United States
Environmental Protection
Agency
Information Resources
Management
(PM-211D)
EPA 220-N-92-00
Issue Number 22
October 1992
vvEPA INFO ACCESS
Records Network Communications
In this Issue...
Better Files
p.l -3
File Stations
p. 4-5
Developing File Plans
p. 6
HQ Update
p. 7
Records Training
p. 8
Around the Network
p. 10-11
Notice of Intent to
Destroy Records
p. 12
Better Files in 6 Months -
Guaranteed!! by Michael L. Miller, IMSD
The National Records Management
Program (NRMP) is frequently asked to
assist in creating file plans or improving
filing practices. Since we canl visit all
offices that need help, we have
developed a self-improvement plan for
managing files. Beginning with this issue
of INFOACCESS we will present the
NRMP's 6-step approach to better files.
Each issue will feature step-by-step
instructions that program staff can
complete during the following two
months. While the entire process will
take a year, you will see considerable
improvement in 6 months.
Should your unit undertake
the self-improvement project?
Probably yes. Most Agency offices need
to improve their files management. The
only question is one of scale. The
approach presented here works best for
programs that are between 25 and 75
persons. The more homogeneous the
program functions, the larger the unit
can be and still get effective results. To
begin the process, the unit head should
select a small project team. The team
should include representatives from all
sub units and job series, not just support
and clerical. In addition, the unit head
must actively support the project and
allow the project team time to do the
work required.
Continued on page 2
12 Months to
Effective Files
Here is the 6-step program to effective
files. One step will be covered in this and
each of the next five issues.
Step 1: Determine what records are most
important to your program, who should be
responsible for them, and where they
should be located (Months 1 & 2).
Step 2: Conduct a records inventory of all
the unit's records and match the records
to the records disposition schedule
(Months 3 &4).
Step 3: Develop a file plan and filing
procedures for corporate records series
(Months 5 & 6).
Step 4: Develop recordkeeping
requirements for corporate records series
(Months 7 & 8).
Step 5: Improve files management via
technology, indexing, and specialized
equipment (months 9 & 10).
Step 6: Produce a records management
manual (Months 11 & 12). •
Don't forget to review this month's insert
Printed on Recycled Paper
-------
Better Files from page 1
Step 1: Understand the Scope of the
Problem
The keys to good filing practices are filing only what
you need to file, filing it in a way that facilitates access
and disposition, and doing it consistently. To do this you
first must analyze your program's records management
needs by determining what records are most important to
your program, who should be responsible for them, and
where they should be located. To start the process take
some time in your regularly scheduled unit meetings to
discuss the four questions posed below. The unit head
(division director, branch chief or section head) should
lead the discussion.
Question 1: What kinds of records does the
unit create?
Brainstorm about the types of records created in your
program. Examples might include permit files, project
files, reports, publications, time cards, personnel files,
contract files, and so on. Develop a list and group similar
types of records, such as multiple correspondence or
subject files, together into series (See the box on this
page). The series is the basic unit for organizing and
controlling your files.
Question 2: Which of these records series are
important to your program?
Look at each type of record and decide why it is
created and maintained. Your program may be required
to create and maintain records for a number of valid
reasons including program administration, management
reporting, statute, federal regulation, Agency policy or
procedures. There are less valid reasons too, such as
reference and personal convenience. Frequently the only
justifications for maintaining files are personal ones such
as "I need the records for reference," "Joe wanted me to
keep a copy," "somebody may ask for it," and "I don't
trust anyone else to keep it."
Series are those file units or documents kept
together because they relate to a particular subject
or function, result from the same activity, document a
specific type of transaction, take a particular physical
form, or have some other relationship arising out of
their creation, receipt, maintenance, or use. The
series concept is a flexible one, and programs should
be careful to create series by organizing their
documents in ways that facilitate management of
the records throughout their life cycle. *
What is a Records Series?
If you are honest, you will probably find that many of
the series on the list for your office are working files (See
the insert included with this issue), files maintained
simply for convenience, or reference materials. Put those
aside for now, and concentrate your attention on the
files that directly support the Agency mission or
administration. These are your "corporate" records,
without which your program could not function. They
are the ones you need to control. Identifying the list of
corporate records is the most important and the most
difficult step in the files improvement process. Once that
is completed the next two questions are easy.
Question 3: Who will be responsible for each
of the records series?
This person, usually called the file custodian, may be
a secretary or administrative officer, or a technical
specialist, or the unit head. Generally there should be
only one custodian per series (obviously each staff
person is responsible for his or her own working files).
Continued on page 3
I
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 comments and suggestions to: Mary Hoffman (contractor), Network
Coordinator, PM211B, 401 M Street, SW, Washington, DC 20460. Telephone: (202) 260-7762. ,
Electronic Mail: Hoffman.Mary. "
INFOACCESS
2
OCTOBER 1992
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Sample Matrix for Corporate Files
File Name
Custodian
Location
Contract Files
Paul Goodman
Administrative Officer
Division File
Cabinet
Room 226
Permit Flies
Pam Butter
File Clerk
File Room
Room 231
Correspondence
Files
Cindy Ctaik
Division Secretary
Cindy's Desk
Room 226
Ann Arbor Study
Tim Haas
Project Manager
Urn's Desk
Room 229A
Better Files from page 2
Question 4: Where will each series be located?
The location, called the file station, is discussed in more detail on page 6.
Take this information and develop a matrix (See the sample at the top of this
*age) that lists all of your corporate records series, the person responsible
and the file station.
To cover all of the items above will probably take more than one meeting,
which is why we're allowing two months for this first step. Once the four
questions are answered, you will have a theoretical framewoik for
understanding and controlling your files. In Step 2, the records inventory,
you will match this construct to reality. *
Should You Contract Out
the Development of Your File Plan?
Contractors can assist programs in developing file plans, but no
amount of contractor support can eliminate the need for staff involvement
in the process. The most critical step in developing a filing system is
determining the system requirements by analyzing how and why the files
are created, how and why they are accessed, what needs to be induded in
the files, and how long files need to be retained and why. These are
Agency decisions based on Agency kno wledge and needs. Once these
questions are answered, a contractor can take those answers and create a
filing system to meet those requirements* Bottom line-contract out if you
want, but realize that developing a workable file plan will still require
lots of staff time and involvement. ~
Tip Of
the Hat
INFOACCESS likes to recognize
records and information management
staff for excellent work in the field of
records management.
Welcome to new records staff
around the networkl
~ Joseph Clore, Information
Services Section, Region 2, New
York
4 Cheryl Brown (contractor),
Records Center, Region 4, Atlanta
4 Mark Bedford (contractor),
RCRA Records Center, Region 5,
Chicago
4 Gail Brookhart and Susan
Grause, at the Risk Reduction
Engineering Laboratory (RREL),
Cincinnati
4 Carol Haynes,
Environmental Criteria and
Assessment Office (ECAO),
Cincinnati
4 Margaret Anderson
(contractor), Superfund Records
Center, Region 6, Dallas
4 Katheryn Maddox, Office
of Cooperative Environmental
Management, HQ
4 Dwayne Adlett, Program
Systems Division, Office of
Information Resources Management,
HQ
There are also three new records
contacts In the Office of Prevention,
Pesticides and Toxic Substances at
Headquarters: Robert Zlsa, Office of
Compliance Monitoring; John
Cartey, Office of Pesticide Programs;
Continued on page 9
OCTOBER 1992
3
INFOACCESS
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File Stations
by Joe Moeltner (contractor) Headquarters Records Support
G?
The integrity of the Agency's official files must
be insured at all times, so that all official records
relating to the operations of the Agency are
captured in the official files. In most Federal
agencies, as at EPA, files are dispersed among
various offices, and each office file generally
contains only a portion of the documentation on
any given subject. As a result, Agency officials and
records managers have had to develop ways to
assemble complete information when records
are incomplete, fragmented or found in different
locations.
Fragmented Documentation and
Files Overgrowth
Fragmented documentation and files
overgrowth are interrelated problems that bedevil
most modern offices. These all-too-common
problems arise partly from the fact that many offices
have the same functions and, therefore, interest in
the same records. As a result, offices either maintain
duplicate copies of the same records (overgrowth),
or jealously guard their piece of the documentation
pie (fragmentation), or both. Inefficient searching
and inaccurate recordkeeping are the usual results.
These twin problems underscore the need for
accurate and orderly filekeeping practices and
procedures, and highlight the need for an effective
information retrieval system. Such a system makes
it easier for the Agency to access the records
it needs efficiently and to fulfill the legal requirement
to document its activities. Such a system does not
develop naturally however; it must be carefully
planned. A central component of such a system is
the file station network.
What is a File Station?
A file station is any location in an organization
where records are maintained for current use. File
stations may vary in size, number and level of
offices served, physical form of their contents, and
formality of their authorization (designation). It may
be a file room, a records center or a set of filing
cabinets in the hall.
Federal agencies, as specified by 36 CFR
1224.2 (a)(2), should establish official file locations
(file stations) for the filing of official records. A file
station is every separate location at which official
Agency records of any kind are accumulated in an
organized manner.
88
Objectives of A File Station Plan
A well-developed, coordinated and organized
Agency file station plan should result in:
~ Better documentation of program activities.
~ Greater knowledge of how and where to
locate information.
~ Quicker retrieval of complete records.
~ More efficient use of personnel, space
and equipment.
~ Fuller compliance with legal authorities
(Federal Records Act and Privacy Act).
Continued on page!
INFOACCESS
4
OCTOBER 1992
-------
Stations from page 4
Benefits of Designating Official File Stations
Some of the more practical benefits of an
Agency's design of an official file station are that it:
~ Prevents mushrooming of files in
other locations.
~ Helps prevent unnecessary duplication.
~ Ends confusion as to the location
of documents.
~ Contributes to the completion of files.
~ Aids in the disposition of records.
Where Should Your Files Be Located?
There are some key variables that should be
considered when determining where files should
be located. Records should be located reasonably
close to regular users of those particular files.
Records located in the same room, an adjacent
room, or in the general vicinity of the majority of
users will normally provide convenient access.
Users located in separate buildings or at a
considerable distance from the established file will
invariably maintain duplicate files.
All too often convenience and the benefit of
operating one's own files are used to justify placing
files directly at the user's door. More important
factors, however, should include:
Analyzing the information gathered during a file
station survey will lead to preliminary planning of the
most effective placement of the records.
An Ideal Information System
A file station network is a structure of file
stations that are linked by such devices as a central
reference sen/ice and a file station directory. It is a
system that elimiates unnecessary duplication,
speeds information retrieval and ensures proper
documentation of agency functions.
Additional information can be found in:
Files Stations, National Archives and Records
Service, 1980.
EPA Records Management Manual, Chapter 7,
U.S. Environmental Protection Agency, Office of
Information Resources Management, 1984.
Updated in 1986 and 1987.
EPA Model Regional Records Management
Manual, Chapter II, U.S. Environmental Protection
Agency, Information Management and Services
Division, 1991. *
Usage - Who will use the records, how
frequently, and for what purpose? Those who use
files for official actions are to be favored over others
who have a need for the same records for
informational purposes.
Security - The need for restricted access
may lead to placing sensitive or restricted files apart
from others, in an area where they can be best
protected. Valuable records may also require
special placement to protect them from fire, water,
vandalism, theft, and rodent and insect damage.
Time - Frequent use for "immediate"
retrieval prohibits combining of files. They must be
placed to allow retrieval in the shortest possible time
even if duplicate stations result.
OCTOBER 1992
INFOACCESS
-------
Pointers For Developing File Plans
by Lisa Jenkins and Bette Drury (contractor),
Office of Solid Waste and Emergency Response
1
The following was developed to assist records
managers in the Office of Solid Waste and
Emergency Response.
~ Keep any file structure simple. Keep
numbering schemes to four or five digits
and use mnemonic devices to help the user
identify the files.
~ Let case files structure themselves. Do not
assign filing codes to records that can be
naturally ordered alphabetically by name or
numerically by number.
~ When organizing your files, structurally
separate non-record, technical reference
material, and personal papers from your
record material.
~ It is best not to create elaborate structures
for your technical reference material. This
material is best organized according to the
nature of the material.
~ Organize your files so that Administrative
files [e.g. Correspondence, Personnel, FOIA
Requests records] are structurally separate
from Program files [e.g. standards & guide-
lines, policy documents, work assignments].
~ Filing structures should reflect the Record
Series produced by your office. In other
words, each major component of your
structure should represent each record
series generated by your office. These
records series should correspond to the
EPA Agency Schedules.
~ Filing structures should only group records
series when these three conditions exist:
1) The series are so interrelated that it would
be advantageous to link them together
[e.g. Systems files - requirements
analysis, development and documentation
records].
2) The series have the same retention value.
3) The series serve a similar program function
and have a short retention value of 5 years
or less [e.g. office management records].
Reserve any structural coding for the
organization of the file contents for each
record series. For example, for the Records
Series, Regulations, Standards, and
Guidelines, you could file within this structure:
Primary Organization - files for each individual
regulation to be filed alphabetically by the name
of the regulation.
Secondary Organization - documents for each
regulation to be filed within major breaks such
as general correspondence, survey or studies,
drafts & comments, etc.
Tertiary Organization - individual documents
within each major break to be filed in reverse
chronological order.
Don't just create a structure; create a filing
system addressing overall management of
all your records throughout their life cycle.
Filing systems should be explained in a filing
manual which includes these components:
/ File Structure in Outline Format.
/ File Structure with Content Notes
and Filing Guidance.
~ Document Preparation Guidance.
~ Folder Label Guidance.
/ Special Records Handling Guidance.
~ Circulation/Usage Guidance.
~ Records Closure and Disposition
Guidance.
~ Index. *
INFOACCESS
6
OCTOBER 1992
-------
nrnn
Headquarters Update
Records Management Council
The Headquarters Records Management Council met on August 19th and September 24th. On August 19th, the
principal agenda items were training sessions on "What is a Record" and "Preparing a Records Management Briefing."
Mike Miller, IMSD/IAB, was the principal presenter; Lisa Jenkins, OSWERi and Deborah Ross, OW, contributed
thoughts about their experiences briefing program staff. The Council members in attendance said they found the
training sessions useful, and suggested several topics for additional briefings.
On September 24th, the principal agenda items were training sessions on "Reoords management roles and
responsibilities," and "How to review and comment on records disposition schedules," conducted by Mike Miller. Harold
Webster, IMSD, led a discussion on improving procedures relating to the destruction of records. The next Council
meeting is scheduled for October 27,1992.
NARA Center for Electronic Records
Mike Miller met with staff from the Center for Electronic Records on September 1, to discuss EPA's proposals for
addressing a number of issues raised in the NARA evaluation including plans for:
~ Revising EPA policies on electronic records management,
~ Holding electronic records management training, and
~ Scheduling EPA's electronic records systems.
They also discussed projected records disposition schedules that will be sent to NARA for approval in calendar
1993. These include Agency-wide, Region-wide, and Headquarters-wide schedules, and program-specific schedules
for OSWER and OPPE. EPA will undertake to maintain a constant flow of transfers of electronic records to NARA. It
was agreed that EPA will have 5 transfers in process at all times. The first transfers will be TRI and WHDMS which are
currently under discussion. Mike Miller will arrange a meeting with the Office of Water to explore the transfer of
STORET, NEEDS and BIOS to NARA.
GAO Followup on Records Management at DOE
You may want to read Better Planning Needed to Correct Records Management Problems, a GAO report about the
status of the Department of Energy's response to a National Archives and Records Administration (NARA) evaluation.
It illustrates what happens when agencies do not take sufficient action in response to NARA recommendations. In
December 1988 NARA made over 30 specific recommendations regarding all phases of DOE's records management
operations. In 1992, the Senate Committee on Governmental Affairs asked GAO to investigate the status of DOE's
actions in response to the NARA evaluation, and GAO's findings are outlined in this report. Better Planning Needed to
Correct Records Management Problems [GAO/RCED-92-88J, May 1992, is available from the U.S. General Accounting
Office, P.O. Box 6015, Gaithersburg, MD 20877; orders may also be placed by calling (202) 275-6241.
~ Revised Records Disposition Schedules are being circulated for review. If you would like to review them,
check with your SIRMO.
~ IMSD distributed some information about changes In NARA regulations and copies of EPA's response to
the NARA Evaluation in September. If you did not receive this information and would like it, contact Joe Moeltner
(contractor), Headquarters Records Support at (202) 260-5272. #
In brief ...
OCTOBER 1992
INFOACCESS
-------
Records Management Training
for FY93
( At EPA... )
The National Records
Management Program (NRMP)
has scheduled several records
management training workshops
for Fiscal Year 1993:
November 18-19,1992
February 17-18,1993
April 28-29,1993
June 16-17,1993
The two-day training sessions
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 day-to-day
management and maintenance of
files.
The cost of the workshop is
$150.00 per two-day session,
and the location will be.
announced by NRMP and the
EPA Education Institute prior to
each session. The workshop
scheduled for November 18-19
will be held in the Mulr Room in
the EPA Education Center at
Waterside Mall. If you are
interested in attending, fill out
your SF-182 and forward it to
Debora Dorsey at PM-224.
If you would like to know
more about the workshops,
contact Harold Webster,
How to
Manage
Your
Records
Information Management and
Services Division, at (202) 260-
5912 or Debora Dorsey, EPA
Education Institute, at (202)
260-6678.
New Workshops Planned
NRMP is also planning a new
series of work shops on the
development and maintenance
of filing systems. The new
workshops are tentatively
scheduled to begin in March
1993. Watch future issues of
INFOACCESS and NRMP
mailings for more information
about new records management
workshops.
C
At NARA
D
The National Archives and
Records Administration (NARA)
schedule of Records
Administration training for FY93
is now available; it includes the
following courses:
Basic Courses
~ Introduction to Records
Management - a one-day course on
the basics of Federal records
management.
~ Files Improvement - a two-day
course on developing and using
filing systems for the proper
management of current Federal
records.
~ Records Disposition - a three-
day course that provides an
introduction to managing Federal
records no longer needed for current
Government business.
Advanced Courses
~ Scheduling Records - a two-day
course offering intensive training in
developing and updating agency
records schedules.
~ Managing Electronic Records •
a two-day course on managing
electronic, or machine-readable
records throughout their life cycle.
~ Managing Audiovisual Records -
a one-day course on managing
audiovisual records.
~ Managing Microform Records ¦
a one-day course on managing
microform records and micrographic
systems.
~ Automating Records
Management - a one-day course on
developing an automated records
management program.
~ Evaluating Records Management
- a one-day course on assessing the
effectiveness of a records
management program.
~ Promoting Records Management
- a one-day course on how to
publicize an agency records
management program.
Contact Joe Moeltner (contractor)
Records Support at (202) 260-
5272 [or on All-in-1 at Moeltner.
Joseph] for copies of NARA's
1993 training schedule. *
INFOACCESS
8
OCTOBER 1992
-------
-
Managing Electronic Records:
A New Delivery Order
The Information Management and Services
Division has a new delivery order (D.O.) titled
"Support for Analysis and Assessment of
Requirements for Managing Electronic Records and
the Adequacy of Existing Policies and Procedures."
The D.O. is under the Information Technology
Architectural Support (ITAS) contract and the
Delivery Order Project Officer (DOPO) is Mike
Miller, Agency Records Officer. The alternate
DOPO is Geoff Steele, Information Management
Branch, IMSD, and Deborah Singer-Redner of
National Data Processing Division (NDPD) will
serve as one technical reviewer.
The purpose of the D.O. is to review the federal
requirements for managing electronic records,
identify Agency needs in the area, and evaluate how
well current policies and procedures meet both sets
of requirements. The project will look at records
management, IRM, and NDPD policies from a
records management viewpoint and suggest a
framework for addressing the requirements by
revising Agency policies and procedures as needed.
IMSD would like to include program staff on the
project team. If you are interested in participating,
or would like someone on your staff to participate,
please email Mike Miller (MILLER.MICHAEL-OIRM)
and give him the person's name, address,
telephone number, and All-in-One address. He will
send a copy of the statement of work.
Please indicate whether you / they merely wish
to be kept informed of developments (in which case
IMSD will send copies of all final deliverables) or
would like to be involved in the development
Tip of the Hat from page 3
and George Bonlna, Office of Pollution Prevention & Toxics.
Lets Hear it for Region 7!
Pat Shirley (contractor) reports that the first records are now on the
shelves in the new Region 7 Records Center. Hope the rest of the
unpacking goes as planned!
Good work In OW Records!
Dave Hoadley, Office of Water (OW), received an on-the-spot award
for his work in evaluating OW materials in the Public Information
Reference Unit (PIRU) and identifying selected documents for transfer
into the new OW consolidated docket.
Farewell to PIRU!
The Public Information Reference Unit (PIRU) located in Room 2904
at Headquarters was closed effective September 30,1992. We salute all
the hard work that went into its successful closure. *
process (in which case IMSD will
send copies of all drafts for
comment plus final deliverables).
We hope a number of you will
be interested in participating in
this project. Electronic records
management is one records area
that arouses interest among
records managers and IRM staff,
which is one reason why IMSD is
sponsoring this study. Wide
participation by program staff will
ensure that the results are
realistic and useful. *
OCTOBER 1992
9
INFOACCESS
-------
NRMP
Around the Records Network
zfb&sictidn 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 (202) 260-7762.
Region 1 - Draft
Regional File Plan
Region 4 - Tools for
Training Regional Staff
Region 4 - Facilitating
Transfers to the FRC
Region 5 - Section File
Work Groups
Records staff are working with the Deputy Director of the Planning and
Management Division and staff to implement a draft file plan for their office
records. The office is being piloted for application of a draft regional file plan
for facilitative records, which was adapted fror i the 1985 EPA/OIRM File
System.
Doug Haire (contractor), and Lorrie Burroughs (contractor), Regional
Records Management Project, completed draft of two training manuals
emphasizing revisions in the Regional records program. The two manuals,
one designed for EPA managers and program staff, and the other designed
for EPA support staff, provide a general overview of program requirements
and each presentation is tailored to that particular program element. This
approach offers each division a familiarity with the general records
requirements for their area. Training is provided by division, branch, section,
and unit to increase program understanding of records management
principles.
Chris Decker (contractor), Regional Records Management Project, identified
1000 boxes that were held in Region 4's Records Holding Room and
created a color-coded system to facilitate the transfer of boxes to the
Federal Records Center. The color-coded system will speed the
disposition process by identifying what boxes are ready for shipment, what
boxes need further inventories, and what boxes are active or inactive.
Since the move to the new building in December of last year, the Water
Permits and Compliance sections in Region 5 have organized Section File
Work Groups. Each section work group is comprised of 2-3 professional
employees, the Water Division Records Liaison and the Regional Records
Officer. The purpose of the work group meetings is to discuss records
issues and problems. Since the work groups were formed six months ago,
communication between the two sections and management has improved.
Continued on page 11
INFOACCESS
10
OCTOBER 1992
-------
ArQymd fr^m page 10
Interested in,a Report! Clerks Network?
In addition to Bjwisional records work groups, it
is also important that records staff exchange ideas
Agencywide. As John Bernstein mentioned in his
"Guest Column" in the August issue of
INFOACCESS, he is interested in establishing an
Agency network of records clerks. If you are
interested, please contact him either by e-mail:
BernsteinJohn, or at (312) 886-7678.
Region 5 - Records Procedures Manual
Records staff completed the final draft of the
Region 5 Waste Management Records Center
Procedures Manual in August. The manual gives
detailed information on all tasks performed in the
Records Center and is maintained in paper and
electronic form for easy updating.
Region 6 - SF Records Center Procedures
Superfund Records Center staff are working on
draft procedures for managing OSWER directives,
cost documentation files, Federal facilities docket
files, NPL site docket files, enforcement consent
decrees and Record of Decision files.
Region 9 • Quality Assurance Procedures
Staff in the Region 9 Superfund Records Center
have developed a new database report feature that
enhances the quality assurance (QA) review of site
file indexing. The new feature gives indexers the
capability to quickly and easily generate a report
that lists, in numerical order, the range of
documents indexed during any particular time
frame, e.g. day or week. The staff can then check
each database record against the document itself,
verifying data entry for problems such as
misspellings, incorrect site I.D. numbers, etc. This
procedure will serve as the first step in the Records
Center's indexing quality assurance program.
Region 10 - New Records Center
During August and September, Hazardous
Waste Division records staff completed their move
into a new records center. Files which were
previously maintained in two separate areas were
integrated into a new filing system. Previous
delineation by geographic area and status (active/
NFA) was eliminated and ail site files were
integrated alphabetically. The new records center
includes Removal, Remedial, CERCLIS, and NFA
files; National Priorities List Docket files; Spill
Prevention and Countermeasure files; Technical
Assistance Team files; and all Federal Facilities
Site files. The new system will make the site files
more accessible to all records center staff and will
facilitate more efficient service to the client. *
Region 2 Reorganizes
Effective October 19,19%, the information
Systems Branch in Region 2 wilt include a
new section: the information Services
Section {tSS)« ISS wllibe responsible for
the Region 2 Library and records
management including the operation of a
consolidated RCRA/NPDES/Air Permit file
room. The chief of the new section is
Joseph Ciore. Joseph and Bob Messina,
Chief of the Information Systems Branch,
will be working closely with Mike Miler to
evaluate the current status of records
move into the new Region 2 building. *
OCTOBER 1992
INFOACCESS
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Procedures for processing scheduled records eligible
for destruction, in accordance with Agency Records
Control Schedules, are presently being revised to ensure
that the destruction notices have been reviewed by those
within the programs who can authorize destruction of
records.
MKjU&itors and uhem^aTDbraries 11
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Notice of Intent to Destroy 3340
Draft Revised Proced\^^f^
by Harold Webster, IMSD 2O2-606-O666
Form 13001 - Notice of Intent to Destroy
Records
Agency records stored in the Federal Records
Center (FRC) located in Suitland, Maryland
(approximately 6 miles from Waterside Mall)
become eligible for destruction in quarterly cycles
(January - April - July - October). When records
become eligible for destruction the FRC sends
National Archives (NA) Form 13001, Notice of
Intent to Destroy Records to the Headquarters
Records Officer. The NA 13001 includes the
following information: accession number,
disposal authority, type of records, date of
notification, and date of disposal.
The Current Process
Currently when a copy of Form 13001 is
received from the FRC, the Headquarters Records
Officer (HRO) retrieves a copy of the Standard
Form 135, Records Transmittal and Receipt, and
attaches a cover memo, Subject: Notice of Intent to
Destroy Records, listing all SF-135's for records
eligible for destruction. The cover memo with
copies of the SF-135's attached, is sent to the
program responsible for the records. It is
addressed to either the Division Director, Branch
Chief, or an individual authorized by the
program to receive records destruction notices.
The HRO then allows the program twenty (20)
working days to either concur in the destruction
or submit a written justification for extending
retention of the records. The written justification
must include a proposed new disposal date and
the specific need to maintain the records such as
audit, litigation, or cost recovery.
Under existing procedures, if the addressee
did not respond within twenty working days, the
HRO was allowed to assume that the records
were no longer needed and took the appropriate
actions to assure destruction. The problem is that
the possibility exists that the destruction notices
may not have reached, or been reviewed by the
person(s) responsible for the records.
Revising the Process
The draft revised procedures offer benefits to
both the program and the HRO. Under the
revised procedure the programs would sign and
return a form authorizing destruction of all, some,
or none of the records. The remaining question is
to whom the form should be sent and how follow
up should be conducted. The Headquarters
Records Management Council has recommended
that the HRO ask each program to designate
a person to coordinate responses. That
memorandum will be sent out this month and will
be discussed at the October 27 Council meeting.
Questions concerning the draft procedures can
be directed to Harold Webster at (202) 260-5912. *
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OCTOBER 1992
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