United States
Environmental Protection
Agency
Information Resources
Management
(PM-211D)
Issue Number 16
April 1992
»EPA INFO ACCESS
Records Network Communications
r
In this Issue...
What is an
Electronic
Record?
p. 1-2
ER Do's and
Dont's
p. 3
NARA's Guide
forER
p. 4-5
HQ RM
Conference
p. 8
Archives of the
Future
p. 11
Scheduling ER
p. 12-13
NDPD Policy
p. 13
What is an Electronic Record?
by Michael L. Miller. IMSD
When most of us think of records we think of file cabinets bulging with paper. If we
stop and reflect a moment, however, we recognize that much of the information we work
with every day is in electronic form. Should you consider these data and documents to be
records too? The answer is that in many cases they are records, and this issue of
INFOACCESS provides a short course on how to improve your management of them.
What Does It Mean to Manage Electronic Records?
The National Archives and Records Administration (NARA) in its evaluation of EPA
records management has provided a framework for addressing the management of
electronic records. NARA made a number of recommendations including the following:
~ Revise and expand the guidance for creation, maintenance, use, and disposition
of electronic records to make it more complete and current.
~ Take steps to inventory the Agency's electronic records using the Information
Systems Inventory as a base, and develop disposition schedules for all systems
that do not have approved dispositions.
~ Provide training in the management of electronic records as part of the
Agency's records management training.
Complying with these recommendations will require coordination and cooperation
among the Office of Information Resources Management, the National Data Processing
Division, the Office of General Counsel, and systems managers throughout the Agency.
What is an Electronic Record?
The simple answer is that an electronic record is anything that meets the definition of
a record in the Federal Records Act but is maintained in electronic form. EPA's own
records management manual specifically extends all provisions concerning records to
include electronic information that megts the definition of a record. What does that mean
in practice? Let me give you a few examples of electronic records.
A diskette containing Toxics Release Inventory (TRI) information received
from a submitter.
«*¦ The EPAYS data system that has the Agency payroll information
Continued on page 2
-------
What is an electronic record?
from page 1
•» A database containing information electronically
submitted by States for uploading into the
Resource Conservation and Recovery
Information System (RCRIS).
A dmail message from another unit requesting a
change on a draft regulation.
•» A draft of meeting minutes circulated for
comment electronically.
Any data system included in the Agency's
Information Systems Inventory-
If It Is a record must I keep It forever?
Does this mean that everyihing needs to be retained
in electronic form? Far from it! In looking at electronic
records you need to keep three things in mind.
First, most records, including electronic ones, are
disposable after a certain period of time. That period of
time is stipulated in the Agency's records disposition
schedules.
Second, in the case of most text files, the electronic
document becomes eligible for disposal once it has been
printed out in hard copy and filed appropriately. You may
then safely erase the document when it is no longer
needed for current business.
Third, the need to retain information in electronic
form is determined by analyzing the entire information
system - input, output, stored data, and the surrounding
documentation - in terms of the program and Agency
recordkeeping and information management needs.
Once the analysis is complete, it is possible to determine
whether it is advantageous for the Agency to preserve
the information electronically.
Some Rules of Thumb
Here are some rules of thumb for the retention of
your electronic files:
~ working Files
Most of what most staff have on their PCs are
working documents for their assignements. Given the
complexity of documenting the development of a product
over time, most staff prefer to print out and file key
documents that are needed to support the decision
making record. If you wish to maintain your
documentation electronically, be sure that it is organized
in a way that will allow you to reconstruct your approach
easily, if necessary.
~ Record Copies
If you do choose to maintain the record copy of any
document in electronic form, you need to retain it as long
as you would retain the hard copy.
~ Databases
Databases, like any other records, need to have an
approved disposition. Many databases are covered by
the National Archives and Records Administration
(NARA) General Records Schedules, which authorize the
Agency to dispose of the data when no longer needed for
current business. Most databases that are classified as
Level 3 or 4 in the Information Systems Inventory will be
covered by the General Records Schedules, while most
Level 1 or 2 systems are not. Programs should call the
National Records Management Program for further
guidance. &
ACCESS
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 (contractor), Network
Coordinator, PM211B, 401 M Street, SW, Washington, DC 20460. Telephone: FTS 260-7762. Electronic
Mail: Hoffman.Mary.
INFOACCESS
2
APRIL 1992
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I
i
Do's and Don'ts for Handling Electronic Media
by Sandy York (contractor), Program Director for Records Management
Mort Gerberg in his book, The Computer Dictionary (Wallaby Books, 1984),
defines "downtime" as:
'The amount of minutes, hours, days, weeks, years, et al., that a computer system
is inoperative due to a mechanical or electrical malfunction. This is calculated by
neophyte users to be approximately 47.8 times that of up time when, presumably,
everything is hunky-dory. The amount of downtime due to human malfunction is,
of course, incalculable."
Here are some tips for handling electronic media that will help you keep your "downtime" down:
~ Do FREQUENT backups of your files and documents, and keep them in a safe and secure location.
Frequency of backups depends on how much work you want to re-enter or re-do when something
goes wrong!
~ Keep your disks and drives clean and make sure they have periodical preventive maintenance.
Be "security minded" - Don't allow unauthorized perions access to your computer or disks.
~ Don't fold, spindle, or mutilate your diskettes - handle them carefully and store them in a vertical
position in an appropriate storage container. And don't place your diskettes on top of your computer
or monitor.
~ Label and index your data so it can be found when it is needed. Establish good labeling, naming,
and filng procedures for your office. For example, place similar documents on the same labeled
floppy or hard disk directory. Labels on the paper jackets for floppy disks and magnetic tapes should
also include identifying information such as the name of the office, title, dates, software and
equipment used.
~ Keep food and drink away from your computer equipment and storage media. The spilling of drinks
on keyboards, unfortunately, is not an uncommon problem.
~ Protect your computer and disks from electrical or magnetic fields and power surges - Don't place
magnets, radios, or fans on or near your computer. Watch for newer phones with magnets in their
handsets.
~ Be sure that anyone using your computer is adequately trained and supervised.
~ Scan your computers and diskettes for viruses. REMEMBER MICHAELANGELO!
Don't share floppy disks indiscriminately or run programs or software of unknown origin.
Be careful of bulletin boards. Work with your Information Center to make sure you're not
spreading an infection.
We want to help you prevent a crash, defined by Gerberg as,
'The condition of a system that has become unusable, due to an error,
malfunction, or mistake, or to the sudden, violent confluence between
the CPU and a heavy, blunt instrument, such as a sledgehammer." &
APRIL 1992
INFOACCESS
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A Summary of the National Archives Instructional
Guide, Managing Electronic
by Sandy York (contractor), Program Director for Records Management
Very often records management programs have
concerned themselves primarily with the management of
paper. While most records managers know they should
deal with all records "regardless of physical form or
characteristics," dealing with electronic information is
often seen either as the exclusive domain of the
computer staff or too difficult to deal with. As we become
more dependent upon computers and have more data
which is never transferred to paper, managing electronic
records becomes an essential element of the total
records program.
It is important for all Agency staff to understand that
electronically recorded data made or received by an
agency in connection with public business or under
Federal law and preserved as evidence of agency
activities or because of the value of the information are
considered Federal records.
The National Archives and Records Administration
(NARA) Instructional Guide entitled Managing Electronic
Records provides information on what electronic records
are, and how they should be managed in a Federal
agency. Following is a brief summary of the publication.
Recordkeeping Requirements
Recordkeeping requirements and record retention
periods for electronic records should be set during the
design phase of any new information system. Staff
should identify recordkeeping requirements including the
following:
~ Full and accurate documentation of the system.
~ Functions supported by the system.
~ Operational, legal, audit, oversight, or historical
requirements for the information.
~ How the information will be used, accessed,
and maintained on each medium.
~ Procedural controls used to preserve the
data integrity.
Technical documentation is an important component
of the electronic record and it should include:
~ System architecture.
~ Field definitions.
~ Record layouts.
~ Data element definitions.
~ Code books/data dictionary.
Judicial Use
Under the Federal Rules of Evidence, official records
may be admitted as evidence in lieu of a personal
appearance. It is important, therefore, that procedures
are established and followed so that the "trustworthiness"
of the record will not be questioned.
Contractor Records
Because Federal agencies must create and maintain
records to document contractor-operated programs,
NARA recommends including a requirement in the
contract requiring delivery of all pertinent documentation
of how the contractor carried out the program. Contracts
which involve creation of background data should specify
delivery of the data, with accompanying technical
documentation, in addition to the final product.
Rples gnd Responsibilities
Coordination among the Information System
Manager (oversees the creation and use of electronic
records in an information system), The Information
Technology Manager (responsible for acquisition and
technical operation of computer and communications
systems), and the Records Manager (responsible for
ensuring the proper creation, maintenance, and
disposition of the records) is essential to effective
management of electronic records. The NARA Guide
outlines what each party's role and responsibility should
be.
Disposition of Electronic Records
Scheduling electronic records for disposition is one of
the most effective methods for their management. When
they are no longer needed for current business, they may
be transferred to the Federal records centers or to the
National Archives if they are earmarked for permanent
retention, or they may be destroyed, depending upon
their value as authorized by the Archivist of the United
States. The records disposition process ensures that the
agency saves important data and deletes disposable
data when it is no longer needed.
Continued on page 5
INFO ACCESS maS APRIL 1992
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Wgntoryjng Electronic Records
The first step in the disposition process is the
inventory. Information required by the National Archives
for appraisal of electronic records includes:
~ Name of the system.
~ System control number.
~ Agency program supported by the system.
~ Purpose of the system.
~ Data input and sources.
~ Major output.
~ Information content.
Information content should include major
characteristics of the system such as the main subject
matter, dates, update cycle, whether the system saves
superseded information, the hardware and software,
access restrictions, systems managers, and location of
any duplicate information. EPA is using the information
collection for the Information Systems Inventory as the
starting point for the disposition process.
Applying General Records Schedules
Some electronic records may be covered by the
General Records Schedules (GRS) issued by the
Mational Archives. GRS 20, "Electronic Records,"
Ihorizes the disposal of electronic information of an
..ternal "housekeeping" nature. GRS 23, "Records
Common to Most Offices Within Agencies," covers
electronic records produced in office automation
applications.
Records Not Covered bv GRS
Information on electronic records not covered by
GRS 20 or 23 is submitted to the National Archives by
the agency's records management officer on a Standard
Form 115 (SF 115), "Request for Records Disposition
Authority." The records are appraised by the National
Archives to determine if they have permanent value.
For electronic records to be approved for permanent
retention they must contain information which is
important and unique about people, places, things, or
events, or provide automated access to other permanent
records.
Transfer of Permanent Electronic Records
to the National Archives
Magnetic tape is the only medium accepted by the
Archives; they do not currently accept floppy disks, tape
bridges, or optical disks. Due to the relatively short life
in of magnetic tape, agencies are encouraged to
uansfer permanent electronic records to the National
APRIL 1992
Archives where they can be stored in proper
environmental conditions for maintenance of magnetic
tape as soon as possible. Files must be written to their
specifications and accompanied by technical
documentation needed to use the data.
Maintenance and Use of Electronic Records
Electronic records need to be labeled, indexed, and
maintained in a manner that make them accessible and
available when they are needed. Special handling is
required to ensure long-term preservation of computer
files and magnetic media and this is especially important
for any records identified as permanent.
Appendices
The following titles are included in the National
Archives Guide:
~ Text of 24 Code of Federal Regulations 1234:
"Electronic Records Management."
~ General Records Schedules 20 and 23.
~ National Archives Information System
Description Form.
~ NARA Bulletin 88-8: "Use of Optical Disk Systems
to Store Permanent Federal Records."
~ Text of 36 Code of Federal Regulations 1228.188:
"Transfer of Machine Readable Records to the
National Archives."
~ Standard Form 277: "Computer Magnetic Tape
File Properties."
~ Glossary of Electronic Records Management Terms.
Copies of Managing Electronic Records may be
obtained free of charge from the National Archives at the
following address:
Records Administration Center
Office of Records Administration
National Archives and Records Administration
Washington, DC 20408
(202) 501-6025
Other booklets in the series include: Managing
Audiovisual Records, Managing Cartographic and
Architectural Records, and Managing Records of
Temporary Commissions.
The General Services Administration (GSA) also
publishes three items on electronic records:
~ Records Management and the Development of
Automated Information Systems, 1991. General Services
Administration, (202) 501-0956.
~ Evaluating Electronic Recordkeeping, 1990 and
~ Electronic Recordkeeping, 1989. General Services
Administration, (202) 501-2475. &
INFOACCESS
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II Around the Records Networl
Region 3 - Staff
Changes
Region 4 - Pilot
Study
Region 4 - ORC
Guidance Manual
Region 4 - New
Filing System
Region 8 -
Site Files
Region 8 - Records
Task Force
Anna Butch, formerly the Regional Records Officer, is transferring to the Hazardous
Waste Management Division to work with Superfund records. Barbara Brown is the new
Regional Records Officer.
Region 4 is conducting a pilot study on the feasibility of converting a unique set of
laboratory records in the Environmental Sciences Division to a new software system
called Document Administrator. Conversion of the records, already in electronic format,
will allow search and retrieval by individual record. The software will be made available
to other programs in the Region, such as the ORC and RCRA, who have expressed an
interest in document level records management. The pilot began in March and is expected
to take two to three months. If you would like additional information, you can contact
Rebecca Kemp at FTS 257-2316.
The Information Management and Services Division has recently received a copy of the
Records Management Guidance Manul for the Office of Regional Counsel developed in
Region 4 (mentioned in the Feb. 92 issue of INFOACCESS). The 87-page Manual not only
presents the ORC's filing system, it also provides a systematic approach to implementing
the system along with excellent guidance for filing ORC records. Any Regional office
interested in developing file plans for ORC would benefit from reviewing this Manual
before initiating its own project.
Records staff met with staff from the Drinking Water Section's Compliance and
Enforcement Unit to discuss implementation of a new records management filing system.
The records staff will create a manual filing system and provide INMAGIC database
training for Drinking Water staff.
One responsibility of the Superfund Records Center in Region 8 is the handling of
removal files for the Emergency Response Branch (ERB) of EPA. At this time the Center
has 130 active site files for ERB, all indexed at the document level. They are in the process
of microfilming the administrative record part of the files and have completed five to date.
If you would like more information about this project, please contact Andrea Mcintosh
(contractor), at FTS 330-1039; CML (303) 294-1039.
Region 8 has established a task force which meets the first Tuesday of every month to
discuss pressing records management issues. The main goal of the group is to come up
with short/long term work plans and recommendations for management review and
approval. The task force will then be charged with implementation of the approved work
plans. The task force, consisting of Jackie Rivera (Regional Records Manager), Carole
Macy (Superfund Coordinator), Sandy York (contractor, Program Director for Records
Management), and Barbara Niebauer (Facilitator), will add members after some of the
basic plans are put into place. If anyone would like to give any input, please don't
hesitate to call Jackie at FTS 330-1603, or on dmail, Rivera.J.
INFOACCESS
6
APRIL 1992
Continued on page 7
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Around from page 4
egion 9 - Water damage
The IRM team in Region 9,
including Records Officer Marilyn
Ryall, had to cope with water-
damaged records in early March. A
sprinkler head brust, releasing more
than 1500 gallons of water at 75
Hawthorne Street.
Marilyn coordinated the
recovery of the paper records. First
she worked with the program staff
to conduct an inventory of the
records that needed restoration.
Then she briefed the staff to assure
them that important documentation
could be saved. Marilyn made
arrangements to have approximately
25 cubic feet of records frozen and
vacuum dried, and about 25 dis-
kettes restored.
Regional staff also had to send 3
Macintosh computers to a company
fhat specializes in cleaning and
toring water-damaged computers
.ey take the mother board out and
dip it in freon]. The technical staff
worked to shut down the networks
and pulled wires so the computers
could be removed. The restoration
activities cost about $3000 - $60 per
box of records, $15 per diskette, and
$500 per computer. &
A Records Management
Report Card from NARA
The National Archives and Records Administation (NARA) has
completed its evaluation of EPA's records management program.
The report was sent to the Administrator on April 2 and we have
until July 10 to develop action plans for addressing the report's 40
recommendations. The recommendations are divided into 6
categories: overall program management, records creation and
maintenance, records disposition, contractor records, Superfund
records, and electronic records.
The report provides the Agency with a blueprint for improving its
records management program. The good news is that many of the
deficiencies identified in the report have been or are being
addressed, at least to some extent. The bad news is that much of
the most labor intensive work remains to be done. To fully respond
to the report will take the participation of both the records
management staff and each program unit. The National Records
Management Program is developing an implementation plan
framework and will be asking programs for input in the near future.
& Michael L. Miller, IMSD
(Tip of the Hat J
~ Join us in welcoming Elaine Yee, the new Superfund Records
Officer in Region 9, and Doug Haire (contractor), Head Librarian,
Region 4 to the Records Network. Doug will be working with Re-
gional records.
~ Headquarters staff welcomed Bette Drury (contractor), Program
Analyst, to Washington earlier this year. Bette, formerly the Head
Librarian in Region 4, will be working with the Office of Solid Waste
and Emergency Response, Information Management staff, on RCRA
records.
~ Congratulations to Sandy York (contractor), Program Manager
for Records Management, who authored an article on the project to
do document level indexing and microfilming of Region 8's
Superfund files. The article has been accepted for publication in the
Association of Records Managers and Administrators (ARMA)
journal Records Management Quarterly. &
APRIL 1992
INFOACCESS
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*
¦ Illl
Headquarters Records
Management Conference
ih
lllll
Over 150 staff registered for the Information
Management and Service Division's (IMSD) first ever
records management conference for Headquarters staff.
The one-day conference served as a kick-off for
revitalizing and expanding the records management
program at Headquarters. The conference was geared to
two major themes:
~ Preparing for various moves.
A Responding to the National Archives
and Records Administration (NARA)
evaluation.
The conference began with an overview of initiatives
and a call for development of partnerships to improve
records management. There were sessions on the
Information Management and Services Division's records
program, records and docket networks, the move to new
space, the application of technology to records manage-
ment, using the Federal Records Center, the NARA
Evaluation, and developing model files.
During a session on meeting customer needs,
conference attendees were asked to discuss and report
on the effectiveness of various elements of the records
management program at EPA. Here are some findings
reported:
~ There was a consensus about the need for
additional information and guidance on topics like
scheduling, filing, archiving, conversion of paper
documents, and applying technology such as
imaging.
~ In the area of communications, one fourth of the
attendees said that they were familiar with IMSD
records management products.
~ Less than 10% of the group had attended any
records managmenttraining, although most felt that
additional training would help them do a better job.
~ Approximately 25% of the participants said that
their programs retired records to the Federal Records
Center, but an even larger percentage had no idea
whether their program retired records or not.
~ When asked about their worst filing problems,
several concerns echoed through the room:
Space Time
Staffing Indexing
Retention schedules File plans
The comments made during this session emphasized
the records manager's need for additional guidance and
support. Despite IMSD's extensive communication
efforts, more needs to be done to reach the wide
Headquarters audience.
Throughout the day conference organizers noted that
there was much enthusiasm in the room - the
participants were interested in the information provided a\
the conference, and eager to learn more. According to
those who filled out the evaluation forms, the majority of
the participants felt that the conference was good and
that it provided needed information. The group's favorite
sessions were those on "Applying New Technology,"
"Using the FRC," and "Developing Model Files." In the
evaluation forms, attendees proposed a number of topics
for future meetings and conferences, including
A Legal issues - admissability of records in court.
~ More information on IMSD.
~ Implementation of records management.
~ Electronic records - how to survey, schedule.
~ Life Cycle concept.
More detailed proceedings from the Headquarters
Conference will be published in the June issue of
INFOACCESS.
•Ss Mary Hoffman (contractor) Network Coordinator
INFOACCESS
APRIL 1992
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NARA
Newsletters
The National Archives and
Records Administration (NARA) has
two newsletters records managers
will find of interest.
Record Facts Update is
published quarterly by NARA's
Office of Records Administration. It
provides information about services,
products, and training, and is a good
source for general information about
records management in the Federal
sector. If you would like to be added
to the mailing list, call the Office of
Records Administration at (202)
501-6025 or FTS 241-6025.
The Washington National
Records Center has begun a
quarterly newsletter targetted to
those in the Washington. D.C. area
who use the Suitland facility. The
newsletter provides information
about the services offered by the
Center, explains the background on
nter procedures, and alerts users
. charges that may affect them. The
newsletter is free and would be of
interest to all Headquarters staff that
retire records to the Federal Records
Center in Suitland. If you would like
to get on the mailing list call
Madeline Crisci at (301) 763-7504.&
Sound familiar?...
"There are no written records
that are worth anything. There
were no records of who called
when. All we had was word of
mouth. As soon as the clerk
collected an overdraft, she
threw away the little slips of
paper she kept."
- Rep. Jim McDermott (D-Wash.),
as quoted in The Washington Post
("House Bank Records Hampered
"•robe,: March 14,1992)discussing
i role of records (or lack therof)
.
-------
A Records Management
Council Meets Again
The second meeting of the HQ
Records Management Council was
held on March 25,1992. Those who
attended discussed the
Headquarters Records Management
Conference held on March 17th,
action plans for the response to the
NARA evaluation, the format of
new records disposition schedules,
NRMP support for program moves,
and the development of records
contacts in the programs. The next
meeting of the Council will
be in May.
~ Electronic Signatures Group
The Electronic Signatures Work
Group is waiting for proposed
standards for the use of Digital
Signatures in the government from
the National Institute of Standards
and Technology (NIST). NIST is
currently reviewing comments it
received during the period of
October 1991 through the end of
February 1992. NIST hopes to have
some form of final Federal
Information Processing Standards
(FIPS) in place in about six months.
The Work Group will finalize a
draft policy for the use of electronic
signatures once the NIST standards
are published. The Agency's draft
will then be circulated for Green
Border review and approval.
~ Operation Clean-Up II
This year's clean-up effort,
"Operation Clean-Up II," is
scheduled to run from the first of
April through the end of May 1992.
The Operation Clean-Up program
was instituted to assist Headquarters
offices in their preparations for the
eventual move to the new EPA
Headquarters. This year's effort will
be different from last year's in that it
will offer services primarily to those
who are moving between April and
November 1992, and to offices that
Headquarters
Update
request assistance. As you may
recall, last year's effort proceeded
systematically from floor to floor,
office to office, and all offices were
expected to participate.
The 1992 effort will involve staff
from the Office of Communications,
Education, and Public Affairs; the
Facilities Management and Services
Division; the Health, Safety and
Environmental Management
Division; the Information
Management and Services Division;
the Recycling, Printing Services and
Mail Management Section; and
Telecommunications. If you would
like more information about
Operation Clean-Up II, contact
Harold Webster at FTS 260-5912.
A Deliverables Received
IMSD has received the following
deliverables over tthe past month:
~ Final draft of the "Records
Definition and Guidance
Document for Superfund
Records."
~ Final version of the poster "What
is a Record?" also known as the
"Decision Tree."
~ Revised draft records
disposition schedules for
Regional Office RCRA records.
~ Revised draft records
disposition schedules for
Headquarters Office RCRA
records.
~ Analysis of Requirements and
Development of Improvement
Options for Managing
Superfund-Related Federal
Facility Records in EPA Regional
Offices (Region 1 Project).
~ Final Concept and Definition for
Automated Records Disposition
Schedules.
Records schedules will be
circulated. If you would like a copy
of any of the other documents, cal
Gloris Butler at FTS 260-3639.
A Records Management
Training Workshops
The next scheduled workshops
for records management training are
scheduled for June 24-25 and
August 26-27,1992. The two-day
training sessions, sponsored by the
National Records Management
Program (NRMP), cover files
maintenance and disposition,
retirement and disposal of inactive
records, and retrieval of records
from the Federal Records Center.
The workshops are targeted for
administrative officers and
assistants, secretaries, clerk-typists,
and other employees responsible for
the management and maintenance of
files and are held at the EPA
Education Center at the Waterside
Mall in Washington, D.C. If you
would like to know more about the
workshops, contact Harold Webster
at FTS 260-5912 or Debora Dorsey at
FTS 260-6678. &
INFOACCESS
13
APRIL 1992
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Archives of the Future: Archival Strategies for the
Treatment of Electronic Databases
by Bruce Ambacher, National Archives and Records Administration
This is the first part of a two-part article about the role of the National Archives and Records Administration in the
management of electronic records. The second part of the article will appear in the June issue of INFOACCESS.
Over the past several years, the National Archives and Records Administration (NARA), the repository for
permanently valuable Federal records including electronic records created by (or for) Federal agencies, has been
expanding its electronic records program. This reflects a growing concern regarding the expanding creation and use of
electronic records in an ever-widening range of Federal activities.
In 1990 the National Archives asked the National Academy of Public Administration (NAPA) to investigate Federal
agencies' use of automated databases to fulfill program needs. In response to NAPA's inquiries, Federal agencies
identified over 10,000 databases. NAPA assembled subject-matter-expert panels to review the nearly 1000 most
significant data files and databases. The Archives of the Future: Archival Strategies for the Treatment of Electronic
Databases details the panel's efforts and findings including recommendations regarding the retention of specific data
files and criteria for determining what kinds of data merit long-term retention. The criteria proposed for NARA to use in
appraising electronic databases reiterate standards in use by NARA:
~ Research value - multidisciplinary significance, national in scope and related to policy issues.
~ Content and coverage - longitudinal, rich in number, range, and character, a clearly defined
unit of analysis, and micro level.
~ State of the data - "clean" and well documented, not hardware or software dependent, and
no major methodological flaws.
~ Relationship to other data - potential linkage to other valuable data, not easily duplicated,
and difficult to replicate.
The Natural Resources/Science panel, which dealt with the kinds of records EPA creates, stresses five types of
electronic records with long-term value:
~ Science policy data - especially that focusing on the state of science, its infrastructure and personnel.
~ Regulatory programs mandated by Congress.
~ Bibliographic information systems.
~ Major agency program data.
~ Raw or interpreted scientific data.
The panel also suggested that the following considerations should be used by those examining scientific and
natural resources data for long-term retention:
~ Uniqueness.
~ Cost of data collection.
~ Cost of recreating data.
~ Data range.
~ Research importance.
~ Evidential value.
~ Relationship to other data.
~ Nature and type of study (repeatable, interpreted, unique event, or cumulative).
~ The extent to which it documents the agency's programs.
The EPA databases the NAPA panel considered as having long-term value included the Comprehensive
Environmental Response Compensation and Liability Information System (CERCLIS), the Environmental Monitoring
and Assessement Program (EMAP), The Hazardous Waste Site Database (HWSD), the Ocean Data Evaluation
°vstem (ODES), the Resource Conservation and Recovery Information System (RCRIS), the AREAL-RTP Acid Rain
item (SAD), the Compliance Data System (CDS), and the Spill Notification and Response System (SNARS). The
^ ..nel did not consider EPA systems already appraised by NARA. *
APRIL 1992 INFOACCESS
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SCHEDULING
ELECTRONIC
RECORDS
by Lisa Jenkins, Information
Management Staff, Office
of Solid Waste and
Emergency Response
(OSWER), and
Bette Drury, (contractor),
OSWER Records
Management Project
As in most Federal
agencies, the EPA works in an
electronic environment and,
subsequently, produces a variety
of electronic records. An
electronic record is information
which is stored in a machine
readable (magnetic or optical)
medium. This includes data and
its related application software.
The identification and handling
of electronic records is regulated
under the same general statutes
covering all Federal records.
Many types of electronic records are addressed in the National Archives and
Records Administration's (NARA's) General Records Schedules (GRS) 20 and
23. However, there are some important electronic data tiles and systems that
support agency missions that are not covered under GRS 20 and 23 and warrant
individual scheduling. Establishing records retention schedules is critical to the
management of all records and, for electronic records, must be done when the
related systems are in development.
As with any record, the scheduling of these systems is done through the
submission to NARA of a Standard Form 115, Request for Records Disposition
Authority. The submission of this form and the standard schedule format is
coordinated through the National Records Management Program (NRMP) at EPA
Headquarters. In scheduling electronic records some special elements must be
identified for NARA appraisal. These are:
~ Name of the system and commonly used acronym.
~ System control number or ADP plan control number.
~ Agency program or mission supported by the system, its purpose,
and the legal requirements met by it.
~ Data input, sources, and input systems.
~ Major outputs, both paper and electronic.
~ Information content including main subject matter, date coverage,
time span, geographic coverage, update cycle, and whether the
system contains microdata or summary data.
~ Hardware/software environment and information concerning the
number of tracks and tape density, character code (ASCII or
EBCDIC), type of internal labels (ANSI or IBM standard), dataset
names, and record length and block size for records stored off line
on tape.
~ System documentation including codebooks, file layouts,
and users manuals.
In collecting information for scheduling, either the NARA Information System
Description Form, NA 14028, or a specially prepared electronic record inventory
form identifying and explaining the information required may be used. The
electronic record inventory form is helpful for the records manager conducting the
inventory who may be less familiar with computer technologies and terminology.
It also becomes a tool for educating program contacts in charge of the
development of electronic systems on the importance of scheduling electronic
records in a comprehensive fashion. The inventory form will illustrate the need to
tie the systems life cycle with the records life cycle and the important
requirements necessary for "archiving" the data as opposed to "archiving" the
system.
There are several very important documents that the records manager should
read prior to tackling any project for scheduling electronic records:
Continued on page 13
INFOACCESS
APRIL 1992
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Scheduling from page 12
Managing Electronic Records,
National Archives and Records
Administration, Office of Records
Administration, 1990.
Information packet on transferring
electronic records to the National
Archives, prepared by the Archival
Services Branch, Center for
Electronic Records, National Archives
and Records Administration, 1991
Federal Record Management:
Laws and Regulations, National
Archives and Records Administration,
Office of Records Administration,
1991.
"Documentation and Preservation
of Electronic Records," Records
Management Manual, U.S.
Environmental Protection Agency,
Office of Information Resources
Management, 1986.
It would also be of value to read
/ of the various Agency
jblications on systems life cycle
guidance:
Guidance for Developing
Information Processing System, U.S.
Environmental Protection Agency,
Office of Information Resources
Management, 1991.
OSWER Directive, 9028.00,
OSWER's System Life Cycle
Management Guidance, U.S.
Environmental Protection Agency,
Office of Solid Waste and Emergency
Response, 1990.
Copies of the first five publications
and samples of electronic records
schedules can be obtained by
contacting Gloris Butler of the
National Records Management
Program (NRMP) at FTS 260-3639.
OSWER's guidance may be obtained
by contacting the Information
^nagement Branch of OSWER at
i 260-6760. &
APRIL 1992 M&m INFO ACCESS
Proposed Changes to NDPD's
Policy and Procedure on
Electronic Records Management
by Deborah Singer-Redner, NDPD Records Officer
and Sandy York (contractor). Program Director
for Records Management
The National Data Processing Division (NDPD) has proposed
changes to its procedure for handling electronic records in response to
new regulations published in the Federal Register in May of 1990. The
intent of the new regulations was to relieve Federal agencies of long-
term storage and to transfer the responsibility to the National Archives
and Records Administration (NARA).
NDPD's new procedures establish a one year retention for archived
data sets, unless the office responsible for the records requests a longer
retention period. The maximum period for NDPD retention is now three
and one-half years instead of seven.
The new procedures are grounded in NDPD's Operational Policy
No. 200.02 which requires NDPD customers to inventory and schedule
all of their records to ensure that the Agency saves its important data
and deletes disposable data when no longer needed. Customers are
urged to schedule (determine the disposition of) their data as soon as
possible. Once data are scheduled, NDPD can plan the correct
procedures and sequence for archiving the data when they are no longer
needed for active use, storing the data for the appropriate length of time,
and then transferring the data to the National Archives or degaussing the
tape files as appropriate. Programs that are interested in beginning the
scheduling process can contact the National Records Management
Program for assistance.
In addition, NDPD's new policy states that the customer is
responsible for ensuring that data on archived tapes is not lost due to
changing technology. Assistance is available from NDPD's Customer
Support to convert data to a readable format for new technologies.
For complete information, see NDPD's Operational Policies Manual,
Sections #200.01 and 200.02:
Section 200.01. "Archiving Tapes and Data Sets," establishes
procedures and goals for archiving tapes at the National Computer
Center (NCC). This policy prescribes a secure and environmentally
correct archival facility for storage of data tapes as well as procedures
for transfer and maintenance of the tapes.
Section 200.02. "NDPD Records Management," provides policy and
procedures for management, maintenance, and disposition of magnetic
media to ensure that EPA meets all NARA requirements. &
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Ninth Annual Forum on Federal Information Policies: I
The Future of Government Information - Money, Management
and Technology
The forum was sponsored by FUCC, the Federal Library and Information Center Committee, a group established in 1965 to
provide leadership and assistance to the nation's federal libraries and information centers. FUCC focuses on policy issues,
education and other cooperative endeavors.
The forum focused on three key variables in
government information policy and practice: money,
management and technology. Speakers and panelists
addressed various issues relating to government
information, placing special emphasis on questions
relating to the dissemination of government information
in electronic format. Several information-related case
studies also explored these issues.
The speakers participating in the forum included
Charles Rose, (D-NC), the chair of the Joint Committee
on Printing; Michell Kapor, President of the Electronic
Frontier Foundation; and James Billington, Librarian of
Congress. In addition there were panel discussions
focused on current policy issues relating to government
information, case studies on problems, priorities and
challenges, and the changing information infostructure.
Panelists represented the Federal, State, Non-Profit,
Academic, and Coporate organizations.
Money
The presentations and discussions provided more
questions than answers for the participants. On the
subject of money, the following questions were posed:
Who should pay for information?
Should government information be sold to
generate revenue?
Is all Federal government information the same?
In discussing the last question, one speaker cited Thelma
Freides, who made a distinction between obligatory
information (that which is required by statute) and
optional information (that which is related to the mission
of the Agency that produced it), and suggested that
differential pricing might be the answer. ["The federal
information controversy from an economic perspective,"
College and Research Libraries, September 1986, p. 425-437]
Management
A significant amount of time was also spent
discussing issues relating to the management of
information. Speakers talked about the importance of
developing a broad-based access constituency, the
importance of selecting appropriate technologies for
information dissemination, and the idea of copyrighting
State and Federal government information.
Technology
Speakers also presented information and discussions
based on a variety of technology issues: compatibility,
cost, transience, and several other variables. In his talk
about his "Vision of the Future," Mitchell Kapor asked,
"why is software so hard?" In other words, why is
something that is supposed to increase work efficiency
so difficult to use. In his session on the role of the
nformation professional, Thomas Galvin addressed this
question by suggesting that information professionals
will have to redefine their role with their clients to help
them identify the tools to improve effective access to the
information. The information professional will have to
make his or her unit indispensable to the organization,
and evolve into an "intellectual intermediary."
Another Important Element - Marketing
While it was not featured as a primary topic of
discussion each of the speakers mentioned the marketing
of information products and services. They used phrases
like "one-stop shopping" for information consumers,
building software systems with interchangeable parts
(moving from the industrial revolution to the
information revolution), diversifying the product line
and raising consumer awareness. They discussed
information consumers and the need to understand
market segmentation, international markets, converting
users needs into products, and marketing dynamics.
Summary
The forum concluded with a wrap-up by Dr. Thomas
Galvin, a Professor at the State University of New York
at Albany. He summarized the presentations and
dicussions into the four topics listed above. It is apparent
there are no clear answers to the questions posed at the
forum, and that discussion of the topics covered will
continue for some years to come. & Mary Hoffman
(contractor), Network Coordinator
INFOACCESS
14
APRIL 1992
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