Place shrink wrap on the carts.
Prominently place the location numbers of central file stations in each file station
area designating the station number, section number, and shelf numbers in the
new facility.
Designate individuals to be present in each area of the new facility (especially at
each central file station) to oversee and coordinate the placement of the boxes or
carts into the correct area.
As files are removed from the boxes or carts and placed on the shelves, the
Box/Cart Identification Forms should be used to check off the boxes or carts from
the inventory sheet. If this is done then the office will be secure in the knowledge
that all records have arrived.
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SAMPLE BOX IDENTIFICATION FORM
Bo^CartJdent|fi£|||gg_Egrm
Records (name of records)
Box/cart of (number of boxes in group)
From To
Office/Work Space Number Office/Location/Placement Number
Fill out the Box/Cart Identification Form and place inside each box or tape on each cart.
This form will identify:
Name of the records being packed;
Box or cart number (If there are 10 boxes in this group, the first box would be 1/10, then
2/10, and so forth to 10/10.);
Office and work space number from where the files are being moved and if applicable,
employee name;
Office number, location number, and placement number for where the files are being
moved.
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SAMPLE RECORDS MOVE INVENTORY SHEET
Office:
Name of Records
From
(Location
number)
To
(Location
number)
Fill out a Records Moving Inventory Sheet for each office that is moving. This sheet will
identify:
Name of the office;
Name of the records and number of boxes or carts in each set;
Location number from where the boxes are being moved;
Location number to where the boxes or carts are being moved.
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SAMPLE MOVE TIMELINE FORM
Office:
Steps
Responsible
Person
Start Date
Completion
Date
Notes
Assign lead
Meet with
office
Meet with space
planner
Develop timeline
Order equipment,
supplies and
furniture
Records inventory
Records clean-up
Retire records to
FRC
Plan new space
Move
Unpack and
organize
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3 - CHECKLIST #1: RECORDS INVENTORY
A records inventory is an important part of your move plan. An inventory will help you identify:
What needs to be moved;
What can be retired;
What can be recycled or destroyed.
Moving only what needs to be moved will save time and money ~ and make it easier to find
what you need once you've moved.
The purpose of this checklist is to give you a listing of the minimum information you need to
collect for a successful move.
A sample inventory form is included in this tool kit; others are available from the National
Records Management Program (NRMP).
If at all possible, complete as much of the inventory form as possible even though you may not
need all the information for your move. The information will assist you with future records
management projects, such as developing new records schedules or file plans.
Identify the custodian and location of all materials. (Don't forget closets, storage areas,
and empty offices).
Assign codes to rooms, cabinets, and drawers.
Use coded stickers to attach to each drawer during the survey.
Reference the codes on the inventory form.
Identify the records by (choose one):
Title (e.g., Budget - 1995)
File code (e.g., ADMI110)
Type (e.g., budget files)
Indicate the status of the materials:
Record
Nonrecord
Determine restrictions (e.g., confidential business information).
Indicate the approved records schedule: EPA no. Unknown
Describe the records.
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Purpose (e.g., why the records are created)
Type of documentation (e.g., correspondence, forms, agreements)
Type of storage (e.g., room shelf, desk drawer)
Arrangement (e.g., alphabetic, chronological)
Format (e.g., diskette, paper, photographs)
Dates of records (e.g., 1992 - present)
File break (e.g., end of fiscal year)
File controls (e.g., controlled access, locks)
Related files (e.g., CBI in locked cabinet)
Compute volume by using the following values:
File drawer (vertical) - letter
1.5 cu. ft.
File drawer (vertical) - legal
2.0 cu. ft.
Desk file drawer
1.0 cu. ft. for every 15 inches
15 linear inches - letter
1.0 cu. ft.
12 linear inches - legal
1.0 cu. ft.
FRC box
1.0 cu. ft.
90-100 16 mm reels (100 ft.) microfilm
1.0 cu. ft.
10,000 microfiche
1.0 cu. ft.
Estimate annual growth rate (e.g., 1 cu. ft per year).
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4 - CHECKLIST #2: RECORDS CLEANUP
Once you have completed your records inventory, you can analyze the results and begin to sort
the materials in your offices and file rooms. Using your inventory worksheets, you will be able
to identify:
Records that need to be kept and moved to the new space;
Inactive materials that can be retired to the FRC;
What can be recycled or destroyed.
The purpose of this checklist is to give you a listing of the steps to follow as you sort and prepare
your materials for the move.
Separate records and nonrecords.
Personal papers, duplicate copies of publications and forms, and technical reference
material should be separated and kept apart from official records.
Identify:
Duplicate records
Related records
Missing files
Fragmented records
Determine which records are inactive and due for disposal.
Do not discard records without making sure they are scheduled for disposal according to
approved EPA records schedules.
Determine which records are inactive and due for retirement to the FRC.
Determine which records are active and need to be moved to the new location.
If your office is reorganizing, determine which records need to be sent to which unit.
Organize a clean-up day (or days).
Obtain copies of the appropriate records schedules.
Order supplies:
FRC boxes
Recycling barrels
2-inch strapping (filament) tape
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Black felt-tip markers
Weed superseded or obsolete items from your technical reference material.
Arrange for witnessed destruction of records containing sensitive information (e.g.,
confidential business information (CBI), Privacy Act information, or enforcement
sensitive information).
Recycle or destroy records as authorized by the records schedules.
Prepare inactive records for retirement to FRC. See "Checklist 3: Retiring Records to
the FRC" included in this tool kit.
Pack materials to be moved to the new space and assign location numbers to the boxes or
carts and the space plans. Include:
Active and inactive records to be moved to centralized records storage;
Active records to be moved to work stations;
Nonrecord material, including technical reference material and duplicate copies of
publications and forms.
Arrange for boxes or carts to be moved.
After the move...
Unpack and organize materials in the new space per the predetermined plan.
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5 - CHECKLIST #3: RETIRING RECORDS TO THE FRC
RECORDS SCHEDULES
Before you can retire any of your records to FRC, you need to be sure they are covered by an
approved records schedule.
Check the records against the records schedules.
[http://www.epa.gov/records/policy/schedule/index.htm]
If you can't find the appropriate schedule(s), contact your Records Liaison Officer (RLO)
or the NRMP.
A records schedule is the document which provides mandatory instructions for what to do
with records (and nonrecord materials) no longer needed for current business. It details how
long records are to be kept in the office, if and when they are to be retired to the FRC, and if
and when they are to be transferred to the National Archives.
A listing of some of the most common Agency-wide records schedules is included in this
checklist. Some of the retention instructions have been abbreviated (e.g., records that are
microfilmed). Check the official schedules for more detail.
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LIST OF COMMONLY USED SCHEDULES*
Description
Retention
EPA
Number
Agency
File Code
NARA Number
Calendars, Schedules & Logs of
Daily Activities
111
ADMI
N1 -412-94-2/17
a. Higher level officials
a. Break file when official leaves
office. Keep current plus 1 additional
year, then retire to FRC. Transfer to
NARA 20 years after file break.
b. Other officials
b. Break at end of year. Keep in office
2 years, then delete or destroy.
c. Routine materials
c. Break at end of year. Destroy when
no longer needed.
Congressional Correspondence
Break file at end of Congressional
session; bring forward active materials.
Keep in office at least 1 year after file
break, then retire to FRC. Destroy
when 5 years old.
132
CORR
Nl-412-94-2/19
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Description
Retention
EPA
Number
Agency
File Code
NARA Number
Correspondence - Controlled &
Major
Break file at end of year, bring forward
active materials.
141
CORR
Nl-412-94-2/22
a(l). Higher level offices -
Record copy
a(l). Keep 1 year after file break, then
retire to FRC. Transfer to NARA in 5
year blocks when most recent record is
20 years old
a(2). Higher level offices - All
other copies
a(2). Keep until no longer needed, then
destroy.
b. Division Directors & other
personnel
b. Keep in office 1 year, then retire to
FRC. Destroy when 10 years old
Correspondence - General
Break file at end of year. Keep in office
at least 1 year, then retire to FRC.
Destroy when 5 years old
127
CORR
Nl-412-94-2/18
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Description
Retention
EPA
Number
Agency
File Code
NARA Number
Directives & Policy Guidance
Documents Issued by Specific
Programs & Regions
a(l). Published - Record set
a(2). Published - Reference set
a(3). Published - Background
materials and drafts
b. Unpublished
a(l). Break file upon issuance or
publicatioa Retire to FRC at file break
or when superseded Transfer to NARA
in 5 year blocks, 20 years after file
break.
a(2). Break file upon issuance or
publicatioa Destroy when no longer
needed or superseded
a(3). Break file upon issuance or
publicatioa Retire to FRC at file break
or when superseded Transfer to NARA
in 5 year blocks, 20 years after file
break.
b. Break file upon decision to not
publish Keep in office 3 years, then
retire to FRC. Destroy 10 years after
file break.
007
DIRE
Nl-412-94-2/4
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Description
Retention
EPA
Number
Agency
File Code
NARA Number
Final Deliverables and Reports
a(l). Programmatic or mission
related - All programs except
Superfund site specific
a(2). Programmatic or mission
related - Superfund site specific
b. Non-programmatic or
administrative
Break file upon completion of project
a(l). Keep in office at least 1 year after
file break, then retire to FRC. Transfer
to NARA 20 years after file break.
a(2). Keep in office at least 1 year after
file break, then retire to FRC. Destroy
30 years after file break.
b. Keep in office at least 1 year after
file break, then retire to FRC. Destroy 7
years after file break.
258
SURV
N1-412-94-2/37
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Description
Retention
EPA
Number
Agency
File Code
NARA Number
FOIA Requests Files
Break file at end of each year.
030
FOIA
GRS 14/11
a(l). Correspondence and
supporting documents - Granting
access
a(l). Destroy 2 years after date of
reply.
a(2)(a). Responding to requests
for non-existent records; to
requestors who provide
inadequate descriptions; and to
those who fail to pay fees -
Request not appealed
a(2)(a). Destroy 2 years after date of
reply.
a(2)(b). Request appealed
a(2)(b). See EPA 032.
a(3)(a). Denying access to all or
part of the records requested -
Request not appealed
a(3)(a). Destroy 6 years after date of
reply.
a(3)(b). Request appealed
a(3)(b). See EPA 032.
b. Official file copy of requested
records
b. Dispose of in accordance with the
approved disposition instructions for the
related records, or with the related
FOIA request, whichever is later.
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Description
Retention
EPA
Number
Agency
File Code
NARA Number
Nonrecords
Close when obsolete, superseded or no
longer needed for reference, then
destroy.
008
NONR
Not applicable
Office Administrative Files
a. Record copy
Break file annually; bring forward
active materials.
a. Destroy when 2 years old or when no
longer needed
110
ADMI
GRS 23/1
Program Development Files
Break file at the end of the activity,
project, or topic. If the record is paper,
retire to a certified records center 2
years after file break and transfer to the
National Archives when 20 years old If
the record is electronic, transfer to the
National Archives when 20 years old
145
PROG
N1-412-04-5
Program Management Files
a. Held by Division Directors
and higher level offices
b. Held by Branch Chiefs and
other personnel
Break file annually; keep in office at
least 1 year.
a. Retire to FRC. Destroy 10 years
after file break
b. Retire to FRC. Destroy 5 years after
file break
006
PROG
N1 -412-94-2/3
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Description
Retention
EPA
Number
Agency
File Code
NARA Number
Reading & Chron Files
See Transitory Files
167
Not
applicable
Not applicable
Rulemaking Committees
a. Published regulations, etc.
b. Unpublished regulations, etc.
Break file when committee superseded
or canceled.
a. Keep in office up to 5 years, then
retire to FRC. Transfer to NARA 20
years after file break.
b. Keep in office up to 3 years, then
retire to FRC. Destroy 10 years after
file break.
518
COMT
Nl-412-94-2/47
Supervisor's Personnel Files
a. Supervisors'personnel files
b. Duplicate documentation
a. Review annually and destroy
superseded or obsolete documents, or
destroy file relating to employee within
1 year after separation or transfer.
b. Destroy when 6 months old.
122
PERS
GRS 1/18
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Description
Retention
EPA
Number
Agency
File Code
NARA Number
Suspense Files
166
ADMI
GRS 23/6
a Note or other reminder to take
action
a Destroy after action takea
b. File or extra copy of outgoing
communication
b. Withdraw when reply received. If
extra copy, destroy. If file copy,
incorporate into official files.
Time & Attendance Records
(for offices other than Financial
Management Division)
Break file at end of pay period.
276
PERS
a. Source records
b. Input records
a Keep in office 1 year after file break,
then destroy.
b. Destroy after GAO audit or when 6
years old, whichever is sooner.
GRS 2/7
(Item a)
GRS 2/8
(Item b)
Transitory Files
167
ADMI
GRS 23/7
a. Documents of short-term
interest
a Destroy when 3 months old.
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Description
Retention
EPA
Number
Agency
File Code
NARA Number
Travel and Transportation
Files
a. Record copy, except original
travel receipts
b. Record copy of original travel
receipts
a. Destroy when 2 years old.
b. Destroy 6 years 3 months after
period covered by account
121
FINA
GRS 9/4a
(Item a)
GRS 6/1 a
(Item b)
*This list gives abbreviated disposition instructions and does not include instructions for electronic copies created with word
processing and electronic mail applications. See the official schedules for details.
[http://www.epa.gov/records/policy/schedule/index. htm]
29
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Checklist #3: Retiring Records to the FRC
PREPARING RECORDS FOR RETIREMENT
Once you have completed your records inventory and sorted your records, you can prepare
records for retirement to the FRC. Here are some tips to help you.
Identify the records to be retired.
Separate records according to records schedule.
Separate inactive records from active records.
Separate the inactive records for each group by their closure date.
Prepare the records for boxing.
Remove duplicate copies and nonrecord material.
Prepare material for future recycling by removing plastic products (rubber bands, inserts,
notebooks, label protectors, etc.). Staples, and paper clips do not have to be removed.
You don't need to take pressboard folders with fasteners apart.
Make sure all folders are labeled with a unique, meaningful name identifying the
contents.
Organize the folders in a logical order (e.g., alphabetical, chronological, numerical, or in
the order provided by the file structure).
Box the records.
Obtain and assemble new FRC boxes. Assembly instructions are provided with the
boxes.
Pack the folders into the 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 group on the front of the box. For
example, the first box in a set of ten would be numbered 1/10; the second 2/10, and so
forth to 10/10.
Prepare a box content list (or box inventory). Remember, the ability to retrieve the
records will depend on the accuracy of the inventory.
30
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List each folder in each box according to the folder label and in the order in which it is
packed.
Make sure the box number on the inventory matches the number on the box.
Contact your Records Officer for instructions on obtaining an accession number and who
should prepare the following forms:
Standard Form 135 - Request to Transfer - Federal Records Center.
EPA Form 5100-8 Facilities Service Request (headquarters) or the equivalent for your
location.
Sample forms can be found in the NRMP publication, Using The Federal Records
Center: A Guide For Headquarters Staff.
[http://www.epa.gov/records/tools/toolkits/usingfrc/index.htm]
[Note: If you don't know who your Records Officer is, contact the NRMP.]
Send the forms to the appropriate office for approval.
Make copies of the approved SF 135 and box contents list for your files.
Prepare for shipment. [See Using the Federal Records Center for more detailed
instructions.]
Once approval is obtained, write the accession number and box numbers on the front of
the boxes in the appropriate places with a black felt tip marker.
Place one copy of the box content list and the approved SF 135 in the first box of the
accession and fold in the top flaps of the boxes. Copies of contents list should be placed
in each box.
Be available when the Facilities staff comes to remove the boxes for shipment.
31
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6 - Checklist #4: Space Planning
EFFECTIVE USE OF SPACE
Once you have completed your records inventory and sorted, retired, and purged your records,
you will know how much material needs to be moved to your new space.
Here are some tips on how to plan for the most effective use of your new space.
Consider these issues when determining where records should be located:
Usage - Who will use the records, how frequently, and for what purpose? Are there
multiple users?
Security - Records with restricted access or valuable records requiring special protection
may require special placement and equipment.
Suitability of space - Some records may require special storage conditions such as
temperature or humidity controls.
Would your office benefit by centralizing files? Centralizing the right records at the right
places can have the following advantages:
Better use of personnel
Better documentation
Streamlined operations
If you have or will have a centralized storage area, determine the location of:
Active records
Inactive records
Nonrecords, including technical reference material and duplicate publications and forms
Plan space to allow for existing materials plus growth. The person who does the filing
can probably tell you how much the files grow in a month or a year. Also, take into
account the records you will retire at the end of the year.
32
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Determine what will be maintained electronically and who will be responsible for
maintenance:
Records
Publications
Forms
Order the appropriate equipment or verify that the appropriate equipment has been
ordered. See part 2 of this checklist, "Choosing Filing Equipment".
Determine which materials will be maintained in which equipment.
Do you need to plan for a "reference area" where people can review files?
Do you need to plan for a "staging area" where records can be prepared for filing,
retiring, microfilming or scanning?
Do you need to plan for space for computers and barcoding equipment, microfilm
readers, or other specialized equipment?
Are there electrical and telephone outlets for the equipment?
Is there sufficient space and appropriate equipment for storing oversize items such as
maps and nonpaper items such as videotapes and slides?
33
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Checklist #4: Space Planning
CHOOSING FILING EQUIPMENT
Selection Criteria
Compatibility
Equipment should be compatible with the size and format of the materials to be stored.
Supplies should be compatible with the equipment (for example, use side tab folders for
lateral shelving).
Accessibility
Equipment should be easily accessible and located near the users so they don't need to go
too far to get their records.
There needs to be sufficient room for people to access the materials safely.
Cost
Take into account the initial cost, maintenance, repair, and operating costs for the
equipment, and cost of accessories and supplies. Also consider costs of converting to a
different system.
If moves are frequent, include costs for moving (and in some cases, dismantling and
reassembly).
Non-standard supplies may be needed for proper use of equipment.
Security
Special equipment such as locks or fireproof cabinets may be needed for vital or
confidential records.
Site
Certain types of equipment will require reinforcement of the floor to handle the weight.
Very sensitive records may need to be secured in areas with locked doors or limited
access.
Amount of aisle space will vary with type of equipment.
34
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TYPES OF FILING EQUIPMENT
Standard Equipment
On the following chart you will find descriptions of the four most common types of equipment,
with advantages and disadvantages.
In addition, you will find there are other variations such as vertical cabinets which rotate like a
"lazy susan" (also known as Times 2s or x2s) and lateral cabinets which move from side to side,
instead of back and forth.
Also, while many of the types of equipment listed above can be tailored to hold nonpaper
materials, there is a wide variety of specialized equipment.
Specialized Equipment
Large collections of maps, blueprints, charts, and drawings can be more efficiently stored in
cabinets with:
Horizontal drawers where the documents lay flat.
Vertical drawers where the documents are suspended vertically.
Cabinets or boxes with pigeonholes which accommodate rolled documents.
Magnetic media (disks and tapes) can be stored in a variety of types of equipment. Security,
sturdiness, and environment (temperature and humidity) are important criteria when choosing
this type of equipment.
Microform storage also comes in many styles, both automated and manual. Microforms can be
housed in cabinets, binders, panels and trays. Environment is important in this case also.
35
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FILING EQUIPMENT COMPARISON CHART
Equipment Type
Advantages
Disadvantages
Standard drawer cabinets -
These are the traditional
vertical cabinets with one to
five pull out drawers.
Folders are placed vertically,
front to back, with top tabs.
Suitable for smaller
collections.
Relatively easy to move.
Minimum supply problems.
More time is required to
retrieve and refile folders since
drawers must be opened to
gain access.
Only one drawer can be
accessed at a time.
Limited adaptability to
nonpaper materials.
Requires additional space
when drawers are extended.
Difficult to read folders in
back of drawers and in top
drawers of 4 and 5 drawer
cabinets.
Open shelves - Stores
records on open, horizontal
shelves. Folders are placed
vertically, arranged in rows,
from one side to the other,
with side tabs.
Shelves do not extend into
aisles.
Can be stacked higher than
standard cabinets.
More than one person can
access at a time.
Easily adaptable to color
coding, bar coding, and
computer based tracking
systems.
Usually less expensive than
drawer cabinets.
Rapid retrieval and refile.
More difficult to move than
drawer cabinets.
36
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Equipment Type
Advantages
Disadvantages
Lateral filing equipment -
Stores records in same way
as open shelves. Drawers or
shelves roll out or extend
forward.
Can be designed to have
drawers, or shelves (which
roll out or are stationary), or
to handle either suspension
or regular folders.
Can be equipped with doors
and locks.
Adaptable for nonpaper
materials.
Only one drawer or shelf can
be accessed at a time.
Drawers or shelves may be
pulled out into aisles for
access.
Mobile shelving - Shelves
move along a track either
horizontally or rotate
vertically like a ferris wheel.
May be manually operated
or powered.
Can often double amount of
storage space since there are
few permanent aisles.
Reduces time required to
walk to search for materials.
In the case of vertical power
files, for example, the
appropriate shelf is delivered
to the operator based on the
operator's electronic
command.
Can be equipped with locks
on shelves and aisles to
improve security and limit
access.
Easily adaptable for
nonpaper materials and other
special needs such as.
temperature and humidity
controlled conditions.
Requires more floor load
capacity (ability of the floor to
bear the weight of the
equipment fully loaded).
May have to wait to access
desired area until a particular
aisle is available.
More expensive than other
types of equipment.
If your equipment is powered
by electricity and the power
goes out, you can not access
your materials.
37
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SAMPLE RECORD INVENTORY FORM
From the OARM Records Management Study
NONSHADED AREA COMPLETED BY RECORDS HOLDER/SHADED AREA COMPLETED BY PROJECT TEAM
Date
Phone
Name
Office
Division
Branch
Room
Title
Location': ~ Work Station ~ File Station
~ Both
Purpose (Legal Requirement and/or reason records were created)
Description (Refer to instructions on back - the description must be comprehensive.)
Contains the following kinds of documents (Check all that apply)
~ Nonrecords ~ Office Administrative ~ Grants & Support Agmts* ~ Interagency Comm
~ Program Management ~ Program Development ~ Training (given) Materials ~ Legal*
~ Contract Deliverables ~ Contract Information* ~ Regs/Legs
~ Original Signed Documents* ~ Personal Papers
G Policies/Procedures/Directives
~ Investigation*
Are these convenience copies for your reference only? ~ Yes ~ No
If yes, who has the official copy?
Estimated volume Current
(in Linear Inches) Annual
Date Range Start
End
How long is this material needed for administrative use? For legal reasons (if knownV?
SHADED AREA TO BE COMPLETED JOINTLY BY EMPLOYEE & PROJECT TEAM
CHECK ALL THAT APPLY
FILE INTEGRITY
~ File breaks
~ Missing documents
G Related files elsewhere
FINDING AIDS
G None
G Shelf list
G File plan
G Other
FILE CONTROLS
Access G Open G Closed
Locks G Yes G No
Staff G Yes G No
Trained G Yes G No
Written G Yes Q No
Policy/Procedures
DUPLICATION
G Original
G Copy G Signed Copy
G Official
G Other copy locations:
G in Dept G in OARM
G in EPA G out of
EPA
MEDIUM
~ Paper ~ Ltr ~ Lgl
G Microform
Q On-line
G Diskette
G Audiovisual
G Maps/Drawings
ARRANGEMENTS
G Subject
G Chron
G Alpha/numeric
G Alpha
G Numeric
by:
LEGAL STATUS
G Official
G Supporting files
O Working papers
G Reference material
G Personal papers
G Convenience copy
STORAGE
G Lateral
G Vertical
G High density
G Book shelf
G Box
G Desk drawer
CUTOFF
Q End of year G On clean up days
G Periodically ~ Never purged
~ Other
RESTRICTIONS
G Vital G Confidential
G Subject to audit G Archival
G Public disclosure G Required G Prohibited
Revised 10/31 /94 Control # R-
38
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Instructions
Complete an inventory form for each records group. A records group or "series" is defined as file units or other
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 restrictions on access and use.
Date, Name, Office, Division, Branch and Phone: Self-explanatory.
Title: Each series should be given a title for brief reference. Examples: general correspondence, EPA forms, leave
records, office administrative files, etc.
Purpose: Self-explanatory.
Description: Each description should contain enough information to show the purpose, use and subject content of
the records. Follow these guidelines:
(a) Avoid emphasizing form numbers, especially when describing case files.
(b) Consider combining into a single inventory item a number of very small series of temporary
records if they serve the same function and/or are proposed for the same retention period.
(c) Avoid terms, such as "miscellaneous" or "various," that add nothing to the description.
(d) Give special attention to describing potentially permanent records, because NARA requires more
detailed information on them.
Volume: Indicate the volume of records in linear inches. NARA requires agencies to give volume figures of records
proposed for permanent retention and also for nonrecurring records proposed for immediate destruction.
Annual Growth: Estimate annual growth for each series if the records are current and continuing. NARA requires
agencies to furnish the rate of growth of such records proposed for permanent retention but not those proposed for
disposal. If growth is not expected, indicate "none."
Date Range: List the earliest and latest dates of the records in each series. If the series is still being created at the
time of the inventory, indicate the latest date by the designation "to date" or "to present."
Disposition Authority: Enclosed in this packet is a list entitled "EPA Approved Disposition Schedules". Please
review this list carefully. Match your records to a records title on the list (if you can) and indicate the number. If the
purpose or use of the records has changed, please explain what the change is. Example: regulations now mandate
the files be maintained where before you kept them for administrative purposes only. Conversely, laws no longer
require the files be kept, but you are still keeping them for reference.
39
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IBS Files Maintenance
22
more conspicuous than the folder tab.
File guide cards are made of press-
boarcl with one-third cut tabs in the
first, second, or third position.
Labels. Two basic file folder labels
are available from the Federal Supply
Service. One is a general-purpose,
white, self- adhering label with a
colored stripe for easy indexing. The
labels come 248 in a package and
are fanfolded. This label is intended
for captions of three or less typewrit-
ten lines. The other is a gummed,
oversize label available in a variety of
colors, issued in perforated, continu-
ous fanfold strips or rolls, with 500
in a box. This label is ideal for
captions consisting of more than
three typewritten lines, such as
lengthy project or publication titles.
Other Supplies. Check either the
GSA Supply Catalog or a Customer
Service Center catalog for recom-
mended file folder tabs, file backers,
drawer/guide labels, desk tray label
holders, tape, binders, and alpha-
betical guides.
Forms. The GSA Supply Catalog
lists commonly used optional forms
in files operations, such as: Optional
Form 21, Cross-Reference; Optional
Form 23, Chargeout Record; and
Optional Form 24, Shelf File (Letter
Size) Chargeout Record.
8
Electronic
Filing
The advent of the computer and
its related information storage
and retrieval capability has produced
a new category of files electronic
files. These files are stored in a form
that only a computer can process.
The information is stored electroni-
cally on media such as magnetic
tapes and disks or optical disks.
Configurations of electronic files on
magnetic storage media can differ.
For example, one reel of magnetic
tape or one disk can contain one or
more files. Or, one file can consist of
one or more reels of magnetic tape
or disks.
Electronic files differ from most
other files in that they:
Reside on erasable, reusable
media.
Require control in a shorter and
more complex life cycle due to ease
of duplication, alteration, or deletion
of the data.
Require related documentation
generally in the form of paper
recordsin their planning, creation,
operation, and use.
Are best managed in the context
of an agency electronic information
system, which includes inputs,
information on electronic media, and
outputs. (See 36 CFR Part
1234.28 and the Federal Informa-
tion Resources Management Regula-
tion [FIRMR] Bulletin B-l for a
discussion of the selection and
maintenance of electronic storage
media).
For more information on arranging
electronic information, read Elec-
tronic Recordkeeping in the IRM
handbook series. (See the Bibliogra-
phy for information on how to obtain
this publication.)
Electronic Filing Process
In an electronic filing system, the file
clerk or technician may keyboard
information from the original docu-
ment into a personal computer (PC)
or terminal. Another way to input
data is by using an optical character
recognition device to scan and
digitize the document. Another way
captures existing electronic records
via data communication. After the
document is complete and the
operator has checked its accuracy, it
can be entered into an electronic file
where it is stored on media such as
magnetic tape or disk. There is no
paper required or involved. For'
retrieval, a name and/or number
identifier will activate the system to
scan through the files, find the
document, and display it on the
screen.
Electronic files can be transferred
to other users through a computer
network or by using a portable
storage medium such as a diskette.
A laser or impact printer can be
directed by the system to produce a
paper "hard copy" of the document
for distribution. After a time, inactive
files may be transferred for long term
storage to backup computer files, an
optical disk, or computer-output
microfilm. The previous media used
for storing the files may then be
erased. Some users may immedi-
ately direct files to optical storage,
maintaining active files on optical
media.
Electronic Filing Guidelines
Certain basic record management
principles or guidelines apply to any
record whether in a filing cabinet or
on a computer disk. Records are valu-
able only when they can be found
when needed for action or reference.
In a paper-based filing system the
tendency is to save and file. With
office automation, predominantly
electronic files, users tend to retain
more information than they need
because the record is very compact
and not visible. Therefore, users must
make a conscious effort to delete
transient records. They must also
retain adequate system and file docu-
mentation with the help of system
and records managers.
Labeling and Arranging
Electronic Files
To retrieve information created and
stored electronically, the user is
dependent on labels, both internal
and external. Accurate and complete
labels are essential for two major
reasons:
To ensure that agency personnel
can identify the contents of indi-
vidual disks and diskettes.
To retrieve the information stored
on them.
External Labels. External labels .for
diskettes or removable disks should
include the originating office symbol,
title, begin and end dates, applica-
tion software, equipment type used
to produce the file, and agency file
codes as required. (See the accom-
panying illustration, "Labeling
Diskettes".)
-------
Electronic Filing
Labeling Diskettes
Record .Series -
Series title, -year of creation -
Disposition --
DiKctoryi software version - -
Hardware -
Recordseries;titte
Titlexif handbook, report-etc.
Disposition
ffifectdry/Spftware version:
Hardware-
Diskette label for official file
9Cia
Correspondence FY91
COFF 9/30/91; Delete 10/1/93
; SW-Doc. Dsgnr 2.2
HW-CT
Diskette label'for .Word Proceissing file.
9A25. Word Processing
OADP1820.2, ch.4
DELETE when no longer needed
;SW-WordPerfect 5.1
HW-IBM
In addition to the electronic index
to the files, indexes to diskettes may
be required. If the diskettes are few
in number and are properly labeled,
they may be largely self-indexing. If
there are many, subdivide the
physical file of diskettes as neces-
sary. Print out updated diskette
indexes periodically to ensure easy
access to them.
The need to establish a formal,
office-wide system for filing, labeling,
and naming electronic records
depends on how the information is
used. Such a system is essential if
the office plans to maintain records
solely in electronic form without
converting the information to paper
or microforms. If there is a high
turnover of personnel, or if the
information is shared or routed
electronically, a formal system may
be particularly advantageous. If
Electronic Files Checklist
External labels or the equivalent
automated tape management system
for magnetic tapes should provide
specific information for each reel:
volume and/or serial number, the
name of the organizational unit
responsible for the data, data set
name(s), and any security classifica-
tion.
Internal Labels. Internal labels
should show the index, table of
contents, or list of documents stored
electronically on the disk or diskette.
Documents, files, and directory-
naming conventions should be easily
understandable and standardized or
patterned after manual methods so
authors and their colleagues or
successors can find and use informa-
tion stored on disks or tapes.
Arranging Electronically-Stored
Information. Information stored on
diskettes or on hard disks may be
arranged like information in paper
files. One effective system is to file
similar documents in the same
placeon the same labeled floppy or
in the same directory on a hard disk.
This avoids the necessity of rummag-
ing through a drawer full of floppy
disks or searching through multiple
directories on a hard disk to find
needed documents. If possible, use
a separate diskette for each file
category or separate hard disk
directory for major file categories to
make it easier for users to find and
retrieve information.
Indexing Electronic Files
If like information is not filed in the
same place, that is on the same
diskette or in the same hard disk
volume, an index or text search
system may be needed to find and
retrieve electronically stored docu-
ments. The complexity of such an
index will depend on such factors as
the number of the files, file retention
time, type of retrieval, and how
familiar the users are with file
documents. An electronic index may
be based upon the same items used
to call up a paper document: date,
subject, file code, or number (for
case, contract, or purchase onder).
The index may be printed out or
stored on a labeled diskette. File a
hard copy of the index and system
documentation indicating how to use
the index with the office files plan or
near the workstations.
[ ] Has the systems manager estab-
lished guidelines for document
creation, including protocols for
coding and indexing?
[ ] Does the systems manager monitor
for compliance?
[ ] Are the automated files inventoried
and assigned disposition with
assistance from the agency records
manager?
[ ] Has the archival storage medium
been determined in consultation
with the agency records manager?
Has someone been assigned
responsibility for transferring
permanent information to an
archival storage medium?
I ] Has a comprehensive list of subject
(index) terms been compiled, and
is it used for systems "folder" titles,
as appropriate?
[] Is the index produced by the
system adequate to meet retrieval
requirements?
[] Are back-up files stored off-site?
[ ] Are inactive files/tapes checked for
data loss and reconstruction
promptly accomplished?
[] Is adequate system documentation
available?
[] Are sensitive records marked?
-------
Files Maintenance
24
information is shared on paper,
however, minimal identifying infor-
mation should be sufficient. What-
ever the nature of the electronic file
system, the need to properly classify
and schedule electronic records per
agency and NARA requirements
remains. (The "Electronic Files
Checklist" on page 23 can serve as a
guide to evaluating a formal elec-
tronic files system.)
Retrieving Electronic Files
With proper labeling and indexing,
current files can be retrieved easily
in a timely fashion. If an office
upgrades its system or buys a new
one, it should convert electronic
records to the new system or design
the new system so that these records
can be retrieved readily. One
possibility is to design systems that
are compatible with a variety of other
systems. An alternative is to con-
tract with a commercial service that
will convert records from one format
to another.
Storage Media Technology
Electronic files are commonly stored
on magnetic media such as dis-
kettes, hard disks, and magnetic
tapes, and also on optical disks.
Magnetic Media
Generally, magnetic media used to
store electronic records can be
grouped into three broad categories:
diskettes, hard disks, and magnetic
tapes.
Diskettes. A diskette, also called a
floppy or flexible disk, is a circular,
flat, plastic storage device that has a
magnetized recording surface. The
diskette provides users with low cost,
portable, high capacity, direct-access
storage. The flexible 5 1/4-inch
diskette was the most widely used
format in the 1980s. However, most
new personal computer systems
come equipped with a smaller floppy
disk drive. The new 3 1/2-inch
format diskette has a rigid, hard-
shelled, disk cover that protects the
data. The new format also reduces
power requirements to run the disk
drive and provides a greater data
storage capacity.
Flexible diskettes are delicate and
require special care. The recording
surface of all magnetic media can be
damaged and the information
obscured by high humidity, finger-
prints, dust, spilled liquids, cigarette
smoke, and other contaminants.
(See the accompanying list for
details on the proper care of floppy
disks.)
Hard Disks. A hard disk is a high-
capacity file storage and retrieval
medium for computers. While
similar to a floppy diskette in func-
tion and in magnetic surface compo-
sition, the hard disk is rigid. Hard
disks on most small computers are
integral to the equipment. .Such
hard disks are contained within
Care of Floppy Disks
Always store disks in protective jacket.
Maintain storage temperatures
between 50° and 125'F.
Avoid disk contact with equipment
generating magnetic fields, such as
telephones.
Avoid writing on a label affixed to a
disk or on the jacket or sleeve if the
disk is inside. A felt tip pen can be
used to add information sparingly.
The best practice is to make a new
label and place it over the old one.
Protect disks from direct sunlight.
Avoid using clips of any kind to attach
things to floppy disks.
Protect disks from direct liquids or
dampness.
Do not bend, handle roughly, flex, or
bind disks with rubber bands.
Do not touch exposed portions of a
disk.
Do not lay metal objects on a disk
even if the disk is covered by a
protective jacket.
Use care when inserting a disk into, or
removing a disk from, a computer's
disk drive.
Store disks vertically in a rigid con-
tainer that is not vulnerable to light
and dust.
sealed units and are not accessible
to operating personnel. However,
some small computers use
external, removable hard disks,
or cartridges.
The data recorded on hard disk
are subject to error, or even oblitera-
tion, if any device that emits a
magnetic force is placed or located
near the computer's hard disk.
Power spikes and surges will also
destroy data on a hard disk on a
computer plugged into an electrical
outlet, even if the computer is turned
off. A surge protector for all com-
puter hardware is strongly recom-
mended. Data may also be lost if a
computer or external disk packs are
subject to rough handling.
Magnetic Tapes. Magnetic tapes are
normally associated with large main-
frame computer operations rather
than with PCs.
However, PC files are often
transferred to magnetic tapes for use
on large computers. This provides
an important backup copy for the
material. In addition, if any of the
files need to be transferred to the
National Archives, magnetic tape is
an acceptable long-term storage
medium of permanent electronic
records.
Magnetic tapes are stored on
reels, cassettes, or cartridges. The
tapes are best stored upright, hang-
ing, or standing. For storage and
retrieval purposes, hanging is the
most common method of storing
tape reels. Using color-coded
labeling strips on magnetic tape reels
can help make filing and retrieval
easier.
Caring for Magnetic Media. Mag-
netic media are extremely fragile.
Without using special precautions,
magnetic media may easily become
damaged or destroyed. Proper
handling and storage of magnetic
media will prevent contaminated
disks, damaged equipment, and loss
of information or errors in stored
data. Proper backup procedures are
a vital part of caring for and handling
of computer files and magnetic
media. In addition, be sure to retain
documentation related to the elec-
tronic files.
-------
Vital Records
25
For further guidelines on the care
and maintenance of electronic
media, consult Care and Handling of
Computer Magnetic Storage Media,
National Bureau of Standards
Special Publication 500-101, June
1983, published by the National
Institute of Standards and Technol-
ogy, as well as National Archives
and Records Administration regula-
tions (36 CFR Part 1234, Electronic
Records Management).
Optical Disks
An optical disk (sometimes called
optical digital disk or optical digital
data disk) is very similar in shape to
a magnetic disk. Optical disks range
from 3 1/4 to 14 inches in diameter.
Information is entered on the optical
disk by a laser beam that writes data
onto the disk's light-sensitive surface.
Because such a laser beam is
microscopic, very large amounts of
information can be stored on a single
disk. Information is retrieved or read
back by using a low-powered laser.
Optical disks are rigid, durable,
removable, and are not affected by
static or magnetic influence as are
the magnetic storage devices previ-
ously described. Features of optical
disk technology include:
The ability to convert images into
digital data. The technology can
record digital, audio, video, and
graphics data efficiently. Images
such as pictures, illustrations, and
signatures can be stored in digitized
form on the disk with other elec-
tronic data.
Capacity/space savings. An
optical disk can store about 400
times more information than can a
regular magnetic floppy disk, and
about eight times more than a
typical hard disk. This difference in
storage capacity is a plus if the data
is to be stored only and not changed.
A tendency to lock users into
proprietary products due to lack of
standards.
A number of storage media
systems are associated with optical
disks. The common types include
WORM, Rewritable, CD-ROM, and
CD-I.
WORM (Write Once-Read Many).
WORM disks allow users to record
data but not to write over or change
it. The disks can be used for docu-
ment storage and backup since they
hold thousands of pages. In day-to-
day office operations, WORM disks
can function as file cabinets. The
filed or stored data can be retrieved
or viewed but not modified.
Rewritable. Rewritable (or erasable)
disks permit users to read, write,
erase, and write over data. These
disks operate much like hard disks
but with much greater capacity.
Rewritable disks are suited to data
that must be continually changed.
This is still an experimental technol-
ogy, with limited use, and it is
currently very expensive.
CD-ROM (Compact Disc-Read Only
Memory). CD-ROM is a read-only
optical technology. This means that
the data on the disc is pre-recorded
and cannot normally be erased or
updated. CD-ROM is used mainly
for publishing and distributing large,
unchanging databases such as
encyclopedias, dictionaries, and
commonly used references.
CD-I (Compact Disc-Interactive).
CD-I technology adds a multimedia
(audio, video, graphics) dimension to
a CD-ROM disc. These interactive
compact discs are intended for home
entertainment and learning, educa-
tion, and training. CD-I players
connect to stereo and television
systems, rather than to a computer.
Optical Disk Document Imaging
The storage capacity of the optical
disk has made possible optical disk-
based document image processing
systems that can streamline some
low activity, paperwork-intensive
operations. These on-line systems
feature digitizing, storing, and
retrieval on optical disks,- indexing
with specialized software; laser
printing;,and delivery by electronic
mail or other telecommunication
media.
Vital
Records
Vital records are those records
necessary to:
maintain continuity of operations
during an emergency,
recover full operations following
an emergency, and
protect the legal and financial
rights and interests of citizens and
the government.
The two basic categories of vital
records are emergency operating (or
preparedness) records and rights and
interests records.
Emergency Operating Records
These are records vital to a Federal
agency from the beginning through
the full recovery of an emergency.
Such records include any plans and
procedures necessary for the mainte-
nance of public health, safety and
order, and for the conduct of essen-
tial civil defense activities. They also
include records necessary for military
efforts and for mobilization and
protection of material and manpower
resources, services, and systems.
The Federal Emergency Manage-
ment Agency (FEMA) defines emer-
gencies as occurring both in peace-
time and wartime. Emergencies
come from natural, man-made, and
nuclear causes. FEMA has classified
Federal departments and agencies
and their regional components
having emergency operating records
into three categories.
Category I: Federal departments
and agencies required to have a
continuous emergency operating
capability during national security
emergencies.
Category II: Federal departments
and agencies required to establish an
emergency operating capability such
that the capability may be inter-
rupted during extreme emergencies
such as nuclear attack.
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SAMPLE ELECTRONIC SYSTEM INVENTORY FORM
From the OARM Records Management Study
Date Name
Phone
Office Division Branch
Title
System Name
Acronym and/or #
Program Supported
Purpose (Legal Requirement and/or reason system was created)
Main Subject Description (Refer to instructions on back...The description must be comprehensive)
This system contains the following kinds of documents (Check all that apply):
~ System data ~ System documentation ~ System development ~ Operation/Mtnc ~ Input source data
System Managers Name Office
For development documentation
For svstems documentation
For operation/maintenance material
Hardware
Software
Date Range
Start End
Record Value
~ Fiscal ~ Administrative
~ Legal ~ Historical ~ None
Disposition Authority (if known)
Disposition Recommendation
Approved schedule #
User Requirement
Has purpose / use changed since schedule was
approved?
~ No ~ Yes If yes, Explain
Legal Requirement (if known)
Possible schedule numbers)
OTHER RECORDKEEPING REQUIREMENTS
Check all that apply
Restrictions
~ Vital
~ Confidential
~ Subject to audit
~ Archival
~ Public
Disclosure
~ Required
~ Prohibited
Duplication
~ Original
~ Copy
~ Copy locations:
~ In Dept
~ In Agency
~ in OARM
~ Out of Agency
Major Output
~ Reports
~ Tables
~ Charts
G Publication
~ Other:
Frequency
Q Daily
~ Weekly
~ Monthly
G Yearly
~ Other:
Documentation
Q On-line
~ Hard copy
# volumes
# copies
#
locations
Update cycle:
Superseded information saved: ~ No ~ Yes
Information transferred to other systems: ~ No ~ Yes (if yes, what systems):
Control # E- Revised 10/31/94
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An electronic or "information" system is the organized collection, processing, transmission and dissemination of
information in accordance with defined procedures. It, includes the inputs and outputs that-are generated, as well
,as the information on electronic media.'The system may contain budgetary, fiscal, social, economic, scientific-
technical or program-related data and information, operated in support of agency programs and management
responsibilities.
The Agency's concern is with the government information in the system, i.e., information created, collected,
processed, transmitted, disseminated, used, stored, and disposed of by the Federal Government. Examples of
electronic systems include: Audit Tracking System, ADP Budget Planning System, and Contract Payment
System. Examples of what are NOT electronic systems include: word processing memos and Freelance Graphics
presentations.
INSTRUCTIONS
Complete an inventory form for each electronic system. NOTE: Only one form should be completed for
multi-user systems. The person who maintains responsibility for the system should complete the form.
Date, Name, Phone, Office, Division and Branch: Self-explanatory.
System Title: The commonly used name of the system.
Acronym: The commonly used acronym of the system.
Program Supported: Self-explanatory.
Purpose: The reasons for and the requirements met by the system.
Systems Managers: Indicate all persons designed as back-ups, and/or the names and offices of the person(s) who
can provide additional information about the system and the program it supports.
Authority: Indicate the laws, directives, etc. which authorize the system.
Main Subject Description: The description should include the following information:
(a) Sources of data: The primary sources or providers of data to the system [e.g., broadcast license holders,
corporations doing business in the U.S.]. Does this system receive information from other systems, either
from within or outside your agency?
(b) Information content: The principal subject matter, data coverage, update cycle, whether the system
saves superseded information, major characteristics of the system, and whether the system contains
microdata or summary data.
(c) Outputs: The principal products of the system [e.g., reports, tables, charts, graphic displays, catalogs,
correspondence] and an indication of the frequency of preparation. Is information from this system
transferred to other systems?
Hardware, Software: Self-explanatory.
Disposition Authority: Enclosed in this packet is a list entitled "EPA Approved Schedules". Please review this list
carefiilly. Match your electronic system to a title on the list (if you can) and indicate the schedule number. If the
purpose or use of the system has changed, please explain what the change is. Example: regulations now mandate the
files be maintained where before you kept them for administrative purposes only. Conversely, laws no longer
require the files be kept, but you are still keeping them for reference.
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