United States
Environmental Protection
Agency
Information Resources
Management
(PM-211D)
Issue Number 8
August 1991
svEPA INFO ACCESS
Records Network Communications
First Annual Records
Conference
The Information Management and
Services Division (IMSD) sponsored
a highly successful records manage-
ment conference in Denver, CO, on
June 25-27, in conjunction with a
meeting of the Information Resources
Management (IRM) Branch Chiefs.
This first Agencywide conference
brought together nearly 150 persons,
representing every Regional Office,
Research Triangle Park, Cincinnati,
and several other field and Headquar-
ters offices to discuss records
management issues in a common
forum.
The agenda was anchored by a
presentation by Alvin Pesachowitz,
Director of the Office of Information
Resources Management (OIRM), on
the role of records management in
IRM. The conference included reports
on the application of technology to
records management in the Agency,
the current status and future course of
records management, and legal
issues that impact the management of
records. Most encouraging were the
reports of major progress being made
in many of the Regions in' aelflr^sjing
records management issues,
inside and outside the SuperfunX nro
gram.
Limitations of space preclude the
printing of a complete transcript of The
conference in INFOACCESS. Addi-
tional sessions will be published in the
October issue. If you would like further
information on any of the sessions,
contact Gloris Butler at FTS 245-3639,
Mike Miller at FTS 382-5911, or Mary
Hoffman at FTS 475-7762. *
Conference Overview
and Opening Remarks
Excerpts from remarks by Alvin Pesachowitz, Director,
Office of Information Resources Management
Jack McGraw, Deputy Regional Administrator, Region 8, delivered opening
remarks to the attendees and welcomed them to Denver. He set the tone for
the conference by noting that the challenge for the 1990s is to make sense of the
information we have, and integrate technology such as micrographics and optical
imaging in support of records management efforts. In conclusion, he told the
group that with increasing requests from law firms and the public (Region 8 noted
a 200% increase in FOIA requests in 1991), and well-documented enforcement
cases that require effective records retrieval systems, the time for improved
records management procedures is now. Following is a summary of Alvin
Pesachowitz's keynote address.
As the Agency's work becomes much more complicated, and we deal with
environmental problems across media lines, there is a push for data integration.
This in turn puts more pressure on us all to facilitate access to Agency
information. The number of attendees at this conference confirms that there is
an Agencywide consensus about the importance of improving access to
Continued on page 2
Technology capableof helping us
access paper records will be
partlcularly.important over the next decade.
- Alvin Pesachowitz
A Records Management Program for the 90s,"
Proceedings of the Agencywide Records
Management Conference,
Denver, Colorado, June 25-27,1991

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Overview from page 1
We're going to have to be
responsive to the public
and stay on the leading edge of technology
to keep up with the volumes of paperwork
that we as an Agency generate.
- Jack McGraw
Synergy
The synergy between records
management and technology is fairly
self-evident. At the present time most
records are in paper, but inthe long run
many will be in electronic form. A recent
article in USA Today illustrated the
importance of efficient access to infor-
mation by noting that the average
executive spends 45 minutes each day
looking for information on his desk.
Records managers and technical spe-
cialists must get together to find ways
to store, retrieve, and archive informa-
tion.
Linkages must be forged and
strengthened between Headquarters
and Regional offices, between records
managers and program offices, and
most importantly, between OIRM and
records managers. In some places this
partnership is already being explored.
In Region 4IRM staff are working with
records managers to identify repeat
FOIA questions and possibly put this
information on disk for easier retrieval.
It is hoped that having this conference
in conjunction with a meeting of the
IRM Branch Chiefs will enhance this
dialogue.
RM managers and records
managers share a central view of how
to manage records. Both deal with the
storage and retrieval of information,
though currently they may come at the
question from opposite ends of the
organization. Paper and electronic
media will come closer together in the
coming years as issues such as floor
load capacity and storage space
prompt the implementation of
enhanced records management
procedures. It is generally thought that
if there are better ways to retrieve
data, more people will will have
confidence in established records
storage institutions such as the
Federal Records Centers.
Role of the Records Manager
The traditional role of the records
manager includes issuing guidance
on how to manage records, assisting
offices in the use of good records
management practices, and training
staff in records management tech-
niques such as filing. Most of us do not
create information but use information
to make decisions and take actions.
New records management roles will
incorporate more automated access
to information, and involve records
managers inthe development of com-
puterized systems.
What Can OIRM Do To Help?
The Office of Information
Resources Management (OIRM) is
here to help you. OIRM shares a
mutual responsibility with the AAships
and Regions. Through the National
Records Management Program
(NRMP), OIRM provides guidance on
best practices and makes
recommendations,but must rely on the
Regions to implement good records
management programs. This confer-
ence is one manifestation of OIRM's
role in supporting Regional records
managers, bringing them together to
discuss common issues and the share
ideas.
The NRMP effected significant
accomplishments during the last year,
including:
•	A records management contract.
•	Development of optical imaging
procedures.
•	Esablishment of a micrographics
contract.
Continued on page 3
• •:

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. Staff: Mary Hoffman, LAB AT-ANDERSON Incorporated
Please send your comments and suggestions to: Mary Hoffman, Network Coordinator, EPA Head-
quarters Library, PM211B, 401 M Street, SW, Washington, DC 20460 FTS 475-7762 III EPA30360
INFOACCESS
AUGUST 1991

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r
Records Management Today and Tomorrow
Excerpts from remarks by Mike Miller, Manager,
National Records Management Program
This session is an overview of how
the National Records Management
Program (NRMP) wants to transform
the way the Agency looks at records
management. It will pose the following
questions: Are we asking the right
questions? Are we proposing the right
approaches? and Do we need to
incorporate new ideas? The number
of attendees at this conference and
the number of calls Mike Miller
receives (about 40-50 per month)
reflect the interest in records manage-
ment in the Agency today. The NRMP
staff does need feedback from Agency
records managers, and encourages
them to call, write or email their ques-
tions and comments.
NARA Evaluation
The team from the National
Archives and Records Administration
(NARA) visited about about 60 Head-
quarters offices, and every Regional
Office except Region 9. They focused
on Superfund, electronic, and contrac-
tor records in particular. The NARA
evalu ators asked the following qu es-
tions:
~	Has the Agency developed the
guidance necessary to do records
management?
~	Has it effectively communicated
the guidance to the staff for
implementation?
~	Has it implemented the guidance?
A rough draft report has been
developed with four basic findings and
36 recommendations for the Agency.
The evaluation report is fairly critical of
EPA's management of records, but it
is important to note, that progress has
been made since the evaluation was
completed. The recommendations
range from the specific, such as the
need for specific instructions on case-
file content by program, to the broad,
such as conduct a Region- or
Program-wide inventory. NARA also
questioned the Agency's reliance on
contractor support.
Once the Agency off icially receives
the report, probably in October, it must
determine who will take initiative on
the recommendations. Various groups
will have to take the lead on develop-
ing responses to the recommenda-
tions, including Agency managers,
NRMP, and Regional programs; in
some cases a joint response will be
needed. Regions may wish to set up
records management councils to look
at existing practices and make deci-
sions based on NARA's recommenda-
tions and the Agency's needs.
The Agency will distribute the draft
report to the programs forfactual con-
tent verification, and then return it to
NARA. NARA will deliver the final re-
port to the Assistant Administrator of
the Office of Administration and
Resources Management. The Agency
will then have 60 days to develop an
Overview from page 2
•	Draft guidance on program
management.
•	New records disposition schedules.
•	Improved communications
including sponsoring this conference
and developing a monthly bulletin.
OIRM Initiatives
01RM would also like to share
information about two new records
managment initiatives. In the first ini-
tiative, OIRM awarded funding for six
Superfund-related projects. In Regions
1 and 9 the funds will support projects
to develop options for Federal facility
files. Region 4's project involves the
handling of Confidential Business In-
formation (CBI). The Region 7 staff are
developing databases to automate
records disposition schedules, and
improve procedures for retiring records
action plan in response to NARA
recommendations. Copies of the
report will be sent to the Regions for
their input. An Agencywide response
will be developed, and then imple-
mented.
The results of the NARA evalua-
tion demonstrate that the Agency is in
the first phase of establishing a records
management program: getting
organized. It is issuing guidance and
opening up lines of communication
between its programs and records
officers. The next phase, implement-
ing the guidance at the program level,
will be more difficult than the first phase.
Where Do We Go From Here?
First we need to define the role of
those doing records management. We
need to develop a cadre of people
who can coordinate, plan, draft
Continued on page 4
to the Federal Records Center. There
are two Headquarters projects, one to
develop records definition guidance
and Regional Superfund records
schedules, and another to support the
development of Headquarters
Superfund records schedules.
In a second OIRM initiative, a draft
of the Regional records management
procedure guidance is ready for distri-
bution to IRM chiefs. Although the
guidance provides a blueprint for es-
tablishing and operating a Regional
records management program, it can
be used by other program managers
as well.
In conclusion, attendees were
encouraged to take advantage of the
opportunity to learn as much as
possible from the sessions, to network
with colleagues, and to enjoy the city
of Denver. *
AUGUST 1991	INFOACCESS

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RM Today from page 3
guidance, and provide training. We
also need people who will serve as
intermediaries for users and help
form a consensus about how records
management should be done through-
out the Agency, evaluate adequate
and proper documentation, investi-
gate what we need to know and what
we need to report on as an Agency,
and participate in the development of
information systems. These records
managers must possess and/or
develop technical backgrounds,
management skills, and communica-
tions skills. They will need to be linked
to one another by means of periodic
conferences, newsletters, and
electronic mail.
At the present time we are in a
"technology transfer cycle" in which
we share information and export it
from one program to another. We are
planning to effect a human resources
transformation in which we will develop
an improved human resources
structure to deal with the management
of records.
In addition we need to transform
the way we look at records manage-
ment. We are supporting the develop-
ment of Regional Records Centers
(five Regions currently have or are
implementing Regional Records
Centers) that can provide services and
assistance throughout the records life
cycle, including circulation, disposition,
and reference help. In addition we are
developing a Regional Records
Procedures Manual.
We need to develop a records
retention program to determine how
long we should keep records. Currently
we ask programs how long they want
to keep records, but in the future we
will work from the top down, asking
what we need to know about the
Agency, and what the Agency needs
to maintain to administer itself and
fulfill its mission. A part of the
documentation strategy will be to put
records dispositions schedules into
Thanks to Jack McGraw, Ginny Burns, Jackie Rivera, Sandy York, and all
the staff at Region 8 for their gracious hospitality during the Records
Management Conference. They helped make the conference a memo-
rable event.
Congratulations to the Region 9 staff for their successful professional
activities. Both Diane White, Director of the Superfund Records Center,
and Marilyn Ryall, Regional Records Officer, are active in the local
Association of Records Managers and Administrators (ARMA) chapter.
They arranged atourof the Superfund RecordsCenterforthe Government
Industry Action Committee (IAC). About a dozen members visited the
Center on May 22nd. Their tour focused on the use of barcoding and
document level indexing-. Marilyn is finishing a term as the director of the
local chapter's government IAC. Starting this summer she will serve on the
ARMA Board of the Golden Gate chapteras the Directorof Legislation and
Regulatory Affairs.
Mike Miller is appreciative of the hospitality he received from Lynn Calvin
and the Region 5 staff during a recent visit to Chicago. He was impressed
with the new Region 5 facility, a building which was designed with records
management needs in mind. &
A Tip of the Hat
automated form, and eventually make
them available through local area
networks.
Next we need to transform records
from isolated "information islands" to
an integrated web of information re-
sources that the entire Agency can
use. We need to effect cross-media
integration of records. Several of the
Regions are working on Regional file
plans that will make this possible.
Last we need to move from "after-
thefact" records management to"front-
end" management of electronic
records. Records managers should
participate in planning for information
systems and micrographics, assess-
ing how information will be stored and
used.
The Near Term
During the next few years, we will
focus on development of an
Agencywide records management
program. The Regions are ahead of
Headquarters in developing their pro-
grams, and Superfund is ahead of
everyone at the present time in terms
of staffing and facilities. We must
elaborate the records center concept,
and develop additional management
support for records management in
the individual programs. The following
is an list of some of our specific
objectives:
/ Conduct user surveys to see
what the programs need.
~	Conduct an inventory of our
records to find out what exists.
/ Revise and automate the
records schedules.
~	Develop recordkeeping
requirements.
~	Participate in systems planning
as required in the Code of Federal
Regulations and in OMB Circular
A-130: Management of Federal
Information Resources. &
INFOACCESS 1I1M AUGUST 1991

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Here's What You Thought ^
About the Conference....
The first Agencywide Records Management Conference was attended
byalmost150 individuals interested in records management, and their enthusi-
asm was reflected in the evaluation forms collected by Headquarters staff.
Evaluation forms were submitted by over half of the attendees, and based on
the rating system listed at the top of the form, they rated the conference as a
whole as excellent. This was especially gratifying to those who spent months
planning the conference, since the overwhelming response to the conference
complicated preparations as the conference date got closer.
What part of the conference was most informative?
There seemed to be a broad range of opinion about the most informative
session. The panels that discussed Using Technology to Manage Records and
Legal Issues, Contracts and Microfilm were mentioned most often. Others
noted the role of records management in IRM, the Regional reports, the
coverage of the SDMS and SCRIPS projects, visiting the Regional Office, the
group discussions, the session on effective presentations, and networking with
peers as most informative. One of the most encouraging sessions for the NRM P
staff was the one that included reports of progress in the Regions.
What could we do better the next time?
Although we all like to be told that we're great, the comments noted on this part
of the form will help us plan for a better conference next year. There was a great
deal of overlap in the comments on the second and third questions on the
evaluation form. The questions asked "what could have been better this time"
and "what could be improved for future meetings". As a group, you had four
major recommendations for the conference planners. First, several of you
commented that you would have liked more time for discussion and question-
and-answer sessions, and that you would like to have more opportunity to
participate. Second, there was a lot of room for improvement in the delivery of
the information, including the use of better audiovisual materials, handouts for
all sessions, etc. The third recommendation concerned facilities and other local
arrangements. You would have liked a larger room with better seating arrange-
ments. The fourth suggestion related to the conference sessions and structure
of the conference as a whole. You asked for more information targeted to
specific program areas (e.g. RCRA) and suggested topics of interest for future
sessions. Allot these issues will be addressed.
The NRMP staff and others who worked on the conference were pleased with
the enthusiastic response of the attendees. They never imagined that so many
individuals would attend the conference, and would like to thank all of those who
made suggestions about the conference. The staff compiled a list ol the
comments and analyzed them for this article. The suggestions and analysis will
be shared with those planning next year's conference. *
Mike Miller's
series,
"A Records Program
for the 90s" will return
in the October issue.
The topic of the article
will be Infrastructure:
the human, financial,
and physical resources^
^necessary to maintain
kan effective records,
program.
Conference Followup....
FAX and the FRC
One topic that was left
unresolved at the Denver meeting
was whether the Federal Records
Centers (FRCs) would acceptforms
such as OF-11s or SF-135s via
facsimile transmission (FAX).
Followup conversations with the
FRC's Field Operations Division in
Washington confirmed that the
decision to accept FAX copies, or
under what circumstances to
accept them, is left to the individual
FRC director. Field Operations
Division staff confirmed that some
FRCs (including the Washington
National Records Center) do
accept Fax copies, although the
FAX has to be followed up with an
original. Unfortunately, because
there is no national FRC policy on
FAX, Regions will have to contact
their local FRC about its policy. *
AUGUST 1991
$
INFOACCESS

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Implementing a Records Management Program
	Panel Moderator: Jack Sweeney, IRM Chief, Region 4
The Agency needs to build a good foundation for a records management program before it attempts to use new
technologies. It has not come to grips with the issue of electronic records, although some of the Regions have started
to think about policy and guidance. Very often non-records issues such as an impending move orf loor loading tend to result
in a focus on records management. The following excerpted remarks illustrate the current status of tour Regional records
management programs, and their plans for the future.
Region 1
Excerpts from remarks by Mike
MacDougall, Chief, Information
Management Branch
Records management efforts in
Region 1 were prompted by an
impending move to new Regional
Headquarters at Congress Street They
used the Superfund/RCRA record
center success lo launch an analysis
of records ce nte r opt ions fo r Air, Water,
Policy and Management Divisions, the
Regional Administrator's OH ice and
Office o( Regional Counsel. LABAT-
ANDERSON Incorporated (LAI) is the
supporting contractor (or ail library/
record center activity. American
Management Systems (AMS),
conducted a range of studies to review
needs and identify alternatives.
Initially Region 1 faced a collec-
tion of duplicate records that was
expanding, increasing demand for
better access lo records for FOIA and
enforcement uses, and inadequate
resources directed toward records
management. In the next phase we
constructed a set of wants, conducted
a reality check with Regional senior
staff, refined staff focus on what was
really needed, and then proceeded to
sell the resource providers and record
center customers on our plans. With
AMS assistance, we produced a
proposal for the new site.
AMS proposed the Implementa-
tion of standard Region-wide record
policies and the creation of centrally-
managed divisional level record
centers. It Included suggestions for
record center staffing, services
equipment, and procedures, and
identified the following key record
management requirements: reduc-
tion of EPA professional staff time for
work associated with records man-
agement increased security for sensi-
tive records, a minimum of record
duplication, and assurance that FOIA
esponsibilities would be met in a
streamlined manner.
The Region drafted the' Congress
Street Records Management Strategy
Plan, whose key components were
space, staff, equipment, and policy
standards to sustain and improve
technology infusion opportunities and
a three-phase record center evolutio n.
In summary, the strengths of the
approach taken included a structured
records cenier plan to set ihe course,
a ready organizational buy-in, a strat-
egy built on standards used elsewhere
in the Region, and a staff able to
customize record centers to special
customer needs. The Region 1 staff
learned thatthe impending move could
support the records management
effort, and that senior staff support
was critical in getting funding. Finding
stakeholders to serve as program
champions of the records centers'
activities was vital to the success of
the effort. *
Region 3
Excerpts from remarks by John
Krakowiak, Chief, Administrative
Management Branch
Records management has come
to theforefront inthe Agency and in the
Region. In 1988 Region 3 authorized
a full time records management posi-
tion in the Information Resources
Management (IRM) Branch, and in
1990 that function moved into the
Administration Management Branch.
The Region faced a problem with space
and wanted close coordination
between the records management staff
and the staff dealing with the manage-
ment of space. This move significantly
expanded the numberof Regional staff
dealing with records management.
The Administrative Management
Branch's client service representa-
tives assigned to provide information
to Regional stall, work in cooperation
with records management staff. The
Region has also established acadreof
20 file custodians in four locations, as
as liaisons with the records manage-
ment program. The custodians partici-
pate in quarterly meetings with She
records managers to discuss their
needs and to exchange ideas.
Many people have asked how the
Region achieved such a good NARA
evaluation. The key word was
perserverance. The file custodians
have raised the awareness a great
deal, and it helped that the Regional
Administrator and Division Directors
recognized the need for better records
management. The Region has cleanup
days about once a year throughout the
different divisions. It is a great team-
building approach, and it forces every-
one to think about records manage-
ment. The records staff strongly
emphasizes file transfer; there has
been an 80% Increase over the last 2
years in the amount of records
disposed.
Another way to raise awareness is
publicity. The Reg ion promotes records
using several methods, including a
video information system that is seen
throughout the Region, a Region 3
newsletter, scheduling records man-
agement on the agenda for division
retreats, and encouraging records staff
to attend branch or divisional staff
meetings.
Continued on page 7
INFO ACCESS ilfl AUGUST 1991

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Implementing from page 6
Another thing that has helped
tremendously is program record
centers. There are four program
records centers, one for the Water
Division, two lor Hazardous Waste,
one for the RCRA program, and a
brand new center for the Superfund
program. The records centers are
staffed by file clerks from a variety of
sources, including the Senior Environ-
mental Employee (SEE) program,
contractors, a junior fellowship pro-
gram and a student aide program.
The other thing that everyone has
been talking about is obtaining top
management interest and support.
Region 3's approach is piggybacking
records management on three high
priority programs: strategic planning,
pollution prevention/recycling, and total
quality management (TQM).
In summary, we need to have a
customer service approach to records
management. We have to find ways to
make it interesting. Listen to your
client. Ask them what they want. By
doing that and working togther the
Regions will have better records
management programs. *
Region 7
Excerpts from remarks by
Richard Sumpter,
Acting Section Chief,
Program Analysis Section
Most of the problems faced in the
Region are the same as in the other
Regions. The Program Analysis
Section has been asked to develop a
comprehensive records management
program that works as well as the
Superfund records management pro-
gram, an excellent program. Region
7, like Region 9, will effect an incre-
mental development of a records
management program. The Program
Analysis staff will turn the program
over to Carol Brakeall, Chief of the
Information Branch, in February 1992.
and they estimate that it could be
operational by 1994.
The Region has been driven by a
lack of space, as in other Regions.
They have added 34,000 square feet
of space in an adjacent building lor
staff, and plan to establish a central
records facility in the space vacated by
those staff. Another important concern
in the Region is how to sell records
management to the users, the
programs. Since 1967 the Region has
spent approximately $2.2 millon on
records management, mostly in
Superfund records management. The
Regional Administrator has been very
supportive of the Superfund records
effort, and has been successful in
collecting funds for that effort.
There has not been much imple-
mentation of existing file structures
because they are labor intensive to
implement, and those who have been
given the file plans are too busy to use
them. For that reason the information
management staff needs to develop a
good communications strategy. The
Region 7 staff would like to see some
analysison how other Regional records
programs are staffed, and what re-
sources they have.
The Region also needs to figure
out how to make records a priority.
They need to develop a responsive
information resources management
approach in which the managers in the
programs will be accountable when
appointing staff to maintain files. The
Agency needs a commitment from the
entire staff to make records manage-
ment work. The Agency staff want to
do the right'thing, but they need to be
educated on the importance of records
keeping, ft
Region 9
Excerpts from remarks by
Irvenla Waters, Chief,
Information Resources
Management (IRM) Branch
My remarks will summarize Region
9's efforts to assemble the tjuilding
blocks" mentioned by Mike Miller. I will
talk about the reorganization and
structure ol the program, its short and
long term goals, and our successes
and lessons learned.
Records management in Region
9 is in the IRM Branch. For several
years it was assigned to a technical
information specialist in the library,
and focused on simple records trans-
fer. [As an aside, there is a fully opera-
tional Superfund record center, and
my remarks relate only to the Region-
wide program.] The Region recruited a
records manager last year, started to
think about the program structure, and
developed some draft proposals. The
Branch is currently investigating ways
to further share responsibilities with
programofficesanddivisions. TheJRM
Branch will encourage each division
and office to designate a records man-
agement officer responsible for taking
the lead in implementing a records
program in h is/he r off ice, a nd a reco rds
liaison to work with the taskforce and
the Regional records management of-
ficer.
The Region has planned an incre-
mental implementation of its records
management program. The first phase
will be the establishment of a "bread
and butter" program - a program that
covers the basics. The second phase
will focus on educating the staff and
increasing awareness of and support
forthe records management program.
Phase three of the incremental plan is
implementation of a comprehensive
program thatfully integrates electronic
and paper records. As part of this
program we hope to develop a vital
records plan and disaster recovery
plan, and initiate a historical records
and archives program.
We have achieved some success
in records during the past year, and on
our way to this success we learned
that limited resources can be a barrier
to goals. As a result we were forced to
take an incremental approach that
was frustrating for the IRM staff and
for the clients. We are looking forward
to telling you more about our progress
at the next records management
conference, #
AUGUST 1991
7
INFOACCESS

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Records Management Program Reports
				;	;	/
A Region 1, Barbara Callahan
Region 1 established Superfund- and RCRA-based
records centers, and during the summer of 1991 added
four divisional records centers as part of a comprehensive
regional records management program. The six centers
are benefitting from shared resources, experience and
innovations. The records staff meets monthly to identify
locations of related records such as enforcement- and
Superfund-related records so they can be incorporated in
one place. They are charting records life cycles, standard-
izing operating procedures for the records centers,
creating a new file system for Regional Counsel and
centralizing Superfund Cost Recovery documentation.
Margo Palmer, the new Region 1 Records Officer, will
focus on evaluating new technology such as local area
networks, CD-ROM, imaging and indexing systems.
~	Region 4, Rebecca Kemp and Tom Love
Region 4's records management program has been
very active during the last three years, prompted by the
need to reduce the weight load on the floors. Regional
achievements include the establishment of a centralized
records room, installation of compact shelving, adoption of
a coordinated records management plan, regularly sched-
uled Regional training classes at the Regional Training
Institute, development and dissemination of procedures
for records center use, review of program records in all the
divisions, improved records disposition within the Region,
development of new file structures in six program areas,
and consensus on an overall concept of Regional records.
The Superfund Records Center has developed strict
procedures for the administrative record (AR) compilation,
which is compiled on a continuous basis using milestones
from the workplan, and updated quarterly. The staff is
working on a Regional Records Management plan to retire
Superfund records to the FRC. Disposition of pre-ROD
documents for 55 sites has been approved, and 20 sites
are targeted for completion by FY 92. They are planning to
develop AR training for Region 4 staff.
~	Region 4 • RTP, Stacy Blackman
Research Triangle Park (RTP) has had a records
management program for several years with centralized
storage for more than 2500 boxes and a computerized
index. They have established a monthly disposal process
in which they destroy records or send them to the Region
4 FRC. One of the challenges at RTP has been the need
to educate the EPA staff about the importance of records
management.
~ Region 5, Lynn Calvin
The Regional records staff is in the process of devel-
oping a model Regional file plan and office-specific file
plan, but implementation is a long-term goal. A Regional
inventory has been completed. They are developing better
access to the schedules through an internal INMAGIC tool,
and conducting records disposition training for Regional
staff. A Regional Records Management Workgroup has
been meeting for about a year. Beginning in October the
Region will be moving 1500 people plus files. The new
building will contain open shelving and about 1000 new
lateral file cabinets for work area storage. The records staff
are designing and planning 14 records centers in the new
building. Move-related clean-ups have resulted in about a
7% reduction in records to date, but some programs are at
99% capacity of their planned shelving, so more disposal
is needed. The Region will pursue an aggressive retire-
ment program until the move is completed.
Only through the careful use of
information technology
can we efficiently keep our ground,
integrate our program information,
and disseminate the knowledge
gained about our records.
- Barbara Callahan
A Region 6, Nancy Yarberry
The Region has two new floors and three new file
rooms, andthe volume of records is growing; Superfund is
having an impact on every division. Nancy provides
individual training and assistance for Regional staff as
needed. The Region sends approximately 40-60 linear
feet to the FRC every month. By the end of next year every
division in the Region should have an automated file and
barcode system (in dBase). Every file folder has a barcode,
and all EPA staff have a barcode on their ID cards for
tracking the location of files. The Region has discussed
converting the current system to the LAN but would need
a separate LAN system for records because of the size of
the records tracking system.
Continued on page 9
INFOACCESS
8
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Program Reports from page 8
A Region 7, Kathy Montalte and Jennifer Anderson
Region 7 has Superfund and RCRA Records
Centers, and is in the process of setting up a central
records center which will probably open in January or
February 1992. Initial planning was done by Dick Sumpter,
of the Policy and Integration Branch, and Carol Brakeall,
the Information Services Chief, will be visiting several
Regional Records Centers for ideas. They are looking
forward to sharing their accomplishments and news
about the new records center at next year's meeting.
Region 7 has centralized all records of the Waste
Management Branch in one room. The staff is developing
a dBase program to track administrative records and
technical reference documents. They have an IAG in
place to do all the conversion and micrographics. With
contractor assistance, they are preparing administrative
record compilations. Contractor staff also operate the
Superfund Records Center, which houses more than
90% of the program site files documents.
~	Region 8, Jackie Rivera
In the last eight months, the Region has developed a
step-by-step instruction on archiving and retrieving mate-
rial, and conducted basic training on a divisional level. A
network of Regional staff who are knowledgable about
the management of records is being developed. They
hope to set up a Quality Assurance team to address
issues such as central filing and the implementation of
new technology on a division and branch level.
~	Region 9, Marilyn Ryall and Holly Hadlock
Last year Region 9 recruited a records manager to
plan, develop and disseminate guidance, and form a
records management taskforce. The records staff is
about to reissue the records control schedule, and a
records management manual. The Region moved into
a new building in October 1990, and has a fully opera-
tional Superfund Records Center run by 12 full-time
librarians and 6 technicians. Site file indexing is a prima-
rily activity. Document-level indexing, is done using
ImageTracks software. The database can track FOIA
status, Confidential Business information and circulation
of files. Site accomplishments include the development of
a Regional statement of work for microfilming, outreach
to the Project Managers and On-Scene Coordinators,
development of a reference manual on Records Center
services and resources, and training forSuperfund project
managers. New Regional projects include the develop-
ment of a system to file cost recovery packages, the
collection of contract documents, and assisting non-EPA
government staff with the use of Superfund documents.
~	Region 10, Lynn Williams
Region 10 does not really have a Regional records
management program, but it is currently developing a
proposal to fund a Regional Records Manager position.
There are records centers operating in Superfund and the
Waste Management Branch which includes RCRA. Barcoding
is used forcirculation and inventory control to the folder level.
The Region moved to new space, consolidated all records
from the Hazardous Waste Division in one center, developed
a database to track guidance from Headquarters the Region,
and started microfilming. They hope to maintain site files on
microfilm in-house.
~	Headquarters, RCRA Docket, Kathy Bruneske
The RCRA Docket has space problems for a long time,
and have implemented many short term solutions, but none
of them have lasted. They are currently in the middle of a
microfilming project. The docket has a database system on
Revelation with document level indexing and Boolean logic
search capabilities.
~	Headquarter, TSCA/CBI, Juanlta Geer
OTS conducted "staff assist visits," and found that the
TSCA's Document Control Officers (DCOs) need instruction
in records management procedures and DCO functions. All
TSCA Confidential Business Information (CBI) records have
to be maintained by DCOs. OTS will offer a mandatory
certification course, including records management training
for all DCOs. Other TSCA projects include the OTS Image
Processing System project, amendment of TSCA contracts
with records management components to include a phrase
"contractors must adhere to EPA records management
directives," publication of a DCO network newsletter, and
organization of mini-records management training for Infor-
mation Management Division staff.
~	Headquarters - OSWER, Lisa Jenkins
OSWER has defined the system requirements for the
Superfund Document Management System (SDMS), and will
be testingthe hardware and software this summer, using high
volume records processing. They plan to pilot the system in
a Region and evaluate its use at a site, focusing on the
application software. OSWER plans to develop a thesaurus
for the system, and estimates it will take about 3-5 years until
the system is up and running.
Other OSWER initiatives include development of a records
disposition schedule program, issuance of draft guidance for
non-EPA organizations, evaluation of CBI and other sensitive
records, production of a video for records management
awareness training, and consultation with EPA's Personnel
Office to build career ladders and job series for records
managers. *
AUGUST 1991
9
INFOACCESS

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f National Records Management Program

Electronic Mail Reference Lists


Summer 1991

MAJ.RECORDS - Principal Records Contacts in the Regions

Margo Palmer, Region 1
m. palmer

Carol Equo, Region 2
c.equo

John Krakowiak, Region 3
j.krakowiak

Rebecca Kemp, Region 4
kemp.rebecca

Lynn Calvin, Region 5
l.calvin

Nancy Yarberry, Region 6
n.yarberry

Dick Sumpter, Region 7
ppas.chief

Jackie Rivera, Region 8
m.mccottry

Marilyn Ryall, Region 9
m. ryall

Barbara McAllister, Region 10
b.mcallister

Mike Miller, NRMP
miller.michael

Harold Webster, Headquarters
h.webster

Gloris Butler, NRMP
g.butler

Mary Hoffman, Network Coord.
m.hoffman

SF.RECORDS - Superfund Records Managers

Jack Frost, HQ/OSWER
j.frost

Lisa Jenkins, HQ/OSWER
jenkins.lisa

Pam Bruno, Region 1
p.bruno

Harold Key, Region 4
h.key

Tom Love, Region 4
t.love

Debbie Jourdan, Region 4
d.jourdan

Janet Pfundheller, Region 5
j.pfundheller

Barry Thierer, Region 7
b.thierer

Carole Macy, Region 8
c.macy

Tina Artemis, Region 8
a. vigil

Holly Hadlock, Region 9
h.hadlock

Lynn Williams, Region 10
1. Williams

LAB.RECORDS - Records Managers in EPA Laboratories

Neil Lackie, ERL, RI
lackie.neil

Martha Daniel, AEERL, NC
m.daniel

Nell Carras, AREAL, NC
areal/rtp

Martha Brady, ERL, GA
r.neesmith

Connie Shoemaker, ERL, FL
c.shoemaker

Robert Lincoln, OAR, AL
r.lincoln

Diana Irwin, EMSL, OH
j.puthoff

Kimberly Johnson, ERL, IL
j.stagner

Debra Talsma, MVEL, MI
oms/ams

Anna Runyan,ERL, OK
erl/ada

Barbara Queen, EMSL, NV
b.queen

Pamela Taylor, ERL, OR
pamela.taylor

Pat Krantz, CRL, MD
p.krantz

Information Management and Services Division, Office of Information Resources Management,
U.S. Environmental Protection Agency, 401 M Street, SW, Washington, DC 20460

^		

=JJ

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Office of Information Resources Management
Information Management and Services Division
Records Management Tools
Publications such as mandatory regulations, policy and standards form the basis of a
records management program. The titles listed on this page provide information that is
critical to the efficient management of Agency records. If you are Interested in obtaining
copies of any of the titles listed, please contact Gloris Butler at the National Records
Management Program Office at FTS 245-3639. NARA publications can also be ordered
directly from the Records Administration Information Center at FTS 501-6025,
Essential Tools
The following is a list of basic records management tools that every records manager
should have in his or her office.
	 Information Resources Management Pollc y Manual (2 J00),
U.S. Environmental Protection Agency, Office of Information
Resources Management, November 1987.
	 Records Management Manual (2160), U.S. Environmental Protection
Agency, Office of Information Resources Management, 1984.
Updates were produced in 1986 and 1988.
	 Records Disposition Schedules, U.S. Environmental Protection Agency,
Office of Information Resources Management.
	 Index to Records Disposition Schedules, U.S. Environmental Protection
Agency, Office of Information Resources Management, 1991.
	 General Records Schedules, National Archives and Records
Administration. 1988. Two updates have been issued.
	 Records Management Handbook: Disposition of Federal Records,
U.S. General Services Administration and National Archives and
Records Service, Office of Federal Records Centers, 1981.
	 OMB Circular A• 130: Management of Federal Information Resources,
Executive Office of the President, Office of Management and Budget,
1985. This circular establishes policy tor the management of Federal Information
resources. Procedural and analytic guidelines for Implementing specific aspects
of the policies are included as appendices.
May 1991

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Records Management Regulations: Final Rule, 36 CFR Part 1220
Including Micrographics: 36 CFRPart 1230. National Archives and
Records Administration, July 2, 1990.
Electronic Records Management: Final Rule, 36 CFR Part 1234.
National Archives and Records Administration, May 8,1990.
Vital Records During an Emergency, 36 CFR Part 1236, National
Archives and Records Administration, July 1, 1968.
Guidance for Developing Information Processing Systems, U.S.
Environmental Protection Agency, Office of Information Resources
Management, April 1991,
Safeguarding and Disposition of Official Records, EPA Notice 88-1.
U.S. Environmental Protection Agency, September 12.1988.
For the Record: Guidelines for Official Records and Personal Papers
National Archives and Records Administration, Office of Records
Administration, 1988.
Freedom of Information Act, U.S. Code 1975 Title 5 Section 552.
	 instructional Guide Series: Managing Electronic Records, National
Archives and Records Administration, Office of Records
Administration, 1990.
	 instructional Guide Series: Managing Cartographic and Architectural
Records, National Archives and Records Administration, Office of
Records Administration, 1990.
	 Instructional Guide Series: Managing Audiovisual Records,
National Archives and Records Adminstration, Office of Records
Administration, 1990.
		Use o1 Optical Disk Systems to Store Permanent Federal Records,
NARA Bulletin 88-8. National Archives and Records Administration,
September 19,1988,
NARA also offers other products including newsletters, posters, and training information.
For more information contact the Records Administration Information Center at RS 501-
6025 or your Regional NARA office.
Information Management and Seivices Division
U.S. Environmental Protection Agency
401 M Street, SW PM 21 ID
Washington, DC 20460

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Useful Tools
The following titles are recommended as additional sources of information for
records management staff.
Evaluating Files Maintenance and Records Disposition Programs,
National Archives and Records Administration, Office of Records
Management, 1988.
Evaluating a Vital Records Program: A NARA Self-Inspection Guide
~	for Federal Agencies, National Archives and Records Administration,! 983.
Case Filing. National Archives and Records Administration, Office of
Records Administration, 1983.*
Disposition of Federal Records. National Archives and Records
Administration, Office of Records Administration, 1981 .*
		File Stations. National Archives and Records Administration, Office
of Records Administration, 1980.*
_____ Files Equipment and Supplies. National Archives and Records
Administration, Office of Records Administration, 1981 .*
	 Files Operations. National Archives and Records Administration,
Office of Records Administration, 1981 .*
	 Subject Filing. National Archives and Records Administration,
Office of Records Administration, 1981 .*
	 Federal Archives and Records Centers. National Archives and
Records Administration, Office of Records Administration, 1979.
	 Electronic Recordkeeping: Information Resources Management
Handbook. U.S. General Services Administration, 1989.**
	 GAO Policy and Procedures Manual for Guidance of Federal
Agencies- Records Management. Transmittal Sheet No. 8-8.
U.S. General Accounting Office, February 1991
* These materials are available through the Federal Supply Service Office in your Region.
** GSA materials can be ordered directly from the U.S. General Services Administration,
Information Resources Management Service, Washington, DC 20405.
*** GAO materials can be ordered directly from the U.S. General Accounting Office,
Publications and Communications Center, Distribution Section, Room 4026,
441 G Street NW, Washington, DC 20648.

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Using Technology to Manage Records
Panel Moderator: Daiva Balkus, Director, IMSD
Image Processing Systems (IPS) Committee
Excerpts from remarks by Stephen Hutford, Chief, Information Management Branch, IMSD
Image processing is a new technology characterized by
great promise, continuous change and decreasing prices. It
offers tremendous possibilities to facilitate workflow in the
area of information management, and can be an important
tool for public access, but currently its potential is limited by
a lack of standards and consistency, asthere is with any new
technology. The IPS committee is striving to achieve a
balance and assist EPA staff in understanding the possibili-
ties and constraints of image processing.
The purpose of the IPS Committee is to advise the
Director of the Office of Information Resources Manage-
ment (OIRM), Al Pesachowitz, and the Administration Sys-
tems Council on proposals for systems using image pro-
cessing; promulgate policy and guidance; help Agency staff
meet systems life cycle development requirements; review,
approve and guide procurement and implementation of IPS
within the Agency; and keep abreast of technical develop-
ments in the field.
The membership of the committee is broadly based,
with representatives from OIRM, the National Data
Processing Division (RTP), several programs and several
Regions. Its goal is to advance the Agency's goal for
information management by implementing image process-
ing systems in a responsible and productive manner. Its
accomplishments to date include:
An IPS policy directive that describes the way
the Agency will approach image processing.
Guidance for developing image processing systems.
A brochure about IPS at EPA.
Fostering of coordination and communication relating to
IPS.
Sharing of information about related projects.
•» Coordinating shared equipment between programs
where appropriate.
•» Review and approval of several imaging projects.
In the future the committee plans to research and
communicate standards, share information about Agency
IPS development experiences, and guide the evolutionof the
existing Agency contract to meet changing Agency needs. &
CD-ROM - Air CHIEF
Excerpts from remarks by John Knight, Chief, RTP Library and Information
Centers, and Mark Toiton, Unisys Manager, RTP Information Centers
EPA is investigating CD-ROM as another medium for
the management of information. This medium is especially
effective for the wide distribution of large amounts of stable
data. An attractive feature of the technology is that it can be
used with PCs and inexpensive CD players.
The Air CHIEF project evolved because NDPD was
interested in developing a medium capable of handling a
large amount of data. The alternatives ranged from an in-
house CD-ROM system that would do everything from
premastering to pressing the disks, to a much more limited
system in which an outside vendor would produce the
master disk and copies. Air CHIEF combines databases,
document number AP-42, and a series of documents cov-
ering emissions. It is a amalgam of text and graphics that
links several types of data together to create a value-added
product.
The air toxics data was selected for the pilot, which was
a cooperative effort between the National Data Processing
Division (NDPD) and the Office of Air Quality Planning and
Standards (OAQPS). This database has a satisfactory amount
of data and appropriate distribution of approximately 2000+
copies annually.
John Knight and Mark Toiton offered the following practical
advice to anyone contemplating a similar project:
o» Spend an adequate amount of time on design.
Know your user - you may need several levels of
help if the user group is varied.
Hire an expert if you don't have the expertise in-house.
<=» Set enough money aside.
What does the future hold for CD-ROM technology?
Cheaper and faster CD players (and internal drive players),
standard indexing techniques allowing bettervendorcompe-
tition, better user interfaces, and software capable of inte-
grating text and graphics more effectively, will combine to
make CD-ROM an even more attractive distribution tool in
the future. *
Continued on page 11
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Technology from page 10
Electronic Forms and Signatures
Excerpts from remarks by Geoff Steele, Information Management Branch, IMSD
Today's forms environment is almost totally
manual, and as a result it is labor intensive and expen-
sive to manage. The costs associated with forms are
staggering. Approximately 1-3% of the Agency's total
budget is spent on forms.
There are about 712 Headquarters and Agency
forms, 25% of which are multi-part, and 8% which are
published in booklets with guidance on how to fill them
out. Roughly 70 new forms are added to the inventory
annually, and the Agency revises about 60 existing
forms each year. The functional management of forms
is spread across several offices, which use different
management systems for tracking, ordering, and de-
signing them.
Benefits of Automation
The Agency would like to develop a nationwide
electronic forms capability. Automation would benefit
the Agency by improving the speed and quality of forms
design, reducing time for modification of the format,
increasing the availability of forms for EPA staff, reduc-
ing storage costs, speeding up forms processing, and
improving data integrity and security.
One forms automation effort in the Agency is being led by
George Hesselbacher in the Administrative Systems Division.
(ASD). ASD is testing Office Forms Facilitator (OFF), a pilot to
automate five forms. Three of the forms are now available: the
travel authorization, travel voucher, and Procurement Request
forms. Several regions have installed OFF, and are supported
by ASD. IMSD has started EFIP- the Electronic Forms Imple-
mentation Program.
What is the future for electronic forms? An electronic forms
library will be established on the Agency mainframe, enabling
EPA staff to download forms them through the Agency's LAN/
WAN networks. The forms software supports use of electronic
authorization and electronic signatures. There is no current
Agency policy for maintaining forms containing electronic sig-
natures, but the Electronic Signatures Workgroup is working on
a draft policy on electronic signatures which is expected by
October or November. There is significant program participa-
tion on the workgroup, including OGC representation. Anyone
interested in more information about electronic forms should
contact Geoff Steele at FTS 382-5636. &
Records Management Automation Applications
Excerpts from remarks by Lynn Calvin, Region 5
The current status of records automation is frag-
mented, with many of the Regions and Headquarters
Offices developing small dBase and INMAGIC applica-
tions. Despite a few exceptions, more applications are
being developed with little or no information manage-
ment branch input. The types of applications can be
grouped in the following categories:
Physical control: This is a basic records management
application that indicates or tracks the location of docu-
ments/folders/boxes.
Document level Indexing: This type of application
involves more complex groups of data with varied
attributes. Most of these systems are used at specific
sites or for subsets of information, and are mostly
microcomputer-based.
Image based microfilm: This application connects
computer images with data stored in microform format.
Full-text: 40% of EPA's full-text information is created
in-house, and another 20-30% is created under the
Agency's control, so this type of application has tremen-
dous possibilities for the future.
Whatever the type of application, automation provides certain
advantages in controlling information, including authority
control, data integration, and data integrity standards.
What Should We Do Now?
The following is a list of next steps for Agency information
and records managers:
1.	Examine data quality standards within individual databases,
within programs and across programs.
2.	Establish authority control now to ease future conversions.
3.	Share and provide small applications to support records
management now, e. g. circulation, label-printing, etc.
4.	Explore the capture and linkage of ASCII versions and
maintaining links with paper documents.
5.	In application development, consider where the information
is already being entered/captured in other systems, to avoid
duplication of data and strengthen data integrity. This is part of
developing a mature records system. #
AUGUST 1991
11
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Legal Issues, Contracts and Microfilm
Panel Moderator: Jerri Hilden, NEIC
The Agency needs to find a technology that can accomodate the storage of large amounts of information, capable of
coordinating information from multiple sites, and compatible with systems used by EPA's enforcement partners, such as
the Department of Justice. The technology must provide support for Agency attorneys during the litigation process, and the
records must be complete and well organized for efficient enforcement actions. This session will cover some of the legal
considerations in handling records at EPA.
Using Contractor Support Outside
Superfund Excerpts from remarks by Linda
Garrison, IMSD
The current information services contract that
includes libraries, records, clearinghouses, and similar
functions was awarded to LAB AT-ANDERSON Incorpo-
rated (LAI) in 1989. The biggest growth within the oontract
has been in records management; it started with eight
records management delivery orders in 1989, all Superfund,
and increased to 22 delivery orders in the current fiscal
year.
There are several benefits of using the Agencywide
information services contract, including strong manage-
ment support that goes all the way to the Assistant
Administrator; support for an Agencywide information
network including libraries, records, and information
centers; and a contractor committed to EPA's mission.
Another benefit is Procurement and Contract Management
Division's (PCMD) conf idence in the contract management
provided by the Information Management and Services
Division. IMSD also provides and supports the contract
administration of LAI, it is a value-added sen/ice to the
Regions to help build a strong network.
IMSD and LAI have an effective partnership and we
would like to see that partnership expand. The EPA Delivery
Order Project Officers (DOPOs) have a responsibility to the
contractors to provide a clear, statement of work, good
technical direction, and and feedback on deliverables. The
DOPO is also responsible for monitoring costs and signing
off on invoices in a timely manner. The contractor's
responsibility to EPA is to provide the services stated in the
statement of work, and to provide deliverables of good
quality in a timely manner.
There are a number of situations in managing contracts
that should be avoided: Federal day-to-day supervision of
contract staff, the appearance of personal services, ratifi-
cation actions, engaging the DOPO in compensation
disputes, performing tasks not included in the statement of
work, and working beyond the period of performance
without authority. There are many things involved in having
an effective partnership, and IMSD appreciates the contin-
ued support of the DOPOs In good effective contract
administration, and the work of the contract staff. #
Contractor Support for FOIA
Excerpts from remarks by Rebecca Kemp,
Region 4
The Freedom of Information Act (FOIA) ties in closely
with records management. The Information Management
Branch in Region 4 inherited the FOIA function when the
Region decided to centralize the process; it is linked to the
other information-type activities in the Region. The Region
received over 3500 FOIAs last year, and expects 4500 this
year. Even though it is one of the smaller agencies, EPA is
fourthoverall in the number of FOIAs that are submitted. The
Regional rate of increase has been at about 20% per year
overall, and is expected to continue.
The Region decided to hire contractors to help manage
FOIA requests. They prepared and submitted a procurement
request, proposing the addition of one FTE and six contrac-
tors in the attached statement of work. Afterthey submitted
the paperwork, the Administrator issued a memo discussing
the legal activities of contractors at EPA, specifically
prohibiting or discouraging tasks such as the preparation of
responses to FOIA requests, handling of Confidential Busi-
ness Information (CBI), and any activities dealing with the
Privacy Act. This posed problems forthe Region's proposed
use of contractors.
The Branch staff reviewed a list of tasks with Agency's
lawyers to determine which of them could be done by
contractors. The three big issues that needed to be
addressed were the Privacy Act, CBI, and the personal use
of contractors. The staff revised the statement of work,
changing the wording in places, and adding key words such
as "redacted" and "nonjudgmental" in others. They attached
copies of the Privacy Act, CBI information and other perti-
nent items. The amended scope of work was approved. The
Branch eventually was able to hire two contractors for the
FOIA project.
The contract staff supporting the FOIA project assist
with a number of things including primary searches for
information, retrieval of approved and redacted files,
photocopying of information, obtaining signatures from EPA
staff, preparation of reports from the information in the
tracking system, preparation of assessments of the type of
requests, answering telephones, and maintaining logs of
FOIA requests. #
		Continued on page 13
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AUGUST 1991

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Legal Issues, Contracts and Microfilm continued from page 12
Microfilm and Optical Disk
Excerpts from remarks by Don Sadowsky, OGC
We are all drowning in a sea of paper and would like to
tind some alternative ways of organizing it. There are some
new and not so new technologies available, but the ques-
tion is "Will we have any problems in the acceptance of the
technology?" There are two types of general consider-
ations: will the documents or electronic records be admitted
into court, and what are the governmental, statutory, regu-
latory and administrative requirements regarding microfilm
and optical disk.
It all comes down to a simple question: "How well have
you maintained your electronic, microfiche, or optical disk
system?" When you try to get data admitted into court, there
are several barriers to admission, including hearsay, au-
thentication, and the "best evidence rule." The factors most
important to the court are the reliability and accuracy of the
information.
The records must also conform to administrative or
statutory regulations. NARA sets requirements for the
documentation of electronic record systems, for the identi-
fication of records and for security. The regulations state
that electronic reoords are admissable in Federal court if the
trustworthiness has been established. The storage of
electronic records has been recognized as being valid, but
there are several requirements. Input procedures must be
documented and defined very clearly. Accuracy and reliability
must be detailed. You must show that you rely on the
information in the course of normal business. Maintenance
of the system is important, since information on electronic
media is easy to change.
Optical disk is a special case of electronic storage, and
the problem is that we really do not have any experience
with the medium. People who speculate about it say that
they do not see that there will be any problem because the
courts accept other types of electronic storage. Extra care
should be taken to document the procedures and prove that
information was input correctly, identified correctly, and
checked for accuracy and reliability. The problems with the
acceptance of optical disk come from NARA, and their
concern is the lack of standards. For that reason they are
not yet willing to accept information on optical disk. They do
not permit an Agency to destroy any paper records unless
it has an accepted form of storage such as microfiche.
In summary, optical technology is untested in the
courts, but the problems are not insurmountable. As long as
the Agency does a good job of documenting, testing and
maintaining its systems, it will be able to introduce
electronic records in court with confidence. #
Microfilming Contracts
Excerpts from remarks by Geoff Steele, IMSD
i
The paper records currently kept are familiar, easy to |
manage, and cheap. The real question is whether or not j
paper is really cheap, considering the "hidden costs" includ- j
ing overhead, storage, maintenance and disposition, in- !
dexing, and general management control. Records manag- j
ers must consider the dilemmas of conversion such as
selection of an alternative medium, training and assistance,
and other costs. Coordination across programs is crucial
because program-specific conversions can create "islands
of information" which are incompatible and not useful to the
Agency. Coordination with other Federal agencies for en-
forcement or litigation support is also important.
Microfilm is one of the older technologies used for
records management. It is legal (accepted in court} and
archival, inexpensive and eye-readable, and widely used.
It provides an outstanding transition medium to other tech-
nologies, has established document integrity and security.
The only problem is that there is a time delay in distributing
information to the users. Optical disk technology is sexy and
new, but is not yet legal or archival. It is fairly expensive,
requires special equipment, and is not widely used because
of the cost. On the plus side, it offers superb document
integrity and security as well as quick access to and
distribution of information. Whatever the medium of choice,
the Agency is evolving toward an environment in which the
information must be integrated and a mega- index created
to make information available to the public and to the
program managers
The procurement of micrographics systems is governed
by current regulations, and the Information Management
and Services Division (IMSD) is responsible for reviewing
and approving requests for micrographics. There are a
number of options to consider when planning a conversion
from one system to another, Including local contractors,
other Federal agencies, Federal Record Centers (FRCs),
and EPA's National Data Processing Division (NDPD).
Programs are encouraged to call IMSD for assistance
before making a final decision.
MODCONS (micrographic and optical disk conversion
support) is a modification of the TOSS contract that will
provide a nationwide system of professional conversion
support services for documents, whether on optical disk,
microfiche, microfilm or other media. The most significant j
advantage to this service is that IMSD will provide j
Agencywide coordination. There win also be local service J
bureau support, with subcontractor agreements between !
CSC and local service bureaus. Contact IMSD for further !
information and assistance. *
AUGUST 1991
13
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Superfund Imaging Systems
Panel Moderator: Bob Messina, IRM Chief, Region 2
This part of the program is a discussion of two Superfund image processing systems. The Information Resources
Management (IRM) community is aware that records management is becoming more a part of its business. One of the
driving forces will be the use of imaging technology. The bright spot in Region 2, and in many of the Regions is the work
done in the Superfund records program. One example is the Superfund Cost Recovery Image Processing System
(SCR IPS) project, which putstogether Superfund cost recovery packages. It was installed in Region 2 beginning in February
1991, and is also in use in Region 4, Region 7, Cincinnati and the National Contract Payment Division (NCPD) at Research
Triangle Park. SCRIPS will probably point the way to future applications. Another current image processing project is the
Superfund Document Management System (SDMS), which is still underdevelopment. A lot of analysis has been done with
using imaging technology for Superfund site file information, and later this summer a decision will be made about the
technology to be used to manage it.
Superfund Cost Recovery
Image Processing System
(SCRIPS) Excerpts from
remarks by Jody Zeug ner, N D PD
The project started in 1986 when a
feasibility study was done to see if
something could be done to improve
the processing of documents. In 1987-
88 a preliminary pilot project was done
using equipment and software to prove
that imaging works, and that it was an
appropriate technology for the cost
recovery project. Then the staff went
forward with a procurement for image
processing systems. STARS, the
SCRIPS pilot system, was the founda-
tion, but the idea was to provide the
Agency with a general purpose image
processing platform. A procurement
was awarded to IBM in November
1989, and in 1990 SCRIPS application
development began with a few prelimi-
nary hardware installations. In the first
half of this year, it has been installed at
several sites.
Cost Recovery
The Superfund cost recovery
process is the means by which EPA
gets money from violators after clean-
ing up a site. EPA needs a great deal
of documentation to go to court to
recover the money; SCRIPS is one
way to improve the process.
Cost recovery is a records
management problem. The informa-
tion exists in 14 different servicing
finance offices in the Regions,
Research Triangle Park, EPA labo-
ratories, and Headquarters. There are
three million pages in 5000 files, each
associated with a particular Superfund
cleanup site. The paper documents
money spent on that site.
Most documents that go into a
cost recovery package (CRP) are
stored in the Region where the site is,
but a lot of documents pertaining to
that site are also filed at RTP, Head-
quarters, Cincinnati or Las Vegas. On
a rare occasion the Superfund staff
has to go to another Region to collect
documents.The manual process
involves reconciling the paper against
Financial Management system. The
decentralization of that type of data,
and the process of collecting it is the
problem SCRIPS is trying to
tackle.SCRIPS hopes to recover$300
million in FY 92, and more in future
years.
The remaining major hurdle in the
development of SCRIPS is the link to
the financial system, and once the
electronic connection is established,
all that will be needed is a barcode that
will be added to the document when it
comes in the door. Eventually it is
hoped that the system will be able to
create a cost recovery package in what
ever sequence the customer requires.
Superfund Document
Management System
(SDMS) Excerpts from remarks
by Jack Frost, OSWER
Current space problems are forc-
ing Superfund to look for new solutions
such as imaging systems. Image
processing, though extremely
expensive and complicated, is a good
solution to the problem of space
requirements. Superfund has spent
the last nine months developing solu-
tions for the various problems identi-
fied by the program. The Superfund
Document Management System will
be a utility available to the Regions that
can be tailored to Regional require-
ments.
The key objectives of the system
are to ensure that all applicable docu-
ments are captured and controlled,
made available in a timely manner,
are complete and accessible to the
user, protected if classified or Confi-
dential Business Information, protected
if vital, and meet evidence require-
ments. In addition the system should
reduce professional resources used
in clerical activities relating to docu-
ment management, ensure effective
use of physical space, and support the
timely preparation of complete and
accurate document compilations.
After considering alternatives, the
interim recommendation to OSWER
management was to develop a system
combining indexing and digital
	Continued on page 15
INFOACCESS
14
AUGUST 1991

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r
~J
Publications Notes
1X1
RM Directory. ACCESS EPA:
Records Management Programs, the
directory of the records network, is
now available. Copies of the three-
hole punch version of the directory
were distributed at the conference
and will be mailed to each Regional
office and laboratory. If you have not
yet received a copy and would like
one for your reference, contact Gloris
Butler at FTS 245-3639.
Federal Records Management -
Laws and Regulations. This publi-
cation includes all records manage-
ment-related portions of the U.S. Code
(U.S.C.), which is the codification of
all current U.S. Federal statutes. It
also contains all NARA records man-
agement regulations in the Code of
Federal Regulations (CFR), which is
the codification of all current U.S.
Federal regulations. If you would like
to obtain a copy, contact the Records
Administration Information Center,
Office of Records Administration, at
the National Archives and Records
Administration at FTS 501-6025.
Model Regional Records Manage* ,
ment Operating Procedures Manual.
At the Denver meeting, a draft of the
document was distributed to the Re-
gional IRM chiefs, RTP, and Cincin-
nati for comment. Comments were due
July 31. A final version of the manual
should be ready for distribution in Sep-
tember. For more information call Mike
Miller at FTS 382-5911.
New NRMP Pubs. Two new NRMP
publications went to the Printshop in
July and will be distributed in August or
September.
Records Management Series. Using
the Federal Records Center - A Guide
for Headquarters Staff, July 1991.
Records Management Series. Index to
Agency Records Control Schedules,
July 1991.
For more information about these pub-
lications, contact Mike Miller at FTS
382-5912 or Gloris Butler at FTS 245-
3639.
NARA GRS. Everyone working in
records management should have a
copy of the General Records Sched-
ule (GRS) as well as our Agency
schedules. If you need a copy of the
GRS, it is available from the National
Archives and Records Administration
(NARA). When you request the GRS
from NARA, you will receive the main
schedule, which Is dated August 10,
1988, and two packets of revisions
dated August 10,1989 and February
22, 1991. You will have to file the
revisions into the main schedule when
you receive it. You can contact the
NARA Records Administration infor-
mation Center at FTS 501-6025 for
further information and for copies.
NRMP Cover and Spine Inserts. In
order to help you organize your records
management reference materials, we
have designed cove r and spine inserts
for 3-ring binders. These inserts are
available from Gloris Butler at FTS
245-3639. *
Imaging Systems from page 14
imaging. It was also recommended that further testing be done
during the summer of 1991 before a formal recommendation is
submitted. Imaging workstations would be scattered throughout a
Regional office, and indexes to documents would be accessible
through Novell networks.
The SDMS staff predicts that there will be a number of opera-
tional impacts from the system. Superfund site files will be central-
ized, allowing more efficient access. Records will be forwarded by
the end-users to the reoords centers. The records handling and
management burden will be shifted to the records centers, includ-
ing functions such as indexing, maintenance and storage. The
records center staff will be able to produce document compilations
for program offices. Users will be able to search and retrieve
documents using distributed workstations. Workstations could be
made available to the public, allowing them to do their own search
and retrieval of non-privileged documents.
The intangible benefits of SDMS are improved perceptions of
the Superfund program, improved Superfund staff morale, and a
mitigation of catastrophic failure risks. OSWER is working closely
with OIRM and the Regions to develop policies and procedures. A
7VTTACHMENTS:
This issue of INFOACCESS1
includes two attachments:
Records Management Tools,
a list of publications
important for effective records
management, and
Electronic Mail Reference
Lists, three special electronic i
distribution lists for EPA
records managers.
AUGUST 1991
is
INFOACCESS

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US EPA
Headquarters and Chemical Libraries
EPA West Bldg Room 3340
=ftliiliudi JIQ4T	=
1301 CorwtK
the Network
gOfrgOOOSSO
Region 1
Region 1 has produced a report entitled "Proposed Record
Centers at EPA's Offices at One Congress Street," that
outlines a records management plan lor the offices and
divisions located at One Congress Street building. It
contains information that is useful for those planning a
move. If you would like to obtain a copy of this report,
contact Mike MacDougall at FTS 833-3377, or Gloris
Butler at FTS 245-3639.
Lyn McCoy began organization and folder-level indexing of
inactive site files in preparation for shipment to the Federal
Records Center (FRC). This activity will continue until the
first group ol 21 site files targeted for retirement is ready for
shipment.
Region 1 shared copies of the Air, Pesticides, and Toxics
Management Division (APTMD) Preliminary File Classifi-
cation Plan, APTMD Filing System Plan, and Regional
Counsel Records Center proposed procedures and
database structures with Louise DeBrower in Region 5. If
anyone else is interested in obtaining copies of these
documents, call Evano Cunha at FTS 833-1729.
<=» Region 3
Barbara Brown is the Acting Records Management Officer
in Region 3 until October 1, while Anna Butch is on leave.
You can contact Barbara at FTS 597-6154.
Region 4
The Air Enforcement Case File Guidance Manual was
accepted in final form by the Air Compliance Branch File
Reorganization Work Group. The Air Compliance Branch
will include copies of the manual in their Standard Operat-
ing Procedures Handbook for staff distribution. It will help
prepare the staff for conversion of their files to the new
organization. For additional information call Bette Drury at
FTS 347-0506.
Specifications for the software to support the new Air
Enforcement file structure are being developed. The soft-
ware applications developed for this program will be used
to model similar support forth© records programs served by
the Records Management Special Projects program. For
more information about this project, contact Bette Drury at
347-0506.
c* Region 5-GLNPO
Work is underway to develop a Program Records Control
Schedule report format specifically tailored for GLNPO
records series. This record schedule will link GLNPO series
with the EPA/NARA Records Schedules numbers and
retention periods.
GLNPO Records Management Procedures, which deals
with the various types ol files maintained by the Office, was
submitted to the GLNPO Administrative Officer and Deputy
Director. The Procedures included a copy of the GLNPO File
Plan. If you have questions about this document, contact
HolliS Pierce at FTS 353-2690.
<=» Region 9
The Superfund Records Center Reference Manual for RPMs
and OSCs, which informs EPA Superfund staff about the
Records Center's mission, policies, and procedures, was
submitted for review and comment. For more information
contact Diane White at FTS 484-2166.
The Region 9 staff shared copies of the following guidance
manuals with Mike Miller at Headquarters:
/ Indexing Guidelines for the Superfund Records Center.
S Using Imagetrax for Superfund Records
Management in Region 9.
/ Guidelines for Acronyms and Affiliates.
S Document Handling Guidelines.
/ Compiling Administrative Records in Region 9.
If you would like to obtain a copy of any of these manuals,
contact Gloris Butler at FTS 245-3639.
Marilyn Ryall would like to share copies of the Disposal
Authority Report produced by the Office of Federal Records
Centers in Washington. The report allows EPA Records
Managers to see which disposal authorities have been used
by other EPA Regional offices in transferring records to their
local FRCs. The report is arranged by FRC and then by the
disposal authority number. If you would like a copy of the
report, contact Marilyn at FTS 484-1507, or Email box
M.RYALL.
=» Headquarters
During August and September Mike Miller and Gloris Butler
will be contacting each Region and laboratory concerning
the existence of file plans, inventories, manuals and similar
products. Results of the survey will appear in the October
issue of INFOACCESS.
Anyone interested in joining a workgroup on Regional file
plans should contact Gloris Butler at FTS 245-3639.
If anyone has information about moving records or records
centers, contact Gloris ButJer. $
INFOACCESS
AUGUST 1991

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