United States
Environmental Protection
Agency
Information Resources
Management
(PM-211D)
EPA 220-N-92-003
Issue Number 20
August 1992
«EPA INFO ACCESS
Records Network Communications
Records Management
Working Meeting
June 9-10
In this Issue...
Regionwide File Plans
p. 3
Implementing
File Plans
p. 4-5
Briefings Pay Off
p. 6
Managing Electronic
Records
p. 7
Around the Network
p. 8
Regional RM Order
p. 10
Records News
p.ll
Attention:
File Clerks
p. 12
Evaluation Response Draws Praise
by Michael L. Miller, IMSD
On July 7 the Office of Information Resources Management (OIRM) responded on
behalf of the Agency to the National Archives and Records Administration (NARA)
records management evaluation report. In its response, EPA characterized the report as
being "an accurate depiction of the challenges that the Agency's records management
program is facing" and said the Agency was "in agreement with the recommendations
provided by NARA for addressing these challenges." OIRM will be sending each SIRMO,
laboratory director, and records officer a copy of the completed Agency response.
NARA reacted positively to EPA's plan for improving its records management
program. James W. Moore, Assistant Archivist for Records Administration, praised EPA
for taking a positive approach in responding to the evaluation and developing a thorough
plan for addressing deficiencies.
Recommended Improvements
NARA evaluated EPA's records management program and recommended 48
improvements in five categories - overall program management, records creation and
maintenance, records disposition, Superfund and contractor records, and electronic
and other nontextual records (including audiovisual and microfilm).
OIRM has developed an action plan to address the recommendations throughout the
Agency over a five year period. Priority will be given to:
~	Reviewing and disseminating existing policy.
~	Establishing records management contact networks in each program.
~	Providing training.
~	Revising the Agency's records disposition schedules.
~	Establishing filing guidelines.
Long term initiatives include shifting the emphasis of records management from
records disposition to records creation (especially when information systems are being
automated), conducting internal records management evaluations, and revitalizing the
vital records program.
Continued on page 2
Printed on Recycled Paper

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Response
from page 1
Although OIRM was
responsible for drafting the
Agency response, every Agency
program had an opportunity to
participate. OIRM sponsored a
working meeting on records
management held at the Region
5 office to get input on program
needs and to coordinate
initiatives across programs.
In addition, each major
Headquarters program,
Regional office, Laboratory, and
other facility developed its own
implementation plan as well.
NARA will monitor progress on
each plan individually, using its
own network of regional offices.
What Will OIRM Do?
For OIRM, the basic task at
this point is to provide the other
offices with the guidance and
tools to enable them to
implement strong records
management programs.
Disseminating this information
is a challenge in itself, given the
broad range of people who
are involved in records
management. OIRM will be
developing new ways to
communicate with program staff
and records managers, but will
be using INFOACCESS to
disseminate much of this
information initially, so please
watch for future issues.
This is What We
Should Have Said ...
In the box labelled "Examples of
Personal Papers" on page 2
of the June issue, under the
heading These Are "Personal
Papers,"the second bullet should
have read,
" Materials for your activities as
a member of a union or a
professional association."
V	s
What products can you expect to see
from OIRM? The Chicago meeting
identified three areas where records
managers felt they needsd immediate
assistance:
~	Basic records management
responsibilities of each employee.
~	Developing records disposition
schedules and taking inventories.
~	Basic filing procedures.
Over the next nine months OIRM
will issue guidance packages in each of
these areas. Each package will consist
of a statement of what constitutes current
Agency policy accompanied by
supporting materials including copies of
applicable guidance and Agency
issuances, detailed implementation
instructions, model forms that could be
used, samples of completed products,
and suggested readings. With these
tools, programs will be able to undertake
the real work of the evaluation -
implementing the recommendations
in individual offices.
FY93 Initiatives
OIRM is also planning four other
initiatives for FY93. The first is to
begin circulating for informal and
then formal approval the revised
records disposition schedules for
Regional programs, as well as those
that apply either Agency wide or
Headquarters wide. Second, OIRM
will begin the systematic scheduling
of the Agency's electronic
information systems, and determine
what policy guidance is needed for
electronic records management.
Third, OIRM will develop and
circulate for comment a revised
version of Chapter 10 of the Agency
Information Resources Management
Manual concerning records
management. Finally, OIRM will
undertake the development of
additional in-house training classes
in files maintenance and the
management of electronic records.
The NARA evaluation comes at
an opportune moment for the
Agency because many programs
both at Headquarters and in the
Regions are moving. Historically,
moves offer programs the
opportunity to reassess their records
needs. The action plans that
programs developed to respond to
the evaluation provide a framework
for managing records better in
current space and for redesigning
how records can be managed in new
space. &

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
r.rry
AUGUST 1992

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FILE PLANS:
Developing a
Regionwide File Plan
This is a summary of a presentation given by Lynn
Calvin, Region 5 Records Officer, at the EPA
Records Management Working Meeting held in
Chicago on June 9-10, 1992.
The records management staff in Region 5
developed a plan to reorganize their records as part of
the planning for the move into the new Regional facility.
The planning process took more than two years and the
move itself took four months; it involved 1700 people and
52,000 of the Region's 64,000 feet of records. All of
Region 5 moved except the Central Regional Lab and the
Office of Regional Counsel. The following information
comes from the staff that planned the Region 5 records
reorganization.
Why Develop and Use File Plans?
File plans, if properly implemented, are essential for
staff trying to locate:
~	A specific document (e.g. a letter from the state
dated June 15,1991).
~	A specific document type you know exists
(e.g. a permit, a ROD, the RI/FS).
A Documents, if any, of some particular type
(e.g. all sampling done).
~	Documents re: subject/action/process/program
(e.g. permit review, compliance review).
~	The forward & backward thread of organization
events.
A A record of activities - to document the decision
process.
A A record of activities to figure out what happened.
A A record of activities to prove we did what we
should have done.
There are a number of steps involved in developing a
file plan:
Step 1: Identify the records
Identify "files" - potential file series subject to
classification, and the types of documents to be included
in the 'files."
AUGUST 1992

Step 2: Gather Information about documents,
flies, and usage.
•» Collect information about the documents
in the files:
Who creates this document?
If the document is external, who receives it & how?
Who else in EPA/not in EPA gets copies directly
from the originator (state, HQ, other agencies,
contractors, etc) ?
Who else does the creating/receiving office send
copies to? Why, when?
•» Collect information about the "files":
Who creates the file? (In other words, who makes
up the folder initially.)
Is there any sort of list of what files should exist?
What order are they in?
Collect information about files usage. This gives
you a feel for what materials should be filed
together.
How are the files used — for quick lookups or
review?
How often are the files used?
What is the usage cycle?
Who pulls the files when they are needed?
Who refiles the files after use?
Step 3: Develop file structures.
File structures can be mnemonic, at least partially.
Group the material by use — not by document type.
Correspondence is like an overheard conversation; the
context is vital.
Locate key documents within the structure. They
may help determine file breaks
Use a parallel structure between different files!!
Create functional not organizational divisions.
Continued on page 5
INFOACCESS

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FILE PLANS:	^
Design and	h
Implementation
A compilation of information presented by Marilyn Ryall, Region 9 Records Officer, at the EPA Records Management
Working Meeting held in Chicago on June 9-10, 1992, and information shared by Barbara Brown, Region 3 Records
Officer, at the same meeting.
A file plan is usually developed from information
gathered in a survey of office files. Each record type
is identified, the records matched with EPA
schedules to determine the proper disposition of the
records and a proper disposition authority. A copy of
the plan should be placed in the first drawer of your
filing cabinet or the first drawer of each set of file
cabinets in your area of responsibility.
What is a File Plan?
A File Plan is:
/A subject classification system.
/A list of records series and related retention
periods.
/A guide to where specific records are
located.
/A guide to the location of file stations -
official, duplicate, personal, etc.
A file plan should be flexible enough for you to
add or subtract items as necessary. You may
discover that you have some series of records that
are not covered by the files plan. If so, you should
advise your records officer so that the series may
be added to the plan and the proper disposition
determined. You may also discover that some
series of records are no longer being created, and
if this is the case, please advise your records
officer. It is very important that you coordinate any
changes with your records officer.
Subject Classification
A subject classification system is a hierarchical
system of filing. Here is an example of how this type
of system works:
Before classification the folders are arranged
alphabetically in the files by headings like these:
Annual and Sick
Awards -
Counseling
Court Leave
Credit Union
Grievances
Military Leave
Official Leave
Political Activity
After classification has been imposed the files
are arranged with related files as follows:
1
Employee Relations
1-1
Awards
1-2
Credit Union
1-3
Counseling
1-4
Grievances
1-5
Political Activity
2
Leave
2-1
Annual and Sick Leave
2-2
Court Leave
2-3
Military Leave
2-4
Official Leave
Files and Records Disposition Plan
A files and records disposition plan is set up to
accomplish two things. One is to provide you with a
File Code under which all the various documents in
your office can be filed. The second is to make
proper disposition of the records a relatively easy
task when you set up your files for each fiscal year.
The plan contains four main elements for each
type of record: a file code, a series description,
disposition instruction, and a disposal authority. See
the example on page 5.
INPOACCESS
AUGUST 1992

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File Code
PM70-10
PM70-11
PM70-11A
Sample File Records and Disposition Plan
Grants Management Branch
Series Description
PM70-11B
PM70-11C
PM70-11C.01
PM70-11C.02
PM70-11C.03
Timekeeper's Records: (T&A1 Reference
copies only - official copy maintained
by comptroller.
Program Management File: Records
relating to the development, management,
& evaluation of assistance agreements.
A. Policy & Regulation which establish
& implement operational procedures for
administration of assistance agreements.
B.	General Administrative Correspondence
pertaining to normal day-to-day activities
of Grants Administration Division
C.	Inquiries Files
1. Congressional
2. Controlled
3. Uncontrolled
Disposition
Break file each year.
Retain in office 1 yr.,
then destroy.
See below.
Permanent. Break file
when material has been
superseded or cancelled.
Transfer to FRC for 10 yrs.,
then offer to National Archives.
Break file at end of year
Retain in office 2 yrs.,
then destroy.
See below.
Break file at end of year
Retain in office 2 yrs.,
then destroy.
Break file at end of year
Retain in office 2 yrs.,
then destroy.
Break file at end of year
Retain in office 1 yr.,
then destroy.
Disposal Authority
N1/412/86/25/1
NC1/412/85/25/1
NC1/412/85/25/1A
NC1/412/85/25/1B
NC1/412/85/25/1C
NC1 /412/85/25/1C1
NC1/412/85/25/1C2
NC 1/412/85/25/1C3

NOTE: Sample File Records and Disposition Plan shared by Barbara Brown, Region 3 Records Officer.
J/
Regionwide Plan from page 3
Region 5 Experience
In Region 5 we conducted a survey and looked at
everything! Here are some things we recommend to
others who want to do what we did:
~	All copies should be coded the same way,
although internal arrangement can differ.
~	Use the same alpha numeric for the same
document in different contexts, even if filed in different
arrangements. 		
~ Use a single structure — administrative or
programmatic organization is not that straightforward e.g.
contracts for program activities.
Our file structure is still in the early testing stages, but we
hope that it will be useful across the entire region when it
is completed. #
AUGUST 1992
5
INFOACCESS

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Records
in Your
Office
Management
Briefings
Pay Off
You've heard over and over
that conducting briefings for
management is an effective
means of attracting
attention for the records
program, educating
management about proper
records practices and their
responsibilities, and even
increasing the budget for
records. Some records
managers in Regional and
program offices are now
confirming that it really does
wnrkl
1
Around the Agency
Rebecca Kemp reported that Region 4 recently conducted a very
thorough records management briefing for their new Assistant Regional
Administrator, Don Guinyard. Rebecca and her staff outlined what they
have accomplished in the records area, where they are going in the future,
and what they will need to get there. As a result they have been able to
increase their contract staff for the last quarter of FY92 to help with a
Regional records inventory. In addition, the ARA has indicated that he will
further support the records program by signing a directive and including
records in Division level staff meetings.
It is also working in Region 5. Regional Records Officer Lynn Calvin
conducted a successful briefing for the Office of Regional Counsel (ORC).
She related that it was her "single most successful management briefing
ever." The briefing resulted in agreement about the need for additional
staffing for records management activities in ORC.
Region 6 Records Officer, Nancy Yarberry, related that a successful
briefing with the Deputy Regional Administrator and Division Directors will
probably lead to a briefing for the Branch and Section Chiefs. Her briefing
included a discussion of records management responsibilities, the current
status of the records program, and Regional plans for system integration.
Records staff in the Office of Solid Waste and Emergency Response
(OSWER) are using briefings to educate program staff about the National
Archives and Records Administration (NARA) evaluation and the steps the
Agency must now take to respond to the evaluation. OSWER records staff
are also conducting briefings for program staff on preparing for moves and
revising records disposition schedules.
Tips From Veteran Briefers
Those who have conducted successful briefings around the network
have shared the following ideas on the reasons why their briefings worked
(or didn't work).
~	Generally a briefing is more likely to be successful if records is the
primary agenda item at a regular staff meeting, rather than the topic of a
special meeting.
~	When preparing for a briefing the records manager should identify the
audience, know something specific about the problems of that group, and
relate some horror stories that will resonate for them.
~	A records manager should start by addressing the strengths of the
program. That way even if the situation is disastrous, the records manager
can tell the staff that they are fortunate that their problem is visible, and
there are things that can be done to begin to resolve it. $
The Information Management and Services Division (IMSD)has several good
general briefings available. If you are interested in finding out more about the
briefings,or would like to obtain copies of them, contact Mike Miller at (202)
260-5911.
V
INFOACCESS
6
AUGUST 1992

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Managing Electronic Records
by Michael L. Miller, IMSD
Two issues have surfaced recently concerning
electronic records. While Agency policy has not
been developed to specifically address either one,
records managers and staff need to be aware that
the potential for problems does exist.
Electronic Mall
Agency policy clearly states that any form of
documentation, regardless of medium, can be an Agency
record. While electronic mail is not specifically
addressed, one can draw the conclusion that if you use
electronic mail to conduct Agency business, you need to
be aware the electronic mail messages may be part of
the "adequate and proper documentation" of the activity.
If so, you need to ensure that the messages are retained
for the same length of time as other documentation of the
activity.
For example, if you provide technical guidance to
contract staff via electronic mail, you need to retain
documentation of that for the period of time your other
contract records are retained - currently six years and
three months. You can do this by creating a hard copy of
the messages, or by filing them electronically to an
electronic folder that you create for that purpose.
The important point to remember is that the AII-in-1
system automatically moves inactive messages from your
OUT and READ boxes and deposits them in your
"Wastebasket" on a periodic basis. Once in the
"Wastebasket" messages are only retrievable for 90
days. After that they are eliminated from the system
entirely and cannot be recovered.
Local Area Networks (LANS)
The same problem exists on many LANS. Inactive
documents are deleted from the system on a regular
basis, often after they have been inactive for one year.
Staff need to be aware of this if they plan to use the LAN
as their "filing cabinet" for documents they produce. If
they wish to do so, they need to ensure that the
documents are filed in such a way that they can be
retained for the period of time specified for that category
of record.
To follow through with the contract records example,
you may prepare contract-related correspondence on
your LAN. Most programs would place a hard copy of the
correspondence in the contract management file, but
some staff want to keep paper to a minimum and choose
to retain only an electronic copy. If that correspondence
is necessary to document how the contract was managed
(a letter accepting receipt of a deliverable), you need to
ensure that the electronic copy is retained for six years
and three months.
What are Your Responsibilities?
As a Federal employee you are responsible for
creating adequate and proper documentation of your
activities and maintaining that documentation for the
appropriate period of time. If you want to retain all or a
portion of that documentation electronically, then you
need to do three things:
~	Ensure that the electronic documents are filed in
such a manner that they will be retained for the retention
period specified in the records disposition schedule
without continuous intervention on your part.
~	Ensure that there is a clear record indicating
where the electronic documentation is found and how it
can be retrieved.
~	Follow the Agency computer information security
guidelines appropriate to the importance of the
information being retained in electronic form.
~	Remember that All-in-1 is not a secure system,
and it should not be used to convey sensitive or
confidential contract information. 
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Around the Records Network
ECAO TIU, Cincinnati
Slide Database
Region 4 -
Off-Site Storage
Region 4 -
ORC's New
Filing System
Region 6 -
uperfund Records
SWAT Team
Region 8 -
Jackie on Detail
legion 8 -
Ite Assessment
ecords
Technical Information Unit staff have created a database for categorizing, tracking and
searching items in their slide collection. The staff are also creating a slide circulation log,
a form to add new slides to the collection, and labels that include the category,
subcategory and title of each slide.
Records management staff are making arrangements to obtain convenient off-site storage
for Regional and Superfund records. After EPA and contract staff reviewed the site, they
involved staff from the Federal Records Center (FRC), asking them to evaluate the space
and share their ideas on effective use of the space. EPA staff also invited some vendors to
propose shelving variations for the space so they can select a shelving configuration that
matches Regional & Agency requirements. Regional staff are confident that this process
will serve to improve coordination between the Region and the FRC. If you would like to
know more about this project, contact Doug Haire (contractor), at (404) 347-2416.
After a year and a half of effort from the Total Quality Management's (TQM) Files Format
Committee, the Office of Regional Counsel's (ORC) new filing system was officially
implemented. During July, Lorrie Burroughs (contractor) and Kurt Schenck (contractor)
conducted training sessions for over 60 ORC attorneys and support staff; they are now
using the new system effectively. To complement the manual filing system, ORC records
staff developed an automated records system using INMAGIC which is used to track
circulation of active cases, identify records on the folder level, and assist in generating
labels and inventory reports. As a result of the new filing system, the records staff has
already been able to transfer over 30 boxes of closed cases to the Federal Records
Center. If you would like additional information about the filing system, contact Lorrie
Burroughs (contractor) at (404) 347-2436.
Region 6 has created a Superfund Records SWAT team to determine classifications for
the records file structure. Two sites will be selected to pilot the new structure and file
indexing. The team is also discussing procedural issues such as the disposition of paper
and flow of paper in the Region. For instance they are concerned with the types of
documents stored in the file room, what is in commercial storage, and what goes into long
term storage and when. The draft file structure and draft procedures will be ready for
review this summer.
Jackie Rivera, Region 8 Records Manager, is going on detail, first to the Regional Budget
Office, and then to the Water Division, from July through November. You can contact
Jackie through the Regional receptionist at (303) 293-1603.
Records management contract staff in Region 8 manage records for site assessment
which includes preliminary assessment (PA) and site investigation (SI). The records are
stored in a secured area and access to the records is only available with EPA permission.
The files are organized by state and site, and are indexed in INMAGIC. There are
approximately 380 sites indexed with 5,236 documents for Region 8. [The Montana
documents are kept in the Montana office and are managed by EPA personnel.] Once a
site is finalized on the National Priorities List (NPL) the PA/SI documents are transferred
to the remedial file for the site. There are a number of ways in which a PA/SI can be set
into motion, including information from the public, and company reporting of handling
hazardous waste. A common misperception is that if a PA/SI is performed there is a
pollution problem at the site. That is not always the case. For more information on the
PA/SI records management project in Region 8, contact Carole Macy at (303) 294-7038.
INFOACCESS
Continued on page 9
AUGUST 1992
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This section of INFOACCESS is used to report on upcoming meetings and projects currently underway in the Regions,
Laboratories, and Headquarters. Anyone with contributions for this column should contact Mary Hoffman (contractor),
Network Coordinator, at (202) 260-7762.
Region 10 -
Records World
HQ OSWER Records
Management -
Publications on
Moving
The Hazardous Waste Division Records Center Report was initiated to promote and report
on the activities of the newly-opened (May 1) records center. The report, titled Records
World, is issued monthly over the Word Perfect Office message system to all
"subscribers." It hits the electronic streets by the middle of the month with a rundown
of activities for the previous month.
The format is designed to be informative; generally, one topic is covered per issue.
Regular features include summaries of activities pertaining to NPL and Removal site files
and administrative records, CERCLIS and Federal Facilities files and guidance
documents. All records managers contribute. One feature, "Records Management Topic of
the Month," provides a forum for records managers' concerns. Topics for upcoming issues
may include such wide-ranging issues as timely submission of AR materials, repository
site visits and dating/titling of documents, and, beginning with the August issue, pertinent
user and reference statistics will also be included. The report provides information on
records management activities and serves to promote the importance of records
management, the records center and its staff.
Lisa Jenkins and Bette Drury (contractor) developed a training packet and transparency
set entitled, Move Planning and Your Records, for use in training OSWER staff how to
organize their records and reduce the volume of records prior to a move. They also
developed Move Planning, a step-by-step guide for planning a move, and Move Checklist,
a one-page checklist of action items, to assist staff in planning for a move to a new facility.
Contact Bette at (202) 260-6757 for more information. *


Tip of the Hat
Great teamwork in Denverl
Congrats to Carole Macy and her crew in Region 8. In
February the Site Assessment team was awarded the
Region's "Most Effective Team Award" in Superfund.
Author, Author!
Look for Sandy York's (contractor) article, "An
Automated Solution to the Superfund Documentation
Problem," in the July 1992 issue of Records
Management Quarterly. Congratulations, Sandy!
We're Going to Miss You, Glorls!
Congratulations on your new job! Gloris Butler, IMSD,
has been reassigned from her work with the Records
Network to the Public Information Center (PIC) at
Headquarters. We wish her all the best)
Welcome to new records staff around the
network:
~ Kennetta Calloway, Records Officer,
Office of the Inspector General, Headquarters.
~	Barbara Felton (contractor), Records Manager,
Pesticides Special Review and Reregistration, Office of
Pesticide Programs, Headquarters/Crystal Mall II
~	Joe Moeltner (contractor), Records Manager,
Records Support, Information Access Branch,
Headquarters.
~	Jim Pirovano (contractor), Records Information
Specialist, Office of Solid Waste, Headquarters.
~	Dawn Roddy, Records Officer,
Office of Air and Radiation, Headquarters.
~	Deborah Ross, Records Officer, Office of Water,
Headquarters.
~	Two librarians, Ann Johnson (contractor), at EPA's
Central Regional Laboratory in Annapolis, MD, and
Janice Sims, at EPA's Environmental Research
Laboratory in Athens, GA, will be providing records
management support for their laboratories.

~ lantha Winick, Records Officer, Office of Policy,
Planning and Evaluation, Headquarters. *

AUGUST 1992
INFOACCESS
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Headquarters
Update
' HQ Records Management Council
The Records Management Council met on
Thursday, July 23,1992. The agenda included the
following items:
~	An overview of the National Archives and
Records Administration (NARA) evaluation
response with details about Information
Management and Services Division milestones
for the coming months.
~	A report on the cleanup of records in the
warehouse; reports are being prepared for
distribution to program offices that currently have
materials stored in the warehouse.
~	A discussion of review procedures for records
disposition schedules.
~	A report on records management policy
initiatives; a report was prepared outlining policy
changes needed, including a better definition of the
role of the program offices and the Records
Management Council members.
The meeting concluded with a discussion about
the future of the Council. It was agreed that the Council |
meetings will be held on a monthly basis and will
include training sessions for members and other
selected invitees. It was suggested that the topics for
training couid be coordinated with action items listed in
the Information Managment and Services Division's
response to the NARA evaluation. Future Council
meetings will be held in a Washington Information
Center oonference room. The next meeting is
scheduled for August 19,1992, from 9:30 am to 12:00
pm at WIC Conference Room 3-North.
Bimonthly Regional Teleconference
Several records managers from Regional,
laboratory, and field offices phoned in on July 30th to
discuss training needs, records management briefings,
OIRM assistance in support of the Agency response
to the NARA evaluation, and records disposition
schedules revisions. The next teleconference has been j
tentatively scheduled for September 24,1992 at 3 pm
(Eastern time); phone number (202) 260-4230.
A Regional Order for
Records Management
M«nIn!^ra!!nPe,egation of Authority - Records
Reninnai cies ancJ Procedures from Region IX,
SSSSSf"R2160'	records
program for the Region. II sets loilh
recnrrie'r!?r0C res and standards for the conduct of the
the artm.v^?a®6ment Pro9ram: assigns responsibilities for
estawfch^ on and "^tementatior. "I myogram;
and niitiin S rf^°rcls management work-at-home policies;
rjoiicjae iHes,;. auth°rities that serve as a basis for the
policies identified in the order.
reaufrort^anizational elements in the Regional office are
economiraiT3!?^" ?n active> continuing program for the
aaenev in ™ cient management of the records of the
ReS^ Peratk)n with the National Archives and
aS,!*" (NARA) and General Services
followino noiiT- 'The Pro9ram is based on the
wing policies. Regional staff will:
ancfnrftnllt^1*1 preserve records which contain adequate
~	£tahi£^Tnta,ion of the organization.
destructfon of rSSsUardS	"
mananflm^!ifhf r°Cedures for the participation of records
programs	in developing new or revised agency
a reo^dlam!fi!l/0COrclk0epin9 requirements that prescribe
are files	ance ProQram wherein complete records
~	establish effective recordkeeping controls,
and Dermannnt schedules for recurring temporary
that are oiiniK? Records and lists of nonrecurring records
~	£2?Si?'destruc«onorarchiving.
unscheduiflW^ 8 permission P^r to transferring
~	?r contin9ent records to the FRC.
Qovemmant rl° ?°.ntractors the delivery to the
documental ! a ^ed001 for adequate and proper
~	Enaira "factor-operated programs.
de " ! e use of th® appropriate method of
straying temporary records.
Droviriaef^fu3 Vital records program that identifies and
and rinhto Protecti°n of emergency operating records
and rights and interests records.
mananfi^P and implement a program for the
maintainor °'3,1 e,ectronic records created, received,
Tr ™ \US9dl or stored on electronic media.
stanHarrfTf Wrth and NARA regulations and
standards in using micrographic technology.
audiovisIS Ss"09'3"1,0fthe mana0ement 01
Continued on page 12 ) ^®order a,so contains an acoendi* with initions and
¦^^clarifications of terms used in the text of the order. «
INFOACCESS
AUGUST 1992
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News, News, News |
¦ Changes In NARA Regulations
The National Archives and Records Administration
(NARA) recently published revised regulations - Final
Rule: Federal Register, May 28,1992, p. 22431-22434.
The new regulations cover a number of items, but most
do not directly impact on our day-to-day operations.
However, the last of the changes will impact on EPA
records management.
The major changes, in order of appearance, affect:
~	The Privacy Act - All SF-115s must carry a
reference to the Privacy Act System number, if the
records are covered by the Privacy Act. That will be
officially handled by the Information Management and
Services Division (IMSD), but if you are scheduling
records you will need to note whether the records are
covered by the Privacy Act.
~	Loans of Agency records - if you are loaning records
to another agency or other entity there are new rules
governing that.
~	Transfers of records, primarily audiovisual,
cartographic and architectural, and electronic records -
this will affect anyone transferring these types of
records.
~	Retention of records more than 30 years old. NARA
strengthened its right to require transfer of such records,
but EPA has a few years before it has to worry about this
one.
~	Restrictions on transferred records- this is the most
important change from EPA's point of view because it
guarantees that if EPA can justify restrictions on access
to Agency records, NARA will abide by them for up to 30
years.
The National Records Management Program
(NRMP) will be distributing copies of the revised rules in
the near future, but you may want to copy them directly
from the Federal Register yourself to ensure that you get
3 good copy. -- Michael L. Miller, IMSD
¦ New Records Administration Training
Courses from NARA
The National Archives and Records Administration's
(NARA) records management training program is always
looking for new ways to better serve the needs of
Federal records managers. In response to suggestions,
two new training courses have been developed:
Introduction to Records Management - a basic 1-day
course which provides a quick overview of how to
manage records. Scheduled for September 17,1992,
cost- $125 per person.
Promoting Records Management - a 1-day course
which introduces techniques for "selling" a records
management program and its values to agency
managers and staff. Scheduled for September 28,1992,
cost- $125 per person.
To register for one of these courses, send a training
authorization through appropriate agency officials to
Training Registration, Agency Services Division (NIA),
National Archives, Washington, DC 20408.
If you have an idea for a records management
training course, write or call the Records Administration
Information Center, National Archives and Records
Administration, Washington, DC 20408; telephone (202)
501-6025. - from NARA'S RECORDFACTS UPDATE.
¦	OERR Records Management Program
On April 20,1992, Henry L. Longest II, the Director
of the Office of Emergency and Remedial Response,
signed OERR Directive 9203.1-01, establishing the
Office's records management program. The directive
establishes "a formal structure for building a consistent,
efficient and legally defensible records management
program for OERR." The stated objective of the directive
is the development of the records management program
that will enable OERR to examine records retention
needs and legal responsibilities, understand procedures
for retention and disposition, and track and archive Office
records.
¦	EPA History Program
In March 1992, the Management and Organization
Division of the Office of Administration and Resources
Management issued EPA Order 1000.27 to provide for
the operation of an official history program in EPA. The
principal objective of the program is to preserve the
Agency's institutional memory and provide EPA
managers and staff with a clear perspective of the past
as an aid in dealing with current and future problems.
The Agency historian will maintain a small repository
of key EPA hjgtQp^docum^rrt^,^/^//)©
Records Manager in the ^s^^ioh6fjv0fic^^xrdk
and other documents of histe^lxalu&ptfmti'a :
historical reference service ;prodttee tihfofllMefyles,
narrative histories and'otheMtistoti&t Materials; ah#
maintain liaison with otbtr agencfrs apd»tljft#K}adecnic
community. For more information.afcQUkEPAte History
Program, contact Michael Gom at (202) 260-3004. *
AUGUST 1992 HAS INFOACCESS
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Update from page 10
Records Management Policy
IMSD h$s completed its review
of the Agency's overall records
management policy framework.
The final report, "Management
Support and Analysis of Records
Management Policy, Procedures &
Guidance Documents" is available
through IMSD, and comments and
suggestions are welcomed. To get a
copy of the report, please contact
Joe Moeltner (contractor), at (202)
360-5272.
Electronic Signatures
Workgroup
The Electronic Signatures
Workgroup has been meeting
regularly every three months. A final
draft of a proposed Agency policy
for the use of electronic signatures
is undergoing final review by
Administrative Services Division
and National Data Processing
Division representatives. It is
expected to go into Green Border
Review shortly and may be
approved as early as Fall 1992.
RM Training
The last scheduled records
management workshop for FY92 will
be held on August 26-27 in the EPA
Education Center at Waterside Mall.
The National Records Management
Staff is currently evaluating the
training workshops held in 1992 and
planning for the next fiscal year. If
you have ideas for improving the
sessions, or would like to suggest
topics to be covered, contact Harold
Webster at (202) 260-5912. *
Headqi
ER
1
ve NW
20004
Guest Columnist
We encourage INFO ACCESS readers to share their ideas, concerns
and issues of interest to the EPA records community, ff you would like
to address records staff in this manner, contact Michael Miller at
(202) 260-5911 or on dmail Miller. Michael-OIRM. #
An Open Letter to EPA File Clerks .. .
Since I have been employed with the Environmental Protection
Agency, I have been frustrated by the lack of communication. As a file
clerk, I have been forced to find solutions for everyday and widespread
records problems on my own. I have generally found that more could
be done in the agency if staff and programs shared information. File
clerks, secretaries and program staff do the bulk of the file work, and
the concept of records management and Agency goals are the same
for all. The Agency should not have to "reinvent the wheel," but rather
copy and build on past successes.
I propose that both the Regions and Headquarters begin an
Agencywide network specifically for file clerks and records staff.
I would like to see both INFOACCESS and e-mail used to discuss
everyday file needs. By using e-mail to exchange information, records
staff would be able to get hands-on records management information.
Records staff problem-solve for the divisions, sometimes encountering
questions which have already been answered in other regions. By
setting up a network of records clerks on e-mail, the Agency will
maximize both time and resources.
Most programmatic work is similar. At Regional Records
Workgroup meetings, I have noticed that the records staff has been
faced with the same ongoing problems. A network of file clerks and
records staff could furnish the necessary support, sometimes providing
cross media solutions germane to specific regions.
Records management is comprised of many components. Even
though every records clerk has different priorities and work habits, the
problems faced by offices are universal. For this reason, I feel that
records staff should not only get general records training, but ongoing
training and updates on specific topics applied only in certain regions.
Topics of this nature could include databases, file plans, file folders,
color schemes, and barcoding.
It is equally important that file clerks and records staff keep getting
assistance from records managers. Just as everyday problems need to
be addressed, so do Agency records issues. I view file clerks as more
rafittjP clericals. They are also conduits for the sections and divisions.
I would appreciate any assistance you could give me in setting up
an agency network for file clerks and records staff. If you have any
questions or comments, please contact me either by e-mail
(Bernstein.John), or at (312) 886-7678.
John Bernstein, File Clerk, Water Division, Region 5
INFOACCESS
12
AUGUST 1992
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