Infoaccess: Library Network Communications; [Or] Records Network Communications. Issue No.18 June1992


United States
Environmental Protection
Agency
Information Resources
Management
(PM-211D)
Issue Number 18
June 1992
INFO ACCESS
Records Network Communications
March HQ
Conference
In this Issue...
Evaluating the
Conference
p. 4
Welcoming
address
p. 5
NARA Evaluation
p. 6-7
Meeting
Customer
Needs
p. 10
Using the FRC
p. 11
Role of the
National
Archives
p. 12
What Makes Papers Personal?
by Michael L. Miler, IMSD
"But I don't have any records! All I have in my office are
personal papers, the stuff that I work on ... working files
and things like that."
This is one of the most common responses I get from EPA staff when I ask what
is in the file cabinets in their offices. And like many common statements it is a
misconception both of what is a record and what constitutes personal papers.
What are Personal Papers?
Personal papers are defined in Federal regulations as:
"...documentary materials, or any reasonably segregable portion thereof,
of a private or nonpublic character that do not relate to or have an effect
upon the conduct of agency business."
Many EPA employees do have personal papers in their file cabinets or computers.
There are three generally accepted classes of personal papers:
1)	Materials accumulated before joining government service that are not used
subsequently in the transaction of Government business:
2)	Materials relating solely to an individual's private affairs, such as outside
business pursuits, professional affiliations, or private political associations
that do not relate to agency business; and
3)	Diaries, journals, or other personal notes that are not prepared or used for,
or circulated or communicated in the course of, transacting Government
business.
Some examples of what are and are not personal papers are included in the box on
page 2.
Continued on page 2
Proceedings	of the He
Management Conference Rosslyn Virginia,
March 17, 1992

-------
Personal from page 1
How Do I Decide What's
What?
There are four common
tests for whether something is a
personal paper. Although these
tests are not definitive, they do
offer general guidance for
making day-to-day decisions. If
a document:
~ Is a necessary part of the
adequate and proper
documentation of an Agency
program, its functions, or its
policy and decision making
process, it should be
considered a record.
~ Relates solely to an
individual's own affairs, it is
probably a personal paper. If
it relates to an individual's
job, is done on Government
time, or with Government
equipment it should be
considered a record until
proven otherwise.
~ Is prepared for your own use
and is not circulated to other
staff or used as the basis for
agency action it is probably a
personal paper.
~ Is covered by a records
disposition schedule it is a
record.
Continued on page 3
I
The line between personal papers and records is not 'always clear. Here
are some examples of what are records and personal papers. If you have any
questions about specific documents or files you should ask trained staff to
review them.
These Are "Personal Papers":
~ Your copies of personnel actions, performance standards,
and similar documents.
~ Materials for your activities as a member of a union,
Toastmasters, or a professional association.
~ A journal of daily events maintained for your personal use
that is separate from the schedule of daily activities you use for your job.
~ Notes taken for your personal use at a training course.
~ Notes taken for your personal use at a meeting that
1) are not circulated to other staff, and 2) are not used as a
basis for action.
These Aren't "Personal Papers"
The following are some examples of items that many people feel are
personal papers but are actually Federal records:
~ Calendars, appointment books, schedules of activities, etc., that
record your activities as a Federal employee.
~ Drafts, background materials, notes, and other documents prepared
in the course of your assigned duties, even though these are not made
part of the "official file."
~ Speeches given or articles written in your capacity as an Agency
employee or Government official.
~ , Notes used to give a briefing to Agency staff.
* Michael L. Miller, IMSD
; > :Lri;
litli

wmmm&i

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, ;pC under the direction of Michael Miller, National Records Management
Fsogram Please send your comments and suggestions to: Mary Hoffman (contractor), Network
Coor^iji%tp^fM?115/ ^°lM Street. SW, Washington, DC 20460. Telephone: (202) 260-7762. Electronic
Mail: Hoffman.Mary
INfOACCESS
JUNE 1992

-------
Personal from page 2
Labeling materials as "personal," "private," or confidential" does not make
them personal papers. Documents marked with those or similar designations
are Federal records and not personal papers if they are used in the
transaction of agency business.
Can I Keep Copies of My Work?
Many employees want to keep copies of materials which they have
drafted, reviewed, or otherwise acted upon. You are permitted to
accumulate extra copies of these documents for your own
convenience provided that retention would not:
~	Diminish the official record of the Agency,
~	Violate confidentiality required by national security, privacy,
or other interests provided by law, or
~	Exceed normal administrative business economies.
Technically speaking, such extra copies are considered nonrecord
material and not personal papers. However, officials can arrange to take the
extra convenience copies with them when they leave the Agency or move to
another job within the Agency. If you wish to keep copies of your work, it is
much easier to make the copies on a regular basis rather than to wait until
you are departing.
Managing Personal Papers
if you keep personal papers in your office there are three simple rules you
need to follow to manage them properly.
~	Clearly designate the files as personal papers.
~	Maintain them separately from official Agency records
~	If you receive a document that contains information about both private
matters and Agency business, the document is a record, and the part
that concerns the Agency business must be made part of the official
record. There are two means of doing this. You can either immediately
copy the document with the personal information deleted and treat the
sanitized copy as an Agency record, or extract the Agency business
portion and add the extract to the Agency files.
If you have any questions about personal papers, you can contact Mike
Miller, National Program Manager for Records Management at (202) 260-
5911, or Don Nantkes, Alternate Agency Ethics Official, at (202) 260-4550.
Tip of the Hat
INFOACCESS would like to
recognize records and
information management staff
for excellent work in the field of
records management, the
development of special
products, completion of
significant projects, or
acknowledgement of Agency
awards.
~	Here's to Lisa Jenkins!
Lisa, from the Office of Solid
Waste and Emergency
Response (OSWER), has
been elected President of the
EPA Headquarters chapter of
Toastmasters.
~	Join us in welcoming to
these new records managers
to the Network:
Leilani Allison (contractor)
Region 6, Dallas, TX;
Barbara Brown, Regional
Records Officer, Region 3,
Philadelphia, PA;
Sam Conner, Records
Officer, OARM-Cinci, AW
Breidenbach Environmental
Research Center, Cincinnati,
OH;
Ted Harris (contractor),
Region 9 RCRA Records
Center, San Francisco, CA;
Deborah Ross, Records
Officer, Office of Water,
Headquarters, Washington.DC;
Dr. Patricia Swann,
Region 7 Laboratory,
Environmental Services
Division, Kansas City, KS.
Hope we didn't miss anyone!
JUNE 1992
3
INFOACCESS

-------
What Did You Think About
the HQ Conference?
Over 150 staff registered for the Information
Management and Services Division's (IMSD) first
records management conference for Headquarters
staff. The conference is the beginning of a
revitalization of the records management program
at EPA's Headquarters. The new effort will be
conducted as a part of the Agency wide response to
the evaluation clone by the National Records and
Archives Administration (NARA).
"Excellent and Well-Planned"
Conference organizers collected about 65
evaluation forms, which reflect comments from
approximately half of the attendees. Based on the
rating system provided on the top of the form, a
majority of the attendees rated the conference as a
whole as good to excellent. The evaluation forms
revealed comments such as "well planned and
executed," "excellent presentations," "well
developed and relevant," and "very informative."
The sessions rated most informative and
beneficial by conference attendees were "Applying
Technology to Records Management," "The IMSD
Records Program," "Developing Model Files," and
"Using the Federal Records Center - especially the
question & answer session." The materials prepared
for the attendees in the conference packets also
received high ratings. Several of the attendees said
they would have liked more detailed information
on the new Headquarters space. Others commented
that some of the information was too basic for
conference sessions and would have been better if
presented in training sessions. There were also
some individuals interested in NRMP plans for
followup with their program offices.
Suggestions for Future
Headquarters Conferences
Attendees contributed several useful
suggestions that can be used in planning the next
conference, including the following:
~	Arrange a tour of the Washington National
Records Center.
~	Include presentations of EPA records
management case studies.
~	Plan a longer conference with more in-depth
5 coverage of fewer topics.
~i Provide handouts for all of the sessions.
~	Advertise conferences and meetings better - use
flyers and agency bulletin boards to inform
more of the Headquarters staff.
~	Include senior management in the conference.
~	Plan more time for discussion in small groups.
~	Hold the conference for Headquarters staff on
an annual basis.
~	Plan more time for question and answers
sessions after the presentations.
~	Reverse the order of the sessions - talk about
specifics first.
There were also a number of specific topics
mentioned by those who submitted evaluation
forms. They were interested in receiving more
information about:
The "life cycle" concept.
•» How records management fits into
information management.
National Archives and Records
Administration.
Electronic records.
•» Technology and how to implement it.
Implementing records management.
IMSD and its role within EPA (with
organizational chart).
Legal issues of records management.
Environmental aspects of microform.
Filing systems.
We plan to address many of these in INFOACCESS
during the coming year.
Summary
Overall the NRMP staff was pleased with the
response to the conference. The staff has compiled a
list of some of the comments made by the attendees.
The suggestions will be used in the planning of the
next Agency wide records management conference
scheduled to be held in San Francisco in January,
and the next Headquarters conference.
& Mary Hoffman (contractor), Network
Coordinator
INFOACCESS WilWl JUNE 1992

-------
Most people agree that records
management is a "good thing to do,"
like motherhood and apple pie, but it
is frequently left on the back burner.
But now it is your turn,
Headquarters. We've been working
with the Regions now for several
years, and their programs, especially
the Regional Superfund programs,
have made giant strides. The
Regions are off the ground, and now
we are turning our attention to you.
Actually there are two forces
driving us to take records
management off the back burner and
put it on the front. The first is that
people are moving - currently in and
around the DC. Eventually we'll all
be moving to a new building. And
there are many interim moves
planned before then. There is
nothing like a move to get people to
look at their records. Second, the
National Archives and Records
Administration (NARA) has evalu-
ated our records management
program and found a lot that we
need to be concerned about.
Both of these provide an
oppportunity for us to improve our
records management program - if we
use them correctly. In fact they
reinforce each other. The NARA
evaluation offers a blueprint of how
to improve our filing for example.
Key to half of their recommendations
is better filing space and equipment.
The layout for the new office space,
which you will hear about later,
offers us a chance to improve the
way we organize and store our
records.
Laying the Groundwork
We've been laying the
groundwork over the past year for
improving records management at
Headquarters. We've developed
some useful products and are
continuing to develop additional
ones. Some of those products are:
~	Records Management Officer's
Package - all of the tools you need
on your desk to manage records.
~	Guide to Using the Federal
Records Center- included in your
Why Records
Management
Now?
A welcoming address by
Daiva Balkus, Director,
Information Management
and Services Division
conference packet.
~	Decision Tree on "What is a
Record?" - on display at the
publications table outside the
meeting room.
~	Regional procedures guidance
that anyone can use to establish a
records program.
We are currently reviewing our
records policy structure, and plan to
have a revised policy available for
comment later this year.
We've set up communications
mechanisms to inform people about
records management and services
offered by the National Records
Management Program, including:
~	Newsletter- INFOACCESS.
~	Records Management Council
at Headquarters - with a
principal contact for each
program.
~	Docket Network, with a
principal contact from each
docket.
In addition, we have produced a
flurry of brochures and pamphlets
advertising our services - some of
which are in your conference packet.
We are also providing systematic
briefings for managers and staff.
Headquarters Priorities
Both our relocations and the
NARA evaluation highlight the areas
the Agency needs to concentrate on
over the next three years. We need
to find out what records we have in
the building and how much we have
in order to manage them
appropriately and move them effi-
ciently. This is known in the trade as
inventorying the records. That is the
foundation. We need to manage our
active records better by:
~	Improving our filing methods.
~	Using centralized files and
file rooms to store records needed
on-site efficiently.
~	Using technology to increase
access to information and reduce
storage costs.
When their active life is over, we
need to move records to the Federal
Records Center, or destroy them as
appropriate.
These are the cornerstones of the
Agency's appproach to improving the
actual management of records at
Headquarters. This is a joint mission -
we will provide the tools you need,
but you will have to provide the
muscle to get the job done. Part of
the work is the responsibility of the
Office of Information Resources
Management(OIRM) which must:
~	Provide leadership.
~	Provide policy and guidance.
~	Provide technical expertise.
~	Provide communications.
~	Provide training.
Program Responsibilities
What do the programs need to
do? They have 3 basic
responsibilities:
1)	Identify records contacts who
will handle records issues.
2)	Arrange for training for the
records contacts, and for briefings for
other staff.
3)	Allow the designated records
contracts the time to carry out their
records management responsibilities.
Our experience with the tremendous
gains made in the Regional programs
makes us confident that your
programs will find the investment
worthwhile. #
JUNE 1992 Mm INFOACCESS

-------

Approach
to
Improving
Your Files
The following is a
summary of a
presentation by Bette
Drury (contractor),
Program Analyst,
Office of Solid Waste
and Emergency
Response.
There are many different filing systems, and certain systems are better
suited to certain kinds of material. Before setting up any filing system, it is
necessary to understand the types of filing material found within a typical
program office in a Federal agency.
Filing Material
Within most offices there are four major types of filing material:
~ Administrative (or facilitative) files - those that support the Agency's
facilities, personnel, and programs in general.
[Also called housekeeping files.]
~ Program (or mission) files - those that relate to the purpose for which
an agency or program was established.
~ Technical Reference files - non-record materials that do not document
agency actions, expenditures or decisions.
~ Personal files - non-record, non-government owned materials that
relate to an individual's affairs - accumulated either before or during
government service.
The problem that many EPA offices have is that they mix these filing
materials together. Many programs even have complex file plans of the "mix" of
materials. This should not be done because:
°» It places record material with non-record and non-government
owned material.
It mixes records with different retention values.
°» It mixes materials which serve different functions and different staff.
It builds a set of files which are leader-specific and rarely outlast the
leader.
The distinguishing feature of any well-designed filing system is that it can
continue to function regardless of personnel and organizational changes.
File Systems
A filing system is a set of policies and procedures for identifying and
organizing files or documents. Government files are often identified as to
whether they are
~ Subject files: bringing together all documents on the same topic.
~ Case files: bringing together all documets related to the same
transaction or specific action.
~ Chronological (Chron) files: bringing together all documents occurring
on the same date. These are organized in date order, either forward
or reverse order (most recent on top).
Information Access Branch, Information Management and Services Division ^ Printed on Recycled Paper
U.S. Environmental Protection Agency, Washington, DC June 1992

-------
Classification Schemes
There are four basic classification schemes:
1)	Alphabetical: records are arranged in
alphabetical order by name, subject, or geographic
location.
2)	Numeric: records are arranged in order by
number rather than by name. The number may be
part of the record itself (ex. invoice number) or can
be assigned as in case or docket numbers.
3)	Alphanumeric: a variation of the other two
systems where letters instead of numbers are
assigned to first digits of the numeric system to
designate primary subjects and secondary subjects
are assigned consecutive or decimal numbers.
4)	Chronological: records are arranged in date
order.
Inventory
Before developing a filing system, a records
inventory should be conducted. The inventory will
identify what types of records are actually being
maintained by an office as well as the program
functions the records support and the volume of
records for each type. With this information, the
records can be sorted into primary classifications
based on function and retention value, which form
the basis for the classification scheme.
Pointers on Developing Filing Systems
Once the inventory has been completed a decision
can be made as to which filing system and
classification scheme to use. When developing a filing
scheme, consider the following pointers.
~	Identify the unique filing feature of the record
and use that as the basis for the scheme. Ask
yourself which filing feature is most often used to
request the record.
~	Keep it simple. Keep numbering schemes to
four or five digits and use mnemonic devices to
help the user identify the files.
~	Let case files structure themselves. Do not
assign filing codes to records that can be naturally
ordered alphabetically by name or numerically by
permit or site number.
~	Try not to "mix" types of filing material. There
should be separate filing schemes for
administrative files and program files.
~	Write file structures with records disposition in
mind. Do not create a structure that links records
with different functions and retention value. This
complicates closure and ultimate disposal or
retirement.
~	Use the experience of others. Donl reinvent the
wheel. Get samples of successful structures and
borrow ideas.
Filing System Manual
The file structure should be part of a filing systems
manual. The manual should include these
components:
~	File structure in outline format.
/ File structure with content notes and filing
guidance.
/ Document preparation guidance.
/ Folder label guidance.
/ Special Records Handling Guidance. [Maps,
photographs, computer disks, confidential
documents, FOIA restrictions]
/ Circulation Guidance.
~	Disposition Guidance.
~	Index.
Helpful References
~	Records Management Manual.
U.S. Environmental Protection Agency, Office of
Information Resources Management, 1984.
Updated in 1986 and 1987.
~	Draft Regional Procedures Manual.
U.S. Environmental Protection Agency, Office of
Information Resources Management, November
1991.
~	Case Filing.
General Services Administration, National Archives
and Records Center Service, 1983.
~	Subject Filing.
General Services Administration, National Archives
and Records Center Sen/ice, 1981. *

-------
^ Is Microfilm the Answer?
We are being buried under an avalanche of paper and need to find alternative
ways to manage our records. Microfilm is one of the older technologies used for
records management, It is inexpensive, easy to read, accepted in court, and
widely used. It also provides a good transition medium to other technologies.
The major drawback is that there can be a time delay in distributing information
to the users. How can you decide if microfilm is the answer for your problems?
Why microfilm?
Microfilming can help you resolve a variety of records management problems by:
~	Controlling filing equipment and space needs. Records on microfilm
need as little as 2% of the space occupied by the same records in paper.
~	Improving file security. Duplicate microfilm files kept off premises
protects against the destruction and loss of vital information.
~	Reproducing and distributing documents. Economical film duplicates
are quickly produced and inexpensively mailed.
~	Improving file integrity. Records on microfilm are in fixed sequence,
guarding against misfiling, mislaying, alterations, or loss.
What should you think about?
When deciding about microfilming a collection, you should consider the following:
User Requirements - How is the information to be used?
Cost - How will microfilming costs compare to the existing system?
Accessibility -Does the information need to be accessed from multiple locations?
Updating - How frequently is the file updated or changed?
Compatibility - Is microfilming compatible with existing information systems?
Format - What types (sizes, colors, etc.) of documents are to be filmed?
What type of microfilm work best for our needs?
Indexing - How will we find the document we want on the film?
Equipment - What type of readers will we need?
How many readers will we need?
Who can you call for help?
To get help in answering these questions or to obtain assistance in interpreting youi
answers, call the National Records Management Program at (203) 260-5911, or youa
Regional Records Officer,

National Records Management Program, information Access Branch
Information Management and Services Division
June 1992

-------
Using the TOSS Contract
What assistance is available?
The Micrographic and Optical Disc Conversion Support (MODCONS) modification of the
Technical Operational Support Services (TOSS) contract provides Agency wide support in all
geographic locations for the design and development of advanced records and information
management systems, as well as the conversion of paper source documents to photographic
microform and optical disc media, including compact discs (CD-ROM).
A National Delivery Order Project Officer (DOPO) in OIRM's Information Management and
Services Division 0MSD) provides assistance in project support and development of task orders
placed under TOSS/MODCONS. MODCONS provides on-site, experienced project management
for each conversion, using local service bureaus when possible. It encourages the delivery of
uniform quality products which meet Agency technical specifications. It also simplifies ordering,
billing, and payment procedures.
~ Requirement^ Analysis to identify opportunities and provide recommendations
for improved information processing and management programs.
~ Doalgn mrhirfirp invpstigatinn nf various media and system
options, identification of an approach to fulfill mission goals, and delivery of a
detailed system design proposal.
~ Requirements statement Pewlnprngnt that rprnmrngnd* prnfert-sperifie
elements that must be included in the statement of work.
~ Media Conv»r»inw including complete supervision of the conversion of paper
documents to other media.
~ Faeilitiea Management. Staffing and operation of the new records system to
ensure that client needs are met in a timely manner until program personnel
are familiar with the new system.
~ Training in the operation of the new, unfamiliar information management technologies.
How does it work?
What services can you get through MODCONS?
TOSS / MODCONS Contacts

(202) 260-5636
(703) 538-7857
Geoff Steele
Susan Tavenner
BBSS
EPA Project Officer Brenda Daly
National DOPO for MODCONS Projects
Geoff Steele
(202) 260-2392

-------
NAME
EMAIL
PHONE
Admlninstratlon & Resources Management (OARM)
~ Principal Contact
Pat Johnson

(202)
260-4438
AAs Office
Bernie Davis
Davis.Bernie
(202)
260-4083
Office of Administration
Becky Vidi

(202)
260-8400
Management & Organization Division
Sonia Ruiz
Ruiz.S
(202)
260-5000
PCMD - Grants
Robert Rivera
Rivera. Robert
(202)
260-8025
Off the Comptroller
Arlene Bragg
Bragg.Arlene
(202)
260-9674
Off Human Resources Mgmt
Kathy Herrin
Herrin.Kathy
(202)
260-3352
Off Information Resources Mgmt
Joni Boyer
Boyer.Joni
(202)
260-2376
Administrator, Office of the
~	Principal Contact
Environmental Appeals Board
Pollution Prevention Policy Staff
Office of Executive Support
Executive Correspondence
Congressional Correspondence
Federal Register
Freedom of Information
Off Administrative Law Judges
Off Civil Rights
Science Advisory Board
Off Small & Disadvan. Bus. Utilization
Off Cooperative Environ. Management
Air and Radiation (OAR)
~	Principal Contact
AAs Office
Off Program Management
Off Atmospheric & Indoor Air Programs
Off Air Quality Planning & Standards
Off Mobil Sources
Field Operation & Support Division
Off Radiation Programs
Frank Rusincovitch
Brenda Selden
Claudette Campbell
Pat Pender
Janice Poole
Rosemary Carroll
Barbara Zanle
Sharon McBride
Bessie Hammiel
Pat Wade Neal
Darlene Sewell
Denean Jones
Toni Frazier
Blanche Scott
Shirley Leonard
Elmira Davis
Dawn Roddy
Liz Bailey
Gail Whitfield
Florene White
John W. Holley
Gina Constantino
Rusincovitch. F
Selden.Brenda
(202) 260-4070
(202) 260-4076
Campbell.Claudette (202) 260-8624
Pender.Pat
Poole.Janice
Carroll. Rosemary
Mcbride.Sharon
Hammiel.Bessie
Sewell. Darlene
Jones. Denean
Frazier.Toni
Scott.Blanche
Rosenberg.W
Davis Elmira
Roddy. Dawn
Bailey.Liz
Whitfield. G
White. F
Holley.J
Constantino.G
(202) 260-4057
(202) 260-5044
(202) 260-7640
(202) 260-1063
(202) 260-4048
(202) 260-4865
(202) 260-4575
(202) 260-4126
(703) 305-7777
(202) 260-9741
(202) 260-7418
(202) 260-7400
(202) 260-4993
(202) 260-4991
(202) 260-8809
(919)541-5620
(202) 260-3414
(202) 260-2635
(202) 260-8376
Communication, Education & Public Affairs (OCEPA)
~ Principal Contact	Sheri Johnson
Congressional & Legislative Affairs (OCLA)
~ Principal Contact
Susan Mulvaney
Johnson.Sheri
Mulvaney.S
(202) 260-5283
(202) 260-5420
Enforcement (OE)
~ Principal Contact
AAs Office
Off Civil Enforcement
Water Enforcement Division
Off Criminal Enforcement
Off Compl. Anal. & Prog. Operations

Off Federal Activities
Off Federal Facilities Enforcement
Bruce Rothrock
Helen Morrison
Robert VanHuevelen
Virgie Wiley
Martin Wright
Gerald Bryan
Richard Sanderson
Carolyn Lowe
Gordon Davison
Rothrock.B
Hunt.N
Wiley. Virgie
Bryan.Gerald
Flattery. D
(202) 260-3125
(202) 260-2532
(202) 260-4540
(202) 260-8180
(202) 260-5262
(202) 260-4140
(202) 260-5053
(202) 260-1385
(202) 260-9801
J
Printed on Recycled Paper

-------
(j?	





NAME
EMAIL
PHONE
General Counsel (OGC)




~ Principal Contact
William Stewart
Stewart.William
(202) 260-8880

Inspector General (OIG)




~ Principal Contact
Robert Thorlakson

(202) 260-2973


Michael J. Binder

(202) 260-4912

AAs Office
Kennetta Calloway

(202) 260-8970

International Activities (OIA)




~ Principal Contact
Carrie Pope
Pope.Carrie
(202) 260-4304

Policy, Planning & Evaluation (OPPE)



~ Principal Contact
Marilyn Smith Church
Church.Marilyn
(202) 260-4020

AAs Office
Elsie Windsor
Windsor. E
(202) 260-4020

Off Pollution Prevention
Joyce Morrison

(202) 260-4028

Off Policy Analysis
Roberta Lane

(202) 260-4034

Off Regulatory Mgmt & Evaluation
Barbara Willis
Willis.Barbara
(202) 260-4001

Pollution, Prevention & Toxic Substances (OPPTS)



~ Principal Contact
Thomas Hooven
Hooven.Tom
(202) 260-2906

AAs Office
Creavery Lloyd
Lloyd.C
(202) 260-2906

Off Program Management Operations
Alice Greene
Greene.Alice
(202) 260-2906

Off Compliance Monitoring
Connie McClain
OCM
(202) 260-5316

Off Pesticide Programs
Kris Pappajohn
Pappajohn.Kris
(703) 305-5316

Off Toxic Substances
Jan Peck
PeckJ
(202) 260-1841


Kathy Calvo
Calvo.Kathy
(202) 260-6229

Office of Program Mgmt & Evaluation
Joe Powers
Powers Joseph
(202) 260-1761

Reg'l Operations & State/Local Rel.




~ Principal Contact
Fredella Baylor
Baylor.Fredella
(202) 260-4719

Research and Development (ORD)




~ Principal Contact
Lois Riley
Riley.L
(202) 260-9139

Off Tech. Transfer & Regul.Support
Shirley Hamilton
Lucas.S
(202) 260-7891

Off Exploratory Research
Al Edwards

(202) 260-7445

Off Health Research
Patricia Edwards
Edwards. Patricia
(202) 260-5883

Off Envir. Processes & Effects Research Nancy Kawtoski
Kawtoski.Nancy
(202) 260-1392

Off Envir. Engineer. & Tech. Demonstr.
Charlotte Bercegeay
Jackson.Steve
(202) 260-2579

Off Health & Environmental Assessment Scottie Schaeffer

(202) 260-7311

Off Modeling, Monit Syst & Qual Assur.
Betty Maisonneuve
Palm. Paul
(202) 260-5781

Solid Waste and Emer. Response (OSWER)



~ Principal Contact
Lisa Jenkins
Jenkins.Lisa
(202) 260-7951


Bette Drury (contractor) Drury.Bette
(202) 260-6757

AAs Office
Marie Bell
OSWER.RMIS
(202) 260-4510

Off Chem. Emerg. Prep. & Prevention
Brenda Kenny

(202) 260-8600

Technology Innovation Office
Naomie Smith

(703) 308-8848

Off Emerg. & Remedial Response
Betti Van Epps
Vanneps.B
(202) 260-3339

Emergency Response-Division
Scott Maid
Maid.Scott
(202) 260-4671

Hazardous Site Control Division
Goerge Alderson

(703) 308-8318

Hazardous Site Evaluation Division
Delores Rodgers
Rodgers.Delores
(202) 260-8726

Office of Solid Waste
Barbara Roth
Roth.B
(202) 260-2858

*	
Lynn DePont
Depont.Lynn
(202) 260-2074
wJ

-------
M	!!	





NAME
EMAIL
PHONE

Off Underground Storage Tanks
Betty Arnold

(703) 308-8866

Off Waste Programs Enforcement
Chris Nugent
Nugent.Christopher (202)260-6127

Program Management & Support
William Boucher

(202) 260-9356

CERCLA Enforcement
Lisa Harris
Harris.L
(703) 308-8640

RCRA Enforcement
Debbie Villari

(202) 260-1787

Water (OW)




~ Principal Contact
Deborah Ross
Ross. Deb
(202) 260-0173

Immediate Office
Gloria Posey
Posey .Gloria
(202) 260-3983

Off Ground Water & Drinking Water
Peggy Moran

(202) 260-2436

Off Science and Technology
Denise Thomas
AED/OWRS
(202) 260-5376

Off Water Enforcement & Compliance
Judy Beale

(202) 260-5801

Off Wetlands, Oceans & Watersheds
Patricia Wilkins
Wilkins.Patricia
(202) 260-7045

National Records Management (NRMP) Program:



NRMP Program Manager
Mike Miller Miller.Michael-OIRM
(202) 260-5911

Headquarters RMO
Harold Webster
Webster.H
(202) 260-5912

Docket & Records Network Coordinator
Gloris Butler
Butler.Gloris
(202) 260-3639

Regl. Progr. Dir. for Records Mgmt
Sandy York (contractor) York.Sandy
(303) 680-6576

Records Support
Dozina Taylor (contractor) Taylor. Dozina
(202) 260-5926

Network Coordinator
Mary Hoffman (contractor) Hoffman.Mary
(202) 260-7762

Please contact Mary Hoffman (contractor), Network Coordinator,
about any changes or

corrections at FTS 260-7762 or E-mail box Hoffman. Mary. &



L	



J

-------
fa
Headquarters Records Management
Conference Registrants
March 17, 1992 Rosslyn, Virginia
Office of the Administrator
Darlene Sewell
Science Advisory Board (A-101)
(202) 260-4126
Office of Congressional & Legislative
Affairs
Pamela Abraham
OCLA (A-102L)
(202) 260-5425
Myrtle Lashley
OCLA (A-103)
(202) 260-5203
Susan Mulvaney
OCLA (A-103)
(202) 260-5420
Dmail: Mulvaney.S
Office of International Activities
Carrie Pope
OIA (A-106)
(202) 260-4304
Dmail: Pope. Carrie
Office of Administration and Resources
Management
Shuan M. Barbour
Safety, Health & Environmental Management
PM-273
(202) 260-1640
Tangie L. Brown
Safety, Heatlh & Environmental Management
PM-273
(202) 260-1640
Gloria J. Butler
OIRM/IMSD/IAB (PM-211D)
(202) 260-3639
Dmail: Butler.Gloris
Nokesha D. Camp
OHRM (PM-224)
(202) 260-3308
Vic Cohen
OIRM/ASD (PM-218)
(202) 260-3184
Dmail: Cohen. Vic
Bonnie Crittendon-Powell [contractor]
OIRM/IMSD/ISB (PM-211A)
(202) 260-8675
Dmail: Crittendon.B
Willie Evans, Jr.
OARM/SPMB (PM-215)
(202) 260-2147
Hony Fenderson
OIRM/ASD (PM-218)
(202) 260-5619
Brenda M. Gibson
OARM/OA/GAD (PM-216F)
(202) 260-5240
Michael H. Gorn
OARM/MOD (PM-213)
(202) 260-5004
Cheri M. Hembrey
OARM/OA/FMSD (PM-215)
(202) 260-6223
Greg Hendrix [contractor]
OIRM/IMSD/IAB (PM-211A)
(202) 260-5272
Dmail: Hendrix.Greg
1
Printed on Recycled Paper

-------
OARM (Continued)
Michael L. Miller
OIRM/IMSD/IAB (PM-211D)
(202) 260-5911
Dmail: Miller.Michael-OIRM
Ruby T. Pew
OIRM/IMSD/ISB (PM-211D)
(202) 260-3540
Dmail: Pew.Ruby
Karen E. Phillips
OIRM/ASD (PM-218)
(202) 260-5220
Lisa Reaves
OIRM/IMSD/IAB (PM-211D)
(202) 260-8710
Dmail: Reaves.Lisa
Mary Reid
OIRM/IMSD (PM-211D)
(202) 260-7853
Dmail: Reid.M
Deborah Ross
OIRM/IMSD/IAB (PM-211D)
(202) 260-1705
Dmail: Ross.D
Kenneth Schifter
OIRM/ASD (PM-218)
(202) 260-8284
Dmail: Schifter.Ken
Deborah Singer-Redner
NDPD (MD-34)
RTP(NC 27711
(910) 541-1487
Dmail: Singer.D
Dozina Taylor [contractor]
OIRM/IMSD/IAB (PM-211D)
(202) 260-5926
Dmail: Taylor.Doziria
James P. Thompson
PCMD/PCMB/SPMS (PM-214F)
(202) 260-2355
Dmail: Thompson.JP
Tonya Williams-Berkley
OHRM (PM-224)
(202) 260-3308
Office of Enforcement
Lorraine Clinton
OE (LE-133)
(202) 260-4134
Paula Hawkins
OFA (A-104)
(202) 260-5053
Helen Morrison
OE (LE-133)
(202) 260-2532
Terry Woods
OE (LE-133)
(202) 260-3125
Pearl E. Young
OE/OFA (A-104)
(202) 260-5076
Office of General Counsel
Jacqueline Brown
OGC-Air Docket (LE-131)
(202) 260-7548
Jacqueline Hawkins
OGC - Water Division (LE-132W)
(202) 260-7700
LaShan L. Haynes
OGC- Solid Waste Division (LE-132S)
(202) 260-7706
Sonia Etheridge
OGC -Solid Waste Division (LE-132S)
(202) 260-7706
Office of PoliVv. Planning & Evaluation
Theresa A. Anderson
OPPE/OPA (PM-221)
FTS 260-7019
2

-------
Pearline Hawkins
OPPE (PM-219)
(202) 260-4020
Leona Harris
OPPE/ORME (PM-223)
(202) 260-5480
Claudia Huntley
OPPE/OPA (PM-221)
(202) 260-8825
Carolyn June
OPPE/OPA (PM-221)
(202) 260-4034
Patricia A. Lyttle
OPPE (PM-219)
(202) 260-4332
Joyce Morrison
OPPE/OPD (PM-222)
(202) 260-4028
Lillian Pierce
OPPE/OPA (PM-221)
(202) 260-2753
Aurelia Pugh
OPPE/PED (PM-223Z)
(202) 260-5333
Darren Reid
OPPE/OPA (PM-221)
(202) 260-2689
Mardiko Smith
OPPE/IO (PM-219)
(202) 260-4020
Dmail: Smith.Mardiko
Deloris Swann
OPPE/OPA (PM-221)
(202) 260-2747
Barbara Willis
OPPE/ORME (PM-223)
(202) 260-4001
Iantha Winick
OPPE/IO (PM-219)
(202) 260-4020
Dmail: Winick.Iantha
Office of the Inspector General
Kennetta Calloway
OIG/OM (A-109)
(202) 260-8970
Juanita S. Cherry
OIG/OM (A-109)
(202) 260-4912
Office of Water
Sheila Hoover
OW/MSD/OWEC (WH-547)
(202) 260-7376
Murlene Lash
OGWDW/EPID (WH-550E)
(202) 260-7197
Stephanie Peters
Wetlands (A-104F)
(202) 260-7946
Gloria J. Posey
OW/IO (WH-556)
(202) 260-3983
Dmail: Posey.Gloria
Nome Walker
OW (WH-550E)
(202) 260-5522
nffi-.	Waste and
Emergency Response
Joe Action
OWPE (OS-505)
(202) 260-8113
Betty Arnold
OUST (OS-400)
(703) 308-8866
3

-------
QSWER (Continued)
Kathy Bruneske [contractor]
RCRA Docket Information Center (OS-305)
(202) 260-3986
Dmail: Bruneske.Kathy
Rosalind Carter
OSWER/IM (OS-110)
(202) 260-6760
Shushona Clark
OUST (OS-420)
(703) 627-0778
Bette Drury [contractor]
OSWER/IM (OS-110)
(202) 260-6757
Dmail: Drury.Bette
Jackie Eaton
OERR/HSED (OS-230)
(202) 260-8602
Dmail: Jeaton.HSED
Jack Frost
OSWER/IM (05-110)
FTS 260-6756
Dmail: Frost.J
Lisa Harris
OWPE/CRB (OS-510W)
(703) 308-8640
Lisa Jenkins
OSWEER/IM (OS-110)
(202) 260-7951
Dmail: Jenkins.Lisa
Cheryl T. Johnson
OUST (OS-400)
(703) 308-8850
Cheryl Jones
OUST (OS-420)
(703) 308-8859
Brenda L. Kenny
OSWER/CEPPD (OS-120)
(202) 260-8600
Dmail: Makris.J
Gil Lashowski
OERR/ERD/RSCB (OS-210)
(202) 260-8215
Sally Martiny
OSWER/CERCLA Enforcement (OS-510W)
(703) 308-8454
Thea McManus
OSW/CABD/CSB (OS-305)
(202)260-8818
Dmail: Mcmanus.Thea
Vivian Murdock
HSED/SAB (OS-230)
(202) 260-6357
Dorothy Peyton
OUST (05-410)
(703) 308-8855
Barbara Roth
OSWER/OSW (OS-305)
(202) 260-2858
Dmail: Roth.B
Annemarie Senol
Superfund Docket (OS-245)
(202) 260-9374
Barbara Telesford
OUST (05-410)
(703) 308-8853
Office of Air & Radiation
Lisa Adams
Indoor Air Division (AMR-445W)
(703) 308-8470
Glenda K. Colvin
OAR/OMS/FOSD (EN-397F)
(202) 260-2633
Sheena L. Dupree
OAR/OMS/FOSD (EN-397F)
(202) 260-9040
4

-------
OAR (Continued)
Anthony Erb
OAR (EN-340F)
(202) 260-6536
Gloris M. Furr
OAR/OAQPS/SSCD (EN-341W)
(703) 308-8664
Denisse W. Hackley
OAR (ANR-443)
(202) 260-7415
Diane C. Hamilton
Radon Division (ANR-464)
(202) 260-9622
Patricia Little
OAR/OMS/FOSD (EN-397F)
(202) 260-4410
Deborah McSwain
OAR/OMS (EN-340F)
(202) 260-9166
Leslie Y. Meadows
OAR/OMS/MOD (EN-340F)
(202) 260-2500
Dawn Roddy
OAR/OPMO (ANR-443)
(202) 260-4993
Evelyn Alston
OPP/PMSD/ISB (H7502C)
(703) 305-5058
Edward Berg [contractor]
OPP/FOD/PRPRB (H7506C)
(703) 305-5341
Patricia Brown
OPP/RD/IO (H7505C)
(703)305-5070
Gloria C. Feeney
OPP/EFED/EEB (H7507C)
(703) 305-7436
Barbara Garber
OPP (H7502C)
(703)305-6473
Donna Garner
OPP/PMSD/ISB/DMA (H7502C)
(703) 305-5362
Caroline C. Gordon
Opp/ HED/IO (H7509C)
(703) 305-6320
Michael E. Hardy
OPP (H7506C)
(703) 305-5232
Blanche Scott
OAR/OPMO (ANR-443)
(202) 260-7418
Dmail: Scott.Blanche
Joann Williams
OAR/OMS/FOSD (EN-397F)
(202) 260-6082
Angela R. Young
OAR/OMS/FOSD (EN397F)
(202) 260-2637
Office of Pesticide Programs
Behlanda Alexander
OPP/PMSD/ISB (H7502C)
(703)305-5259
Thomas G Harris
OPP/BEAD (H7502W)
(703) 308-8110
Dmail: Harris.TC
Elton Harrison
OPP (H7504C)
(703) 305-5440
Pam Harrison
OPP/HED/IO (H7509C)
(703) 305-7375
Earl Ingram [contractor]
OPP/FOD/PRPRB (H7506C)
(703) 305-5456

-------
OPP (Continued)
Darlene Jones
OPP/FOD/PRPRB (H7506C)
(703) 305-5344
Jeri Jones
OPP (H7506C)
(703) 305-5692
LaVerne D. Jones
OPP (H7502C)
(703) 305-6018
Susan Lawrence
OPP/FOD (H7506C)
(703) 305-5454
Kris Pappajohn
OPP/PMSD/ISB (H7502C)
(703) 305-5316
Richard B. Peacock
OPP/BEAD (H7503W)
(703) 308-8125
Vincent Sweeney [contractor]
OPP/FOD/PRPRB (H7506C)
(703) 305-5805
Eleanor Thornton
OPP/RD (h755C)
(703) 305-5447
Emil Usinger [contractor]
OPP/FOD (H7506C)
(703) 305-7450
Judith S. Vogt
OPP (H7509C)
(703) 305-6559
Deena Watson-Vann [contractor]
OPP/FOD/PRPRB (H7506C)
(703) 305-6434
Tim Williamson [contractor]
OPP/FOD (H7506C)
(703) 305-5488
Mick Yanchulis
OPP (H7506C)
(703) 305-6440
Office of Pollution Prevention
& Toxic Substances
Anita T. Allen
OPPT/ETD/IO (TS-779)
(202) 260-1731
Alphonso Ray Brown
OCM/LDIAD/PSCRB (EN342W)
(703) 308-8400
Frank V. Caesar
OPPT/IMD/CDB (TS-793)
(202) 260-0425
Kathy Calvo
OPPT/IMD (TS-793)
(202) 260-6229
Dmail: Calvo.Kathy
Anthony Cheatham
OPPT/IMD (TS-793)
(202) 260-1532
Dmail: Cheatham.T
James A. Combs
OPPT/IMD (TS-793)
(202) 260-6475
Gloria Drayton-Miller
OPPT (TS-796)
(202) 260-3462
Juanita A. Geer
OPPT/IMD (TS-793)
(202) 260-1532
Dmail: Geer.J
Cyrstal Hamlin
OPPT/EEB/DDB (TS-798)
(202) 260-3886
Vivian L. Hart
OPPT/HERD/TEB (TS-796)
(202) 260-1282
6

-------
OPPTS (Continued)
Ramona Hendley
Sineta Wooten
OPPT (TS-788)
OPPT/EED/DDB (TS-798)
(202) 260-2906
(202) 260-3886
Juanita M. Herman
Office of Research and Development
OPPT/HERD/CREB (TS-796)

(202) 260-3446
Lois B. Riley

ORPM (RD-674)
Angela Hofmann
(202) 260-9139
OPPT (TS—788)

(202) 260-2906
Judy Theisen

OHEA/TIS (RD-689)
Damon Johnson
(202) 260-7347
OCM/LDIAD/PSCRB (EN342W)
Dmail: Ranere.Michele
(703) 308-8400

Ted Jones
Region 3
OPPT (TS-796)

(202) 260-1502
Anna Butch

US EPA Region 3 (3PM20)
Judy Loranger
841 Chestnut Street
OPPT (TS-778)
Philadelphia, PA 19107
(202) 260-2281
(215) 597-6154

Dmail: Butch. Anna
Joanne Martin

OPPT/IMD (TS-793)
Annette Lage
(202) 260-3756
Central Regional Laboratory (3ES31)
Dmail: Martin,Joanne
8939 Bestgate Road

Annapolis, MD 21401
Georgianne T. McDonald
(410) 266-9180
OPPTS/IMD (TS-793)
Dmail: CMS22
(202) 260-4182

Clementine A. Diane Quarles
Elise J. Malinovsky
Central Regional Laboratory (3ES20)
OPPT/HERD/EEB (TS-796)
839 Bestgate Road
(202) 260-1237
Annapolis, MD 21401

(410) 652-2147
Doug Sellers

OPPT/IMD (TS-793)
National Archives and Records
(202) 260-3587
Administration
Dmail: Sellers.D

Michael Anderson
John Sullivan
NARA
OPPT/IMD (TS-790)
Office of Records Administration
(202) 260-4183
Agency Services Division
Timothy E. Thomas
7th & Pennsylvania, N.W.
Washington, DC 20408
OPPT/IMD (TS-793)
(202) 501-6013
(202) 260-1442
7

-------
Trudence Glenn
NARA
Agency Services Division
Washington, DC 20408
(202) 501-6017
Washington National Records Center
Robert Sistare
National Records Center
4205 Suitland Road
Suitland, MD 20746
(301) 763-7634
Other
Bonnie Benjamin
ATLIS Federal Services
5011 Executive Boulevard
Rockville, Md 20852
(301) 770-3000
Carol Einspruch
Booz, Allen & Hamilton
Office # South 1023
4330 East-West Highway
Bethesda,MD 20814
(301) 951-2994
Beverly P. Pollard
Pollard and Associates
HRD Training Consultants
2300 South 24th Road
Arlington, VA 22206
(703) 486-0804
Speakers
Daiva Balkus
IMSD (PM-211D)
(202) 260-5914
Dmail: Balkus.D
Bette Drury [contractor]
(see full listing under OSWER)
Don Flattery
OARM (H3201)
(202) 260-3581
Dmail: Flattery.Don
Jack Frost
(see full listing under OSWER)
Linda Garrison
IMSD (PM-211D)
(202) 260-6939
Dmail: Garrison.Linda
Michael Gorn
(see full listing under OARM)
Greg Hendrix [contractor]
(see full listing under OARM)
Tim Hinds
NDPD (MD-34)
RTP, NC 27711
(919) 541-3584
Dmail: Hinds.Timothy
Mike Miller
(see full listing under OARM)
Brigid Rapp
IMSD (PM-211D)
(202) 260-8710
Dmail: Rapp.Brigid
Lois Riley
(see full listing under ORD)
Geoff Steele
IMSD (PM-211D)
(202) 260-5636
Dmail: Steele.Geoff
Harold Webster
(see full listing under OARM)
Phil Wirdzek
OARM (PM-215)
(202) 260-2085
Dmail: Wirdzek.Phil
8

-------
The NARA
Evaluation at
Headquarters
by Michael L. Miller, IMSD
This is a summary of Mike Miller's presentation which was
intended to inform conference attendees of the results of the
NARA evaluation, to explain the response process and the role
of the EPA program staff in it, and to provide some examples of
records management activities.
EPA's Administrator recently received the National
Archives and Records Administration (NARA) evaluation
of EPA's overall management of its records program.
During 1990 NARA visited 65 sites at Headquarters,
Regional and field offices, paying special attention to the
maintenance and disposition of Superfund, contractor
and electronic records. Their overall finding was that
proper records management practices are implemented
inconsistently throughout the Agency.
EPA agrees that NARA's findings are reasonable,
involving things that the Agency should have been doing
all along because they constitute good records
management practices and because they are required in
the regulations covering records management. The
Agency has already begun work on some of the
deficiencies. There is a plan in place to address the rest
of the things noted in the evaluation - it will form the basic
framework of the response. The plan will equitably
distribute the burden of the work and should contribute to
solving other problems. Investment of time and energy by
program offices will be needed to get the effort off the*
ground.
Summary of the NARA Findings
NARA presented 36 major recommendations, some
with significant subparts. The five major areas covered by
the recommendations are:
~	Overall Program Management (8 recommendations).
~	Records Creation and Maintenance (10).
~	Records Disposition (6).
~	Contractor and Superfund Records (6).
~	Electronic and Nontextual Records (6).
EPA has problems typical of a new agency that is
information intensive. Where does records management
work well now? In established programs like permits and
regulations. Where does it work poorly? In innovative
programs involving multiple offices, and in decentralized
programs where professional staff create and maintain
most of the records. There are also common problems
across programs such as management of electronic
records.
What kinds of responses are required? Eight involve
improving policy and guidance, ten communicating policy
and requirements more clearly, and the rest improving
operational performance of records management
activities.
EPA Program Strengths
1.	Staff ignorance about good records management
practices can be eliminated through better
communications. At the time of the evaluation EPA staff
were poorly informed. Further, the lack of information
caused problems to appear much worse than they are.
The agency's most important records are in far better
shape than agency records managers thought.
2.	New space promotes better management. As
program offices move into "new space" they are forced to
cleanup and consolidate files.
3.	A communications network is in place to facilitate
the dissemination and sharing of important information.
4.	Infrastructure investment in the policy arena has
begun with the revision of disposition schedules.
5.	Regional and Superfund investments in records
management are paying dividends via the technology
transfer of products like the Regional procedures
manuals and automated disposition schedules.
A Mutual Problem
Records Management is a mutual problem. The
Office of Information Resources Management (OIRM) will
take primary responsibility for 15 of the recommendation
items that relate to the provision of policy and guidance
on audiovisual, electronic and microform records. OIRM
will take the lead on 13 additional items, such as the
issuance and implementation of a policy affirming the
disposability of paper after filming. Programs will take the
Continued on page 7
1NFOACCESS
]UNE 1992

-------
...EPA agrees with NARA's findings...
lead on 9 items. They will implement file cut/offs and file
breaks, and implement existing policy and guidance.
Programs will also take primary responsibility for 12
additional items such as the inspection of contractor-run
facilities to make sure they conform to regulations.
•» OIRM's Role
The Office of Information Resources Management
will provide agencywide leadership, develop policy and
guidance, provide technical advice agencywide,
communicate records management policy and
provide technical expertise. They will also coordinate the
overall response to the evaluation. OIRM will provide
special support to Headquarters staff, especially in the
area of records retirement, coordinate training classes
and training visits for program staff, and conduct briefings
on records management responsibilities, the importance
of filing, NRMP services, and records retirement.
•» Program Role
Program managers will be expected to invest in the
records management program by providing staff to do
(records management, by providing necessary training,
and allowing the staff time to do the work. They will also
be expected to:
~	Expand on guidance as needed.
/ Support communications.
~	Implement the recommendations.
What does this mean in real life? Using records
disposition as an example, contractor analysis shows that
there is a great potential for improvement and a high
level of benefit in improving records disposition. NARA
has recommended the following improvements in the
area of disposition:
~	Inventory of the records; OIRM will provide the
forms and the programs will take the lead in inventorying
the records.
~	Organize the disposition schedules: this was an...
OIRM responsibility that is mostly completed.
~	Review schedules annually; program does the	
review and OIRM edits the input.
~	Apply the schedules; program responsibility.
~	Inform the employees of the laws; OIRM
responsibility.
~	Reexamine the disposition schedule approval	
process; OIRM responsibility.
OSWER is already following this plan working with RCRA
and Superfund records.
Developing an Action Plan
Each major program at Headquarters will develop its
own action plan within the framework of the Agency's
overall response. OIRM will provide the overall Agency
response and target dates plus the OIRM actions
needed. Programs will then identify the actions that need
to take place in their offices and develop an action plan to
address them.
Next Steps
Here is the process for the next steps in providing an
agencywide response to the NARA evaluation:
~	The report is sent to the Administrator.
[Received in March 1992]
~	The agency provides action plans within 90 days
of receipt of the report. [Due June 26,1992]
/ A call for action plans is sent out.
[Sent April 27,1992]
~	The records management staff establishes a
consensus, ratifies and integrates the plans at.
the Chicago meeting on June 9 and 10,1992.
~	Collect Regional and Headquarters plans.
[Due June 26,1992]
~	Respond to NARA for the agency.
NARA will monitor the Agency's progress as it works
through the steps listed in the action plan. *
y
Coming in future issues
of INFOACCESS:
~	Report on the June
working meeting In
Chicago.
~	Records Management
Policy Framework.
*	i
JUNE 1992
7
INFOACCESS

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Region 4: Getting
Records to the FRC
In Atlanta, Doug Haire
(contractor), Regional Records
Manager, has been working to
improve Regional relations with
and transfer of records to the
Federal Record Center (FRC).
Regional staff met with the
director of the Regional FRC in
April to discuss several issues,
including FRC's customer
service. One result of that
meeting was that the FRC
offered to send a vehicle to pick
up records at the EPA Regional
Office and transport them to the
FRC facility. This is one way for
the FRC to stimulate use of their
facility. Traditionally one of the
biggest concerns expressed
about using the FRC to store
records is the ability to retrieve
records in a timely fashion.
Region 4 hopes that their
dialogue with the FRC can
improve their level of customer
service and ensure that inactive
files are removed to storage in a
timely and effective manner. If
you are interested in Region 4's
efforts and would like more
information, call Doug at (404)
257-2416.
Region 10: Rainbow
System
The Rainbow System
[RCRA Records Center File
Structure] is an internal, color-
coded file system designed by
Margaret Hughes (contractor),
RCRA Records Center, for the
RCRA facility site files. The
system is simple and user-
friendly, making it easy to insert
and retrieve documents. Files
are arranged in chronological
order within the color scheme.
The File Control Sheet (FCS)
Guide, which was developed by
RCRA Records Center staff,
lists the sections to assist those
who use the system.
Around
the
Records
Network
This section of INFOACCESS is used
to report on upcoming meetings and
projects currently underway in the
Regions, Laboratories, and
Headquarters. Anyone with
contributions for this column should
contact Mary Hoffman (contractor),
Network Coordinator at
(202) 260-7762.
After the Rainbow System was
implemented in Seattle, it was shared
with the EPA Operations Offices in the
Region. RCRA staff in Anchorage,
Alaska became interested in converting
their files to the system when they heard
about it. The beauty of the system is that
it is also flexible, or adaptable to other
uses within EPA or outside the Agency.
The Air and Toxics Section in Region 10
has adapted the system to manage its
documents. If you have questions about
the system, or would like a copy of the
Guide, you can contact Margaret at (206)
553-6687; Dmail: Hughes.Margaret.
Headquarters Office of
Underground Storage Tanks:
Centralized File System
Staff working in the Office of
Underground Storage Tanks (OUST)
realized that they needed a
centralized file system when it became
difficult to find documents to answer
inquiries. Shonee Clark, who was asked
to design a new filing system, began
by reviewing plans for a system that
had been done a few years earlier
and never implemented. After
consulting with Harold Webster and
Mike Miller from the Information
Management and Services Division,
and the records manager from the
Office of Solid Waste and Emer-
gency
Response, she modified and
streamlined the plans for that system
to make it fit the needs of the office.
The new centralized file is
primarily a CHRON (chronological)
file of memos and controlled
correspondence from the Director,
Deputy Director, and Branch Chiefs,
as well as congressional responses.
It includes subject files with headings
such as State Program Approval,
Leak Detection, Corrective Action,
and Total Quality Management, to
name a few.
Part of the implementation of the
new system included dealing with
the records in the current file system.
Shonee developed an indexing list,
noting the retention information for
their documents. She then retired all
the old files that had accumulated in
the office, and identified and
classified the ones that were left.
Her next step was to train the
secretaries responsible for
maintaining the system. She made
sure that they attended records
management training offered by
IMSD to get the big picture, and then
offered training focused on office-
specific issues. Shonee emphasized
the importance of training the
professional staff to give their
documents to the secretaries for
inclusion in the centralized files.
OUST's centralized file system
is working well now. The staff can
easily respond to questions because
the documents can be located
easily. It was a lot of work, but the
staff feel that it is definitely worth the
effort.
•Sb Mary Hoffman (contractor),
Network Coordinator
INFOACCESS
JUNE 1992

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NARA Training
Scheduled
"Introduction of Records
Management" is a basic 1-day course
aimed at those who want a quick
overview of how to manage records.
Likely participants include new
records managers, supervisors, and
others responsible for establishing or
implementing a records
management program. The course is
directed primarily toward
employees of the Federal
Government, but it is also open to
Federal contractors and to
employees of State and local
governments and international
organizations.
Like other NARA training, this
course has three main goals: 1) to
prepare employees to carry out their
records managment responsibilities;
2) to improve agency records
programs, and 3) to ensure that
permanent records receive proper
care and timely transfer to the
National Archives. It is specifically
designed to explain the process of
identifying records and the concept
of recordkeeping requirements, and
sugggest steps for new records
managers to take.
The course will provide an
"executive summary" of these topics,
encourage discussion of important
questions and issues, and furnish
participants with reference material
and with suggestions for followup
action.
An upcoming class is on
September 17. The cost is $125 per
person. To register, send a training
form through authorized agency
officicials to:
Training Registration
Agency Services Division (NIA)
National Archives
Washington, DC 20408.
Reprinted from RECORDFACTS
UPDATE, Spring 1992, a newsletter
published by the National Archives
and Records Administration. &
JUNE 1992 H INFOACCESS

Headquarters Update
Records Management Council Bimonthly Meeting
The Headquarters Records Management Council met on Thursday, May 21,
1992, for its regular bimonthly meeting. Agenda items included storage of
records in the EPA warehouse, the NARA evaluation response, the draft
records disposition schedules and other topics. Most of the discussions
centered on developing a strategy for reviewing records that have been
retired to the second floor warehouse for temporary storage. The next
meeting of the Council will be in July.
Regional Teleconference
Records managers from Regional, laboratory, and field offices participated
in a May 19,1992 teleconference sponsored by the Information
Management and Services Division (IMSD). The primary topics of
discussion were the NARA evaluation, the upcoming Chicago meeting, and
suggestions for draft records disposition schedules.
NARA Evaluation Distributed
Information Management and Services (IMSD) staff distributed the National
Archives and Records Administration (NARA) evaluation to the Senior
Information Resources Management Officers (SIRMOs), Laboratory
Directors, and records managers. The evaluation package contained a
memorandum, copy of the evaluation report, instructions for completing
action implementation plans, and information about a records management
working meeting. Records managers will meet in Chicago during the second
week in June to discuss the direction the Agency should take in responding
to the evaluation, developing records disposition schedules, and
coordinating file plans. Programs have until June 26,1992, to respond to
the evaluation.
Disposition Schedules
IMSD distributed copies of 100 new and revised records disposition
schedules for informal comment by the Agency's records managers. The
schedules cover a wide variety of administrative and program records
maintained in both Headquarters and Regional offices. The schedules will
be reviewed and discussed at the records management working meeting to
be held in Chicago on June 9-10,1992.
Records Management Training
The next scheduled workshop for records management will be held on
August 26-27,1992. The two-day training session, sponsored by the
National Records Management Program (NRMP), will be held at the EPA
Education Institute located at Waterside Mall In Washington, DC. The
workshops are targeted for administrative officers and assistants,
secretaries, clerk-typists, and other staff responsible for the management
and maintenance of records. If you would like to know more about the
training, contact Harold Webster, IMSD, at (202) 260-5912, or Debora
Dorsey, Office of Human Resources Management, at (202) 260-6678. #

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((
Meeting Customer Needs:
A Records Management Survey
During the session on meeting customer needs,
conference attendees were asked to discuss and
report on the effectiveness of various elements of the
records management program at EPA. The National
Records Management Program (NRMP) staff wanted
to identify the information needs of the group they
asked, "What is one thing about records
management that you would like to see explained
more clearly?" The discussion showed there is a
consensus among Headquarters staff about the need
for additional information and guidance on topics
like scheduling, filing, archiving, conversion of paper
documents, and applying technology such as
imaging.
Communications
NRMP feels that it has a great deal of
information to communicate to Headquarters
program staff. It uses a variety of mechanisms to
disseminate the information, including newsletter
form [/NFOACCESS], pamphets, briefings,
publications, and other means. The survey form
asked "How many people have heard or or used any
of our communications tools? In their discussions
about communications needs, one fourth of the
attendees said that they were familiar with NRMP
records management products.
Training
The Information Management and Services
Division (IMSD) currently offers a two-day records
management training session through the EPA
Institute. The class provides a broad overview of
records management responsibilities, file
classification systems, records retirement, and other
topics. Discussions revealed that less than 10% of the
group had attended any records management
training, although most felt that additional training
would help them do a better job.

Records Retirement
Retiring records to the Federal Records Center (FRC)
in Suitland is an important part of the
Headquarters records management program. Even so,
many programs do not retire records to the FRC, so
NRMP felt it was important to find out what problems
the programs have with records
retirement. So the first question in this area was "How
many people belong to programs that retire records to
the FRC?" The answer was that
approximately 25% of the participants said that their
programs retired records to the Federal Records Center,
but an even larger percentage had no idea whether their
program retired records or not.
Files Maintenance
When asked about their worst filing problems,
several concerns echoed through the room:
~	Space	~ Time
~	Staffing	~ Indexing
~	Retention schedules ~ File plans
The comments made during this session
emphasized the records manager's need for
additional guidance and support. Despite IMSD's
extensive communication efforts, more needs to be done
to reach the wide Headquarters audience. NRMP staff
will analyze the comments made during the session and
use them to plan a strategy for supporting records
management efforts at
Headquarters.
# Mary Hoffman (contractor) Network
Coordinator
4
INFOACCESS
10
JUNE 1992

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EPA Records Managers and the Federal Records Center
Using the Federal Records Center: A Guide tor Headquarters Staff provides program managers with a records
.management tool for better information management. It contains step-by-step instructions to guide managers and staff
through the records retirement process. Here are answers to some of the most frequently asked questions and where
they are found in the Guide.
How do I prepare the boxes ?
See page 5 for tips on screening the
records for non-record materials,
arranging the folders (letter or legal
size), labeling the folders, and placing
the files in their proper order.
•» Where do I get records
retirement boxes?
Look on page 7 to find out that boxes
are on the General Services
Administration (GSA) procurement list
and are available in the EPA
Office Supply Store.
•» How do I prepare a box list?
Begin with Box 1 and continue on until
all boxes are listed. You can refer to
the example on page 7.
•» How do I mark the boxes?
See page 8 for directions. Use blunt-
jtip black markers to write letters
about 1 inch in height. Make the
notations very clear and do not use
labels. Follow the example shown in
Sample 1.
•» How do I complete the forms?
Page 10 lists contacts who can
provide assistance. Call Harold
Webster at 260-5912 for more
information on the forms.
•» How do I ship and pack the
records for delivery to the Federal
Records Center (FRC) ?
Consult page 13 to find out that you
need to take the following steps:
Obtain an accession number for the
records. Complete forms - the SF135
Transmittal Form and Facilities
Services Request Form 5100 - prior
to shipping the records to the FRC.
[There are samples of the SF 135 and
EPA Form 5100 in the Guide.]
•» How do I retrieve my records
from the Federal Records Center?
See page 15 for a sample of Optional
Form 11, the form needed for
records retrieval. Keep in mind that
retrieving folders is quicker than
recalling entire boxes of records.
Who do I contact at EPA for
assistance?
The National Records Management
Program staff can help with your
records management questions.
They are located in the Information
Management and Services Division
(PM-211D), U.S. Environmental
Protection Agency, 401 M Street,
SW, Washington, DC 20460.
If you would like a copy of Using
the Federal Records Center, contact
Harold Webster [Dmail - Webster.
Harold] at (202) 260-5912. *
((Using the Federal Records ^
Center (FRC): A Guide for
Headquarters Staff, Information
Management and Services
Division, July 1991.
EPA/IMSD/91-004 J
NARA Announces Latest FRC Cost Savings Figures
U.S. taxpayers can avoid an
average cost of $19.58 per cubic
foot of storage space when agencies
store records in Federal Records
Centers, according to a notice
released January 15 by the National
Archives Office of Federal Records
Centers.
This figure, calculated annually,
is essentially the difference between
the cost of storing records in office
space and the cost of storing them in
a records center. For fiscal year
1992, the cost of storing records in
the office space was determined to
be $21.19 per cubic foot, based on a
cost of $20.66 per cubic foot of office
space, plus $0.53 per cubic foot,
annually, for storage in a typical five-
drawer filing cabinet ($160.02
divided by 7.5 cubic feet per cabinet,
equaling $21.34, and amortized over
40 years.)
Meanwhile, the cost of FRC
storage was determined to be only
$1.61 per cubic foot, based on a cost
of $1.49 per cubic foot of storage
space, and $0.12 for shelving,
assembly, transportation, and
storage materials ($4.88 per cubic
foot, amortized over 40 years). The
result Is an overall cost avoidance
of nearly 94 percent!
Since FRC storage is free to
agencies, these figures reflect cost
avoidances for taxpayers rather than
agencies. Agencies avoid the
entire $21.29 cost per cubic foot
In budgetary terms. Also, these are
average figures; the savings gained
by a particular agency or office will
vary depending on the cost per
square foot of the office space, the
type of storage equipment used, the
amount spent by the agency on
staffing and maintenance to support
the records, and other factors.
It should be noted that in order
for these substantial cost avoidances
to be fully realized, agencies must
have comprehensive and accurate
records disposition schedules in
place and implement them properly.
Reprinted from the Spring 1992
issue of RECORDFACTS UPDATE,
published by NARA. *
JUNE 1992
1?
INFOACCESS

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Role of the National Archives in the
Management of Electronic Records
by Bruce Ambacher, National Archives and Records Administration
A
Within the past decade the Federal Government's
use of computers has increased dramatically. Currently
there are more than one million personal computers in
use in Federal agencies. Agencies collectively spend
several million dollars each year on automation-related
activities.
The Environmental Protection Agency's experience
in this area parallels that of other Federal agencies.
Automation continues to provide significant benefits for
routine administrative work. Program functions, however,
have benefitted the most from automation. It is difficult to
remember the time before EPA had word processing,
electronic databases, electronic tracking systems,
geographic information systems, and automated public
inquiry systems.
Over the past several years the National Archives
and Records Administration (NARA), the repository for
permanently valuable Federal records including
electronic records created by (and for) Federal agencies,
has been expanding its electronic records program. This
reflects a growing concern regarding the expanding
creation and use of electronic records in an ever-
widening range of Federal activities. It also reflects
agency requests for additional guidance and assistance
in this area.
One aspect of NARA's efforts to expand its electronic
records program was to expand its understanding of the
extent and type of current uses of computers in Federal
agencies. In 1985 NARA commissioned the National
Academy of Public Administration (NAPA) to provide an
analysis of the extent, impact, and implications of the
current use of computers in Federal agencies for keeping
records used to document and communicate policy, the
traditional heart of any agency's records. NAPA's report,
The Effects of Electronic Recordkeeping on the Historical
Records of the U.S. Government, issued in 1989,
provided nineteen recommendations for action, as well
as additional insight and approaches for interacting with
agency personnel in this area.
In 1988 NARA created the Center for Electronic
Records (NNX). Kenneth Thibodeau is the Center's
Director. The Center is responsible for appraising,
accessioning, preserving, and providing access to
Federal electronic records. With an expanding staff in the
Center's two branches, the Archival Services Branch,
and the Technical Services Branch, the Center has
accelerated its efforts to schedule, appraise, and
accession those electronic records with long-term value.
It has begun to notify agencies of electronic records that
are eligible for transfer to NARA. The Center also has
prepared two general infprmation leaflets which provide
information about the Center and its programs, and about
the electronic records available for prospective
researchers.
The Center is also involved in updating Federal
regulations relating to the physical maintenance and
transfer of permanent electronic records. To this vein, the
Code of Federal Regulations is being revised to permit
agencies to transfer electronic records on 3480-class
tape cartridges, in addition to open-reel magnetic tape.
Regardless of the transfer medium, the Center will
continue to return the agency's input medium once it has
created new master and backup tapes.
NARA's Center has also increased its participation in
multi-agency committees, activities, and programs both to
increase its visibility and to learn more about current and
planned uses for electronic records in Federal agencies.
One example ol this is NARA's participation as a member
of the Federal Geographic Data Committee (FGDC), to
which EPA also belongs. Established under the revised
Office of Management and Budget Circular A-16,
Coordination of Surveying, Mapping, and Related Spatial
Data, the FGDC functions as an interagency committee
to promote the coordination, development, use, sharing,
and dissemination of geographic data. NARA's special
interests are the development and maintenance of
standards for producing, sharing, and storing digital
geographic information; data exchange and classification
standards, especially the Spatial Data Transfer
Standards; and data maintenance. The FGDC is acting
on EPA's offer to revise its Resource and Guidance
Manual for Identifying and Reporting EPA's Mapping
Requirements into an FGDC manual on available Federal
geographic data products.
The National Archives' Center for Electronic Records
seeks to expand its interaction with Federal agencies, to
provide additional assistance in scheduling and
appraising an agency's electronic records, and to
promote timely transfer of those electronic records
determined to have long-term value for the government.
Its reference staff is well-equipped to provide researchers
with electronic records in a cost-effective manner. To
arrange transfers to the Center or to obtain additional
information contact Michael L. Miller, Program Manager,
EPA National Records Management Program, at (202)
260-5911; dmail: Miller.Michael-OIRM.
Part One of this article appeared in the April issue of
INFOACCESS. It outlined the criteria NARA uses to
appraise electronic databases. $
INFOACCESS mWm JUNE 1992

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