United States	Information Resources	Issue Number 12
Environmental Protection	Management	December 1991
Agency	(PM-211D)
v>EPA INFO ACCESS
Records Network Communications
Draft of NARA Evaluation Received
by Michael L. Miller, IMSD
The National Records
Management Program (NRMP) has
received a draft of the National
Archives and Records
Administration (NARA) evaluation of
EPA's records management
program and practices. The Agency
has until December 29 to respond
concerning any errors of fact found
in the report. Senior IRM Officials
(SIRMOs) have been asked to
assist in the factual error review
process.
36 Specific Recommendations
The NARA evaluation
recommends a total of 36 specific
changes that must be implemented
to bring the Agency's records
management program into
compliance with Federal records
and information management
regulations. The recommendations
are grouped under 5 general topics:
Overall Program Management.
Records Creation and
Maintenance.
«*¦ Records Disposition.
Superfund and Contractor
Records.
Electronic and Nontextual
Records.
Progress has been made in
addressing some of the
recommendations, especially in
Regional offices and the Superfund
program. However, much work
needs to be done. The NRMP has
begun developing an action plan to
address the recommendations, and the
plan will be circulated for comment
early in calendar year1992.
X See page 4 for an article X
( about NARA's visit to the \
V Central Regional Laboratory J
Nv in Annapolis.
Three Critical Steps
Preliminary analysis indicates
that the Agency must develop a
strategy to address three critical
recommendations before it can tackle
the remaining 33. Those critical
recommendations are:
a Ensure that each major
Headquarters program, each Regional
office, and each field installation has a
records officer with sufficient time to
carry out his or her records
management functions.
~	Inventory the Agency's
records, revise the disposition
schedules accordingly, and
identify records custodians for the
most important bodies of records.
~	Develop communications
lines between the NRMP and the
records officers and between the
records officers and program staff
to enable the information about
records management to be
disseminated effectively.
During 1991 the Agency as a
whole made some progress in
each of these areas, although the
level of progress varied
considerably. In 1992 we must
build on our initial successes,
strengthening our existing
initiatives while developing new
ones in programs that currently do
not benefit from up-to-date
records management. &
Here's Looking at You!
INFOACCESS will have a new look starting with the
February, 1992 issue, based in large part on the comments
we received from readers in response to our records
management users surveys and followup telephone
interviews. We think you will like the new look. Thanks for
your help in determining the changes.

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Headquarters Update
During FY92, the Information
Management and Services
Division (IMSD) initiated a number
of major projects to improve the
records management program at
Headquarters. The initatives are
part of a comprehensive records
management plan that will
increase control of Agency
records, respond to
recommendations made in the
National Archives and Records
Administration (NARA) evaluation,
and allow the Agency to develop
records storage requirements for
the proposed new Agency
headquarters building.
~ SIRMOS to Designate
RMOs in Programs
In an October 25,1991
memorandum, Alvin Pesachowitz,
Director of the Office of Information
Resources Management, asked
Headquarters Senior Information
Resources Management Officers
(SIRMOs) to provide input from their
programs. Citing the IRM Policy
Manual, he asked the SIRMOs to
serve as the principal liaisons in
matters of policy review for their
programs. In addition, he asked that
they designate a staff member to
serve as Records Management
Officer (RMO); the RMOs will be
responsible for coordinating the
records management program in
their areas.
~	New Headquarters RM
Support Staff
Sandy York (contractor),
Records Management Program
Director, will be assisting the
Headquarters National Records
Management Program (NRMP) staff
on a variety of projects, including the
development of Regional records
disposition schedules, the
development of Regional file plans
for programs other than Superfund,
facilitating communications between
Headquarters and the Regional
offices, working with the Regional
staff sponsoring the Agencywide
records management conference,
and providing technical assistance
for Regional offices, at the direction
of Michael Miller, Program Manager,
NRMP.
~	Final EPAAR Rule on IRM
Policies
The final Environmental
Protection Agency Acquisition
Regulation (EPAAR) rule [40 CFR
Parts1510 and 1552] incorporates
EPA Information Resources
Management (IRM) policies into a
contract clause. The intended effect
of the rule is to ensure that
contractors perform IRM-related
work in accordance with EPA IRM
policies. This final rule is important to
records managers because it
includes records management
policies as part of information
resources management. For further
information on this final rule
(effective August 27,1991) contact
Edward Chambers, FTS 260-6028.
~ RM Training Workshop
A Records Management
Training Workshop will be held on
March 25 and 26, 1992, at the EPA
Education Center at Waterside Mall'
in Washington, DC. The two-day
session, sponsored by the National
Records Management Program,
covers files maintenance and
disposition, retirement and disposal
of inactive records, and retrieval of
records from the Federal Records
Center. The workshop is targeted for
administrative officers and
assistants, secretaries, clerk-typists,
and other employees responsible for
the management and maintenance
Continued on page 3
ft
INFOACCESS, a forum to provide information and report on progress in information management across
the Agency, is produced by the Information Access Branch of the Information Management and Services
Division, Washington, DC under the direction of Michael Miller, National Records Management
Program Manager. Please send your comments and suggestions to: Mary Hoffman (LABAT-
ANDERSON Incorporated) Network Coordinator, PM211B, 401M Street, SW, Washington, DC 20460.
Telephone: FTS 260-7762. Electronic Mail: Hoffman.Mary.

INFOACCESS
DECEMBER 1991

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Update from page 2
les. If you would like to know
.ore about the workshop, contact
Harold Webster at FTS 260-5912, or
Debora Dorsey at FTS 260-6678.
~ TOSS Contract Support
for Records Management
by Geoff Steele
Faced with mounting paper
management difficulties, more
Agency Regional and program
offices are taking a two-pronged
approach to improving the
organization of their records.
Step 1: Improved paper records
management through development
of centralized file facilities and
computer indexing. This enhances
document integrity by providing more
detailed information about what
records the Agency actually holds
and improves the maintenance of
^official" files by controlling their
uplication and circulation.
LABAT-ANDERSON
Incorporated, the Agency's
information services contractor, is
staffing centralized records facilities
at a number of Regional and
headquarters offices. More are
underdevelopment.
Step 2: Conversion of high
volume paper-based records to an
alternative medium - either
microfilm or optical disc. This
provides rapid document retrieval
and reproduction, improves file
integrity and security, and recovers
valuable space (formerly required for
paper records maintenance) for
other uses.
A new capability under the
Agency's TOSS contract provides
nationwide support for micrographic
and optical disc document
conversion. Dubbed "MODCONS,"
this new support capability features
"soup to nuts" help, ranging from
fr
CORRECTION:

In the October issue we listed
the wrong number for Greg
Hendrix (contractor), Records
Management support. The
correct number is:
FTS 260-5272.
mission needs analyses (i.e.
requirements analyses), detailed
information system design, full
conversion assistance (using local
vendors), facilities management, and
systems training. A single, highly
experienced subcontractor can
provide project support on-site,
helping to ensure consistency and
quality of delivered products and
relieving the stress on Agency
personnel with limited experience in
alternative media technologies.
Offices buried in paper and
looking for solutions to their records
management problems are invited to
call the National Delivery Order
Project Officer (DOPO) for the
LABAT-ANDERSON Incorporated
Contract, Linda Garrison,
Information Management and
Services Division, on FTS 260-6939,
or the National DOPO for the TOSS/
MODCONS conversion support
vehicle, Geoff Steele, on FTS 260-
5636. Detailed information on the
use of the TOSS contract for
document conversion can also be
obtained from the TOSS Project
Officer, Brenda Daly, at FTS 260-
2392. The MODCONS
contractor can be reached by
contacting Susan Tavenner,
Computer Sciences Corporation, at
(703) 538-7278.
Don't wait! With these
capabilities now in place, local
offices are already lining up to
perform FY92 records management
and document conversion work and
demand is rising. ~
~ Records Managerment
Package
A new Records Management
Officers Package is in the
development stage. The packet will
contain records management
manuals, schedules, and forms for
ordering publications developed by
the Information Management and
Services Division. It will also include
a draft records management
deficiency and status check form
created by the Records
Management Support Staff. A
sample packet will be assembled for
the review of the National Records
Management Program Manager.
The packet is scheduled for
distribution beginning in
February 1992.
Updates on Deliverables/
Ongoing Projects
~	Regional Superfund
Schedules have been circulated for
informal review. Comments are
being analyzed and a final version
prepared for formal approval.
~	The Superfund Records
Definition and Guidance Document
has been circulated for review.
Analysis is underway, and a final
version should be ready for formal
approval in the near future.
~	Research continues on the
Headquarters Superfund Records
Disposition Schedule.
A A draft of the RCRA Regional
Records Disposition schedules was
presented at the Office of Solid
Waste and Emergency Response
(OSWER) records management
conference in December.
~	Work continues on the four
Superfund Regional projects
sponsored by the Office of
Information Resources
Management (OIRM). Workplans
have been approved and data
collection has begun. Once
deliverables have been received
their availability will be announced.#
DECEMBER 1991
INFOACCESS

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Records Management in a Laboratory:
Central Regional Laboratory, Annapolis,MD
The Annapolis facility was established in 1964 as part of the Federal
Water Pollution Control Federation. In 1980 the office moved to Bestgate
Road and became the Central Regional Laboratory. It was originally a
laboratory for water control, working with the National Pollution Discharge
Elimination System and Office of Drinking Water projects in inspection and
compliance activities. The well-equipped facility currently does contract
laboratory work involving quality control and analysis, including a considerable
amount of Superfund-related analysis.
Records Management at the Lab
The Central Research Laboratory (CRL) manages research and data
validation of test samples from Superfund sites. Laboratory staff also maintain
records of special programs such as those on the Delaware Estuary and Bay.
(r
PRINCIPAL CONTACT:
TELEPHONE:
EMAIL:
Patricia Krantz, Chief
Quality Assurance Branch
652-9180
Krantz. P
CRL's warehouse storage contains Contract Lab Data, Quality Assurance
Project plans, records and documents from special projects such as the
Delaware Estuary Program (data on marine and estuarine protection), and
Superfund Evidence and Site files on remedial and removal actions.
NARA Visits CRL
In June 1991, National Archives and Records Administration (NARA)
representatives from the Region 3 Federal Record Center (FRC) visited the
CRL in Annapolis, to conduct training on records management and assist in
the inventory and review of the records collection at the site. They were able
to identify and match to the records disposition schedules over 2/3 of the
records they located at the facility. The FRC staff made the following
recommendations to the records manager at CRL:
~	Develop a comprehensive files plan, including disposition
instructions, based on the June 1991 survey. Specify which office
retains the record copy for each series.
~	Initiate a program to transfer data packages to the Federal Records
Center.
~	Develop guidelines for the contents of data validation packages;
this will require coordination with the Office of General Counsel.
~	Revise the schedule as it pertains to environmental services in
general and the laboratory in particular; this will require coordination
with other EPA offices.
~	Continue the records clean-out campaign begun in 1991 to allow
more efficient use of storage space at the site.
If you would like a copy of the NARA Evaluation Report, contact Gloris
Butler at FTS 260-3639; Dmail - Butler.G. #
HQ Records
Meeting Plannec
for mid-March
The National Records
Management Program (NRMP)
staff are finalizing plans for a one
day conference on records
management issues. All
Headquarters staff involved in
records management are invited
to attend.
The conference agenda lists
sessions on the following topics:
HQ Records Management
Network.
Revised records disposition
schedules.
Retiring records to the
Federal Records Center -
Suitland.
NRMP services.
Records Inventories.
Dockets.
Contract vehicles.
The conference will be held in
mid-March 1992. Watch for a
flyer containing additional
information in early January.
If you would like additional
information now, contact
Gloris Butler at FTS 260-3639.
1

INFOACCESS
DECEMBER 1991

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Reporting from the Conference ...
ARMA NATIONAL CONFERENCE
ORLANDO, FLORIDA, SEPEMBER. 23-26, 1991
by Kathy Piselli,Librarian, Gussie Lofton, Librarian/Program
Coordinator, and Bette Drury, Head Librarian/Program
Coordinator (contractors), Region 4
^Destruction of
Auperfund Paper
Records
The following is a summary of
information provided in a
memorandum from Richard D.
Feldman, Acting Associate General
Counsel for Grants, Contracts
and General Law, to Michael Miller,
National Records Management
Program Manager, dated
September 11, 1991.
Two concerns confront the
records manager when deciding
whether to maintain copies of
Superfund records in hard-copy
form: the admissability of microform
as evidence in enforcement actions,
and the archival requirements of the
National Archives and Records
Administration (NARA).
Admissability in Court
The two chief hurdles in
ittempting to introduce non-paper
records into evidence are the rule
against hearsay (the document is
introduced to "testify" as to what the
person who created the document
"said" by creating the document),
and the best evidence rule (the
original copy of a document should
be used as evidence unless there is
a satisfactory excuse for non-
production).
NARA Requirernents
NARA regulations in 36 CFR
1230 allow permanent storage using
microfiche, set standards for the
creation of microforms, and provide
that agencies cannot destroy paper
originals until given authorization by
NARA. NARA has authorized
Superfund records to be
permanently stored in microform,
and therefore creation of microform
in conformity with NARA standards
is sufficient to ensure acceptance by
NARA for archival purposes.
Continued on p. 12
		/
Imagine attending a workshop on
Filing and Indexing—and liking it!
This was the scene at the 36th
annual convention of the Association
for Records Management and
Administration (ARMA), held this
year in sunny Orlando, Florida.
Of ARMA's 11,000 members,
approximately 2,000 gathered for an
offering of over 150 workshops,
discussion groups, and educational
sessions. Attendees appreciated the
practical nature of these sessions,
ranging from setting up a new
records center to providing good
customer service.
Participants discussed questions
like "How can I conduct a records
management program without a
directive from management?" "How
can I educate my legal staff on the
legal implications of poor records
management?" "Why don't I get
along with our IRM or ADP people?"
"How do I work without the
resources I need?" These hands-on
workshops offered positive, sound
advice on these and many other
difficult issues.
The first day of each ARMA
Conference, FEDDAY, is a special
day for those participants who
handle records for the Federal
Government. One of the FEDDAY
workshops was" Managing
Electronic Records." This workshop
presented information on the
creation, maintenance and use, and
disposition of records created and
stored in electronic media. Of most
value was a discussion on the
statutory and regulatory
requirements for the management
of these records. Such a workshop
could be an excellent agenda item
for the 1992 EPA Agencywide
Records Management Conference.
A workshop on an entirely
different note was "Humor: A
Serious Management Tool." Humor
in the workplace is acceptable as
long as you are not the office clown.
It can accomplish several
management goals, such as serving
as a stress reliever or as a
motivational tool. The presenter
concluded by stating that everyone
needs to have a sense of humor,
especially management.
Participants had the opportunity to
browse among 200 exhibitors
presenting everything from the latest
desk chair to color tabs to document
management software programs.
There were many valuable moments
throughout the week to network with
other records managers and to learn
from their experiences.
Participating in local ARMA
meetings and attending the annual
ARMA conference can provide
resources to help solve problems
every step of the way. &
DECEMBER 1991
INFOACCESS

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New Look for the Agency's
Records Disposition Schedules
by Michael L. Miller, IMSD
The records disposition
schedule (RDS) is the tool that
records managers and program staff
use to determine how long records
need to be retained and what their
ultimate fate (disposition) will be.
Inserted in this month's
INFOACCESS is a sample copy of
an RDS using the new format. The
format has been tested in the
Superfund program and has met
with overwhelming approval. Anyone
familiar with the current schedules
will find it a revolutionary departure
from the old way of describing
records. In this new system the RDS
are not only disposition tools but
access tools - guides to finding
information within the Agency.
Need for a New Schedule
Format
A major recommendation of the
National Archives and Records
Adminstration (NARA) evaluation is
that the Agency should revise its
RDS. Agency records managers did
not need NARA to tell them that the
current RDS could be confusing and
difficult to use.
During the past year the
National Records Management
Program (NRMP) has been working
to identify what information a RDS
should include and how best to
present it. The sample RDS insert is
the most current version of the new
format. The NRMP and Region 7 are
currently cooperating on a mission
needs analysis to investigate
automating the RDS so that it can be
distributed on diskette and be
available to everyone on a LAN
where possible.
How the New RDS Works...
The new RDS offers the records
manager or program staff person
more information in a variety of
areas. The goal is to make the new
RDS broad enough to be useful in
our decentralized Agency, specific
enough that staff can match RDS
entries to actual records, and flexible
enough that it can be customized to
fit individual program needs.
... broad enough
to be useful in
our decentralized
Agency,
specific enough
to match
RDS entries
to actual records,
and
flexible enough
to fit
individual
program needs.
The NRMP feels that the new
schedules will be a tool that all
records officers can use to better
manage their programs' records,
rather than simply a guide to apply-
ing
dispositions.
What Information is
Captured?
The new RDS captures seven
categories of information about each
type of record or records series:
/ Identifying Information
including series title, applicability,
NARA approval number, and Agency
identification number (EPA Number).
The EPA number is a unique
number assigned to the record
series that will allow us to track the
series independently of the NARA
approval process.
~	Descriptive Information
including series description,
arrangement of the records, type of
record (case file, correspondence
file, database, etc.), restrictions,
function served by the records, and
legal requirements for creating and
maintaining the records. These last
two pieces of information will enable
us to identify our truly important
records collections, and ensure that
they are properly maintained.
~	Disposition Information
including file breaks, Federal
Records Center retention, and
ultimate disposition. There is also a
place to register the rationale for the
disposition. Many new RDS will
provide separate dispositions for the
official copies of the records and
copies held by other programs.
~	Guidance Information is
a totally new category. The
Agencywide guidance section will
be used by the NRMP to provide
additional information to eliminate
confusion on how a schedule should
be applied. Examples would be lists
of forms that are covered by a
specific RDS, or who the custodian
of the official copy is. The program
guidance section is an optional
section that can be completed by
the records officer in a Region for
example. It provides Region specific
guidance or particular information
about how the records series is
maintained in that Region.
INFOACCESS §§|J|\ DECEMBER 1991
Continued on page 7

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RDS from page 6
~ Custodial Information will
be completed by the program and
will serve as a record of where the
records are located and who is
responsible for them. Once the
system is automated, this section will
be repeatable to allow for multiple
custodians.
/ Related Records
Information provides an opportunity
to identify other records series that
cover records that are related to this
specific RDS. For example the
enclosed sample RDS includes
references to other RDS that provide
dispositions for related databases.
The section also provides
information about any previously
approved disposition numbers used
for these same records.
/ Control Information
provides a record of the approval
process indicating the NARA and
gency approval dates as well as a
place to record the date of the last
update to this particular entry. This
will enable programs to check
whether they have the most recent
version of an RDS.
Current Status
At this point none of the draft
RDS using the new format has been
fully approved by both the Agency
and NARA, although RDS for
Regional Superfund records have
been circulated for informal review.
NRMP hopes to begin the formal
review process shortly for both
common administrative and program
management files throughout the
Agency. If you would like more
information on how the process is
progressing, including information
about the mission needs analysis for
automation, please contact Gloris
Butler at FTS 260-3639. &
Electronic Forms Implementation Program
(EFIP) by Geoff Steele, IMSD
Activity on the Agency's Electronic Forms Implementation Program (EFIP)
began in October, 1991, when META, a subcontractor under the Computer
Sciences Corporation/TOSS contract began work on a requirements analysis.
There are two primary goals for EFIP:
~	To mitigate the time- consuming and expensive processes involved
with pre-printing, warehousing, and distributing paper-based forms.
~	To recover substantial productivity and costs associated with the
processing of forms-based information.
Looking toward the FY 94 timeframe, the aim of this program is to
eventually put almost every form used Agencywide into an electronic library
maintained on the computing platform at Research Triangle Park. These
electronic form templates will be down-loadable to local file servers and will be
made available to form users through local area networks. In the future, an
individual at a workstation will be able to request a form, fill it, and either
produce a paper facsimile of the form, complete with data, for post-
processing, or electronically forward the form for additional review and
approval by other personnel.
The electronic forms software selected for this initial effort allows
designing and filing of forms on 286- and 386-class microcomputers, as well
as on a Macintosh. It also provides a data-merge capability to link forms-
based data with dBase databases. An ORACLE-link product is under
development.
EFIP is a complement to the Office Forms Facilitator (OFF) project being
managed by the Administrative Systems Division. The OFF initiative concen-
trates on fairly complex forms that serve as front-end data gathering
instruments for certain administrative applications. The EFIP initiative is
concerned with the remaining Agency forms.
EFIP can be thought of as having three distinct stages:
1)	Paper-based forms are converted to a common electronic format and
stored online in a centralized library. These electronic versions of the forms
are transmitted via telecommunications for local printing where needed. The
hardcopy, printed versions of the forms are then filled out and processed in
the traditional way.
2)	In addition to the prior capability, the forms are able to be filled out
online, with edit checks and other automated assistance for the person filling
out the form. The completed form is then printed and subsequent processing
follows traditional procedures.
3)	In this final stage, forms are filled out, routed, and processed in an
entirely electronic environment. Needed linkages to automated administrative
applications are complete. In addition, significant improvements in efficiency
result from the redesign of workflow for forms routing and processing.
EFIP is currently at the beginning of stage 1. OFF is an example of stage
2. Attaining stage 3 will require a concerted effort by many involved parties
over years, but the benefits clearly warrant proceeding towards stage 3.
The EFIP requirements analysis and implementation plan are
scheduled for completion in Spring 1992. A series of stage 1 demonstration
pilots will follow in selected laboratory, Regional, and headquarters offices.
Any office interested in volunteering for a pilot application can contact the
EFIP Program Manager, Geoff Steele, Information Management and Services
Division, at PM-211D, by phone at FTS 260-5636, or via electronic mail box
Steele.Geoff. #
DECEMBER 1991
INFOACCESS

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Records Management at NEIC
Sandy York (contractor), Records Management Program Director, conducted an interview with Paula Smith, Sectio
Chief, CEAT Project Officer, and Gerri Hilden, Criminal/Civil Project Leader, Document Control Officer for the
National Enforcement Investigations Center (NEIC) in Denver to obtain information for this INFOACCESS profile.
Background
NEIC, founded in 1970 as the National Field
Investigations Center - Denver, an operations unit of
the Federal Water Quality Administration in the U.S.
Department of the Interior. In 1970 it was transferred to
EPA and in1975 it became the National Enforcement
Investigations Center under the Assistant Administrator
for Enforcement.
Q. How does the records management function
at NEIC support the overall mission of the Center?
A. Because the major function of the Center is to
provide information and gather evidence for case
preparations in support of enforcement actions, the
Evidence Audit/Quality Assurance Section manages the
Contract Evidence Audit Team (CEAT- TechLaw)
contract, as well as NEIC Records Center for technical
project files.
The Contract Evidence Audit Team contract was
established in 1981 to extend NEIC services for
evidentiary audits. The contract currently employs
approximately 100 people who provide litigation and
evidence audit support to EPA Regions, Headquarters,
NEIC, the Department of Justice, the Federal Bureau of
Investigation, and other State and Federal agencies.
Some of the elements of the program include:
~	Document inventories for case development
sample profiles tracking of samples from the
field to disposal.
~	Administrative Record assistance.
~	Transactional databases.
~	Potentially Responsible Party search audits.
A Cost recovery databases.
~	Evidence audits.
The program is currently working with Research
Triangle Park to expand its imaging and 'lull text"
capability for a set of documents for Regional Counsels.
Q. Who is responsible for housing and maintaining the
records for this program?
A. NEIC does not maintain the records used by the
contractors; they are returned to the custody of the unit
or agency originally requesting our services.
Q. Why do you feel a good records management
program is important?
A. We need to ensure that the Agency, as well as
contractors, adhere to policies and procedures so that
our enforcement cases will stand up in court, and we
must be able to provide consistency in case
development.
Q. What records are maintained in the NEIC
Records Center?
A. The NEIC Records Center is responsible for
maintaining the technical project files. Projects are
tracked on an automated files project system from the
time a project starts. Information is currently on the
Prime computer system, but is being converted to the
NEIC local area network (LAN). When a project is
completed and the records given to custody of the
Records Center, check-out information is also tracked
on the files management system.
Q. What kind of space and staffing do you have in
the Records Center?
A. We have 1,000 cubic feet of storage space.
Since all of our records are considered to be of
permanent value and can be recalled for court cases
at any time, it is important that we carefully track and
retire records on a regular basis according to the
disposition schedule. We usually keep project files in
the NEIC Records Center for three years and then
retire them to the Federal Records Center.
There are seven people in the Evidence Audit
Unit, and four are primarily concerned with records.
However they equate to only about one to two full-
time-equivalents (FTEs).
Q. Does the public have access to the Records
Center?
A. We do get requests for information either through
Freedom of Information Act requests which are
forwarded from other EPA offices, or referrals from
the Department of Justice. An interesting trend that
we have noticed lately is that our older records are
now being called into court. This is because most of
the cases handled by NEIC must have legal import -
it is unlikely that they will be settled without
enforcement action. &
INFOACCESS
DECEMBER 1991

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(fF
«lanaging Records in Special Media :
udiovisual, Cartographic and
Architectural Records
The recent evaluation completed
by the National Archives and
Records Administration (NARA)
[see article on page 1] found that in
many cases EPA is not storing its
special media (items such as
audiovisual, cartographic, and
architectural records) properly. Mike
Miller has also noticed on his visits
to various sites that frequently
special media are not stored in ways
conducive to their long term
preservation, even though these
items are permanent Agency
records.
There are some printed sources
that can help Agency records
managers improve their knowledge
about the management of these
special records. NARA offers two
booklets that provide guidance and
^commendations on the
.laintenance of special media:
~	Managing Audiovisual Records,
by Valita Gilmore and William H.
Leary, 1990.
~	Managing Cartographic and
Architectural Records, by Jeanne
Young and Nancy G. Miller, 1989.
The booklets, part of NARA's
"Instructional Guide Series," discuss
the storage and preservation of
specific types of records, as well as
the need to schedule and determine
their disposition. They include
summaries of recommended
maintenance, and emphasize the
need to properly identify items. Both
contain glossaries of terms and lists
of contacts for those who require
additional or more specific
information on records
management.
Managing Audiovisual Records
provides information on the
maintenance of Federal records in
pictoral or aural form including still
and motion pictures, graphic
materials, sound and video
recordings, and combinations of
media such as slide/tape
presentations. The booklet includes
a section outlining the specifics of
the filing and identification, and the
storage and preservation of these
records. It also discusses other
NARA services such as courtesy
storage of permanent audiovisual
records, the Stock Film Depository
Program, and the National
Audiovisual Center.
The second booklet, Managing
Cartographic and Architectural
Records, provides detailed guidance
on cartographic records (including
maps, finding aids, field notes, etc),
aerial photography (including vertical
and oblique aerial film, infrared,
ultraviolet, multispectral, video,
imagery radar, etc.), and
architectural and engineering
records (including the criteria for
identifying significant buildings or
objects, and permanent drawings). It
also contains a section on
recommended maintenance for
these materials that "require special
storage and maintenance because
of their diverse physical attributes."
Booklets in the "Instructional
Guide Series" may be obtained free
of charge from NARA at the
following address:
Records Administration
Information Center
Office of Records Administration
National Archives and Records
Administration (NARA)
Washington, DC 20408
Other titles in the series include
Managing Electronic Records and
Managing Records of Temporary
Commissions. All provide practical
technical advice on the best
practices for managing these
important Agency resources. &
%
Tip of the Hat
INFOACCESS would like to
recognize records and
information management staff
for excellent work in the field of
records management, the
development of special products,
completion of significant
projects, or acknowledgement
of Agency awards.
~	Cincinnati
Three cheers for the new
records management program in
Cincinnati. Join us in welcoming
Robert Caster, Records Officer,
and his staff to the Network.
~	Region 4
Congrats to Region 4 on the
success of their recent Air
Enforcement training project.
A class was conducted to
introduce and train Air
Enforcement staff in the newly
implemented Air Enforcement
file structure and records control
system. Air Enforcement staff
were given instructions on how
to use the new structure to
organize their files and create
folders, and how to close out
cases and prepare for
disposition. This marks a major
commitment to better records
management on the part of the
Air Enforcement Branch.
~	Region 6
Thanks for the hospitality
extended to Mike Miller and
Linda Garrison during their
recent visit to Dallas and the
Region 6 records programs.
~	Region 8
Hats off to the Region 8 staff, for
retiring 230 cubic feet of records
to the Federal Records Center
during FY91 and early FY92.
This is equal to half the volume
retired in the previous19 years.
^	JJJ
DECEMBER 1991
INFOACCESS

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Around the Records Network
This section of INFOACCESS is used to report on upcoming meetings and projects
currently underway in the Regions, laboratories, and Headquarters. Anyone with
contributions for this column should contact Mary Hoffman (contractor), Network
Coordinator, at FTS 260-7762; Dmail: Hoffman.Mary.
REGION 1: Visitors
The Waste Management
Division's (WMD) Superfund Branch
hosted a Japanese business
delegation on September 30. Brenda
Haslett, WMD, coordinated the
delegation's visit to the Regional
offices, conducted a special tour
of the WMD Record Center and
presented an overview of EPA's
growing records management
program, including a discussion of
the Agency's development of the
Superfund Document Management
System. The delegation was treated
to a demonstration of an automated
SF 135 system that is being
developed by American
Management Systems for EPA.
NPDES System Improvements
The Regional Manager and
Library Technician for Water
reviewed the current NPDES Permit
File Tracking System and identified
areas for improvement. These
suggestions included the capability
to look-up by permit number and
allow borrowers to generate reports.
Following a meeting with staff from
NPDES and Information Resources
Sections the suggestions were
implemented and will make updating
the circulation records and general
response time in locating such
information much quicker.
REGION 4: Data Sructure
The INMAGIC Task Force
completed the development of a
standard data structure that can be
used by each program as it creates
its INMAGIC database for records
inventorying, labels production, and
records control. The standard
structure will ensure uniformity of
field labels and facilitate cross
program searching of the databases.
ORC RM Manual
A draft Office of Regional
Counsel (ORC) Records
Management Manual was submitted
to Lawrence Neville, ORC Deputy
Regional Counsel; ORC Branch and
Section Chiefs; and the ORC Filing
System Quality Action Team for
review. The completion of the review
and production of the final manual is
timed to coincide with the hiring of
two new contractor staff to oversee
the implementation of the new filing
system.
REGION 5: Regional File Plan
Region 5 records staff have
developed an automated draft
regional file plan in dBase. The
plan, when completed, is especially
useful because it can sort by file
code, record series, or program
office. It also includes information
about the record copy and disposal
authority. Louise DeBrower (con-
tractor), Head Librarian/Coordinator,
welcomes advice and comments
about the plan from her network
colleagues. She will share the plan
on disk or in hard copy with anyone
who is interested. You can call
Louise at FTS 353-1594 for more
information.
New Briefing Packet
A training/briefing packet
including file guidelines is being
developed in the Region to orient
staff in the use of a new Records
Center that will be opening in late
1991. Additions and revisions to the
site file structure will be reviewed by
the Regional Superfund Records
Management Workgroup and finalized
before its inclusion in the packet. If
you would like to know more about the
training packet or the file structure and
guidelines, contact Lynn Calvin,
Regional Records Officer, at
FTS 353-1481.
SCRIPS 2.0
The SCRIPS (Superfund Cost
Recovery Image Processing System)
project team, comprised of Adminis-
trative Systems Division's Vic Cohen,
representatives from the Financial
Management Division, and their
respective consultants, initiated their
pilot of SCRIPS version 2.0 in the
Chicago Superfund Finance Office.
This release of the software
represents a substantial
improvement from previous releases
relative to the number of indices that
scanners must enter prior to
scanning and storing a document
image. Prior versions of SCRIPS
required a dozen or so indices based
on the six document types.
In the pilot software, only Social
Security Number, Fiscal Year, and
Pay Period must be keyed in as
indices for payroll documents, which
represent a majority of a Region's
document holdings. Non-payroll
documents require only the Bar Code.
Operation of this software is
based on the use of SCORES as a
front-end retrieval mechanism.
SCORES, a PC-based multi-user
system, will house all Regional
Superfund financial transactions, and
that file will then be used to retrieve
image documents from SCRIPS.
Although cost recovery is the primary
objective of the combined SCRIPS/
Continued on page 11
INFOACCESS 11 MI DECEMBER 1991

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Region 9 staff presented two all-
day Administrative Record (AR)
:ning workshops for Federal
ities and State agencies who
lead roles on Superfund
National Priorities List (NPL) sites.
The first workshop was
conducted on September 10 with
about 20 participants from Region 9
Federal facility sites. Records Center
staff prepared a binder for each
participant which included copies of
EPA's Final Guidance on
Administrative Records for Selecting
CERCLA Response Actions
(December 3, 1990), as well as
basic records management and
document handling guidelines,
sample AR indexes, microfilming
information, and a checklist for
selecting AR documents.
The workshop was led by Holly
Hadlock, Hazardous Waste
Management Division, who made
introductory remarks and gave a
presentation on microfilming. Office
of Regional Counsel attorney Allyn
Stem discussed the concept of the
administrative record and legal
sues, and answered questions on
numerous related topics.
AR Training
Workshops
i
Marilyn Ryall, Regional Records
Management Officer, discussed
records management in Federal
government agencies, explained
EPA records disposition and
retention schedules, and provided
reference materials from the
National Archives. Dorothy Wilson,
Office of Community Relations,
discussed public participation
requirements, establishment of site
repositories, and publication of the
notice of availability.
Diane White (contractor), Head
Librarian/Coordinator, gave
presentations on records
management and document
handling, AR compilation and
document selection, and Federal
and State agency responsibilities in
compiling administrative records.
She also discussed how to handle
special categories of documents
such as sampling and analysis data,
technical literature, guidance and
policy documents, and privileged
documents. Barbara Phillips
(contractor), Head Librarian, gave a
presentation on microfilming ARs,
including the necessity of meeting
National Archives and industry
standards for archivability.
Participants were asked to
complete an evaluation form at the
conclusion of the workshop. These,
along with numerous verbal
comments and follow-up letters,
indicated that the workshop was a
great success and valuable to all
participants. Because there was
such a large demand for the first
workshop, a second one was
scheduled for October 2,1992.
Fourteen Federal facility and State
agency personnel attended the
second workshop, and it was very
successful. The records staff were
asked to offer the workshop again in
the future, or to provide follow-up
sessions. &
Around from page 10
SCORES relationship, the purpose
for retrieval could be any
administrative process within the
finance, enforcement, or program
office community.
GLNPO: RM Handbook
A Records Management
Handbook is in development for
Great Lakes National Program Office
(GLNPO) staff. It will be distributed
during training sessions after the
move to the new building, and will
help the staff adjust to new filing
procedures. You can contact Hollis
Pierce (contractor), Head Librarian,
at FTS 353-2690, for more
information about the Handbook.
REGION 6: Microfilm Projects
Geoff Steele, IMB/IMSD,
recently visited the Air Division staff
in Region 6 to evaluate the efficacy
of some potential microfilming
projects. He recommended the
Prevention of Significant
Deterioration (PSD) files as a good
candidate for filming. He also
reviewed State Implementation Plan
(SIP) files, and recommended
against the microfiling of these
materials.
REGION 8: Database Project
Regional records staff have
recently completed adding all the
OSWER directives into the Guidance
database system. All of the
documents are indexed and cross-
referenced in INMAGIC, which
allows easy access to documents
with title and keyword searching. If
you are interested in the Guidance
database and would like to know
more about it, contact Peg Hooper
(contractor), Records Information
Manager, at FTS 330-1807.
Headquarters - OSWER
A bibliography on Office of Solid
Waste (OSW) records management
guidance was initiated. The intended
audience is OSWER Information
Management and RCRA records
managers at Headquarters. It
contains Agency records
management guidance documents.
Program-specific record keeping
requirements will be added over the
next few months. *
DECEMBER 1991
INFOACCESS

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US EPA
Headquarters ar»d Chemical Libraries
EPA West l^dg Room 3340^
iAaMqode 3404T
n Conation Ave NV\
r^fiyc 20004
)556
NRMP"
The INFOACCESS staff wants to be
certain that it is reaching all those
who are interested in information
and records issues.
We also welcome your comments
and suggestions about the
newsletter itself. Please take a
moment to fill out this form and
return it to Mary Hoffman
(contractor), Network Coordinator,
Headquarters Library, PM-211B, or
send a Dmail message to
Hoffman. Mary.
Name	
Location/Office	
Mail Code	
.Please add the following
name(s) to the mailing list.
Please remove my name from
the mailing list.
Comments/Suggestions
Revised Directory of Non-Regional 1
Field Records Managers, 12/91
NAME
EMAIL
PHONE
FAX
Blackman.Slacy, OARM, NC
Blackman.S
629-3031

Carras, Nell, AREAL, NC
Carras.Nell
629-2351

Daniel, Martha, AEERL, NC
Daniel.M
629-2922

Gerding, Jerry, HERL, NC
Gerding.Jerry
629-5157

Hoskins, Anna, CERI, OH



Irwin, Diana, EMSL, OH
Irwin.Diana
684-7585

Johnson, Kimberley, ERL, IL
Johnson.Kimberly780-5544

Johnson, Richard, OIRM, NC
Johnson.R
629-1132

Krantz, Pat, CRL, MD
Krantz.Patricia
652-2140

Lackie, Neal, ERL, MA
Lackie.N
838-6030

Lincoln, Robert, OAR, AL
Lincoln. R
228-3410

McCoy, Lyn, NE Reg. Lab, MA*
McCoy.Lyn (617)860-4600

Mercurio, Sue, AWBERC, OH
Mercurio.Sue
684-7761

Paolucci, Sandy, RREL, OH
Paolucci.Sandra 684-7418

Queen, Barbara, EMSL, NV
Queen.Barbara
545-2561

Ray, Diane, ECAO, NC
EPA8068
629-3637

Runyan, Anna, ERL, OK
ERL/Ada
743-2224

Schwaegerle, Linda, ECAO,OH
EPA8141
684-7535

Shoemaker, Connie, ERL, FL
Shoemaker.C
228-9226

Smith, Annie, ERL, GA
ERL/Athens
250-3430

Smith, Paula, NEIC, CO
Smith.P
776-5147

Talsma, Debra, MVEL, Ml*
OMS/AMS
374-8311
374-8368
Taylor, Pamela, ERL, OR
Taylor.Pamela
420-4582

Webb, Sonny, OARM, NC
Blackman.S
629-4359
629-3552
NOTE: New listings are in Boldface.


NRMP Contacts:



Butler, Gloris
Butler.G
260-3639
260-3923
Hendrix, Greg*
Hendrix.Greg
260-5272
260-3923
Hoffman, Mary*
Hoffman.Mary
260-7762
260-3923
Miller, Michael
EPA30714
260-5912
260-3923
Taylor, Dozina*
EPA3745
260-5926
260-3923
Webster, Harold
Webster. H
260-5911
260-2923
Young, Lisa*
Young.L
260-3533
260-3923
York, Sandy, Denver*
York.S (303)680-6576
(303) 680-6739

* «= Contractor.
>

Please send any changes or corrections to Mary Hoffman (contractor)
Network Coordinator, at EPA30360; Hoffman.Mary, or FTS 260-7762.
Destruction from page 5
Conclusion
The conclusion is that it is
acceptable for Superfund paper
records to be destroyed once they
have been filed onto microform,
provided that:
~ The Agency has created the
microfiche pursuant to the National
Archives and Records Administration
(NARA) standards; and
A In order to ensure
admissability of records as evidence
in enforcement actions, the Agency
has verified the accuracy of the
microfiche, and can document those
procedures which ensure accuracy.
A copy of the full memorandum
is available from Gloris Butler at
FTS 260-3639; Dmail Butler.G.«?
INFOACCESS
DECEMBER 1991

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