United States
Environmental Protection
Agency
Information Resources
Management
(3404)
EPA 220-N-93-037
Issue Number 36
December 1993
8-EPA INFO ACCESS
Records Network Communications
In this Issue ...
Electronic Forms Systems
Analysis and Design
p. 3—4
Progress at
AWBERC
p. 4
Legal Requirements
for Imaging Systems
p. 5
Front Page News
p. 6
Records Management
Survey Results
p. 6
Tip of the Hal
p. 6
Headquarters Update
p. 7-8
Around the Network
p. 10-11
Imaging Sessions
p. 12
The Future Is Now by Michael L. Miller, Agency Records Officer
Records Management Is Hot!!
Whether by choice or by chance,
programs are flocking to records
management. The success of records
management Agency-wide is
illustrated by the box on page 2. The
tide is turning. Records managers
who felt that they were struggling for
recognition and acceptance are now
struggling just to keep up with the
work load. Recognizing that
implementation is still uneven and
that the battle is far from won, we can
all take great pride in the progress we
have made in recent years.
So where do we go from here? I
submit that we are getting a handle on
the past. Cincinnati inventoried and
scheduled over 4,000 feet of old
records. Region 5 cleaned up 2,500
feet in commercial storage.
Headquarters retired over a mile of
old records in FY93 alone. And so
on. But if records management and
records managers are to be real
players in the future, we need to help
the Agency address its current and
future records issues now, and not
wait until 2000 to solve 1994's
records problems. That means
squarely addressing the electronic
records management issue.
Records Management Goals
To lead us in that direction, 1 offer
the vision statement in the box on this
page. To implement that vision
statement, I propose two goals for the
records management program and
records managers across the Agency:
1. Assist the Agency in making the
transition from keeping its official
Continued on page 2
Vision Statement
The Agency:
Creates adequate and proper
documentation of its decisions and
activities, and
Manages and maintains the
documentation in a cost-effective
manner throughout its life cycle.
The Records Management
Program:
Ensures that the documentation is
complete and concise, consistently
maintained, and compliant with all
requirements.
Printed on Recycled Paper
-------
The Future Is Now from page i
records in paper-based systems
to maintaining them on
automated information
systems, thereby maximizing
the investment in information
technology.
2. Empower programs to manage
their own records within the
parameters established by
Federal regulations and
Agency policies and monitor
their success in doing so.
Electronic Records
I regularly meet with my
counterparts in other Federal
I Overall Indicators
f ~ Total footage for records retired is
up from 3,695 to 5,704 at
Headquarters.
I ~ Regional retirement totals
increased to over 5,300 feet in
FY93.
| ~ Nine of ten Regions have active
Regional records programs, up
from only four Regions three years
ago.
1 ~ Ten of twelve Headquarters
AAships have records management
programs, up from one three years
ago.
| ~ AH Regions and all but one
| AAship have developed, or are
actively developing, records
management action plans in
response to the National Archives
and Records Administration
evaluation.
agencies as well as staff from the
National Archives and Records
Administration (NARA). To my
knowledge, no Federal agency has
addressed all aspects of electronic
records management successfully.
Our Agency can and must. We are
too reliant on our data not to.
Besides, if we are going to lead the
way in waste minimization for
paper, we need to be able to assure
our management that they do not
need a paper backup for everything.
At this point no records manager is
comfortable with keeping only
electronic documents or
eliminating all paper copies.
Program Initiatives
~ OARM and OE records
management studies
~ Expanded docket activity
~ Document security and records
management training in OPPT
~ Imaging initiatives in Superfund
and Region 6
~ Systematic records awareness
training in OPPE, ORD, and
Cincinnati
~ Expansion of records management
from Superfund to RCRA in
Regional offices
~ Records training for office
managers in OSW
~ Systematic file plan development
and conversion in OSWER
~ Major new records management
initiatives in ORD, OAR, and
Cincinnati
The question is: What do we
need to do to get to that point?
The insert titled "Records
Management Strategy" outlines
both strategic and tactical plans
for accomplishing this goal. The
first two steps are creating the
policy framework to support
maintaining our records
electronically and conducting an
inventory of all of our records to
identify what information
resources can and should be
maintained in some medium other
than paper. Because it is so
crucial for the future of the
records program, the records
inventory will be the key Agency-
wide records management activity
in FY95.
Empowering Programs
EPA has always felt that those
closest to the action should have
maximum flexibility and authority
to resolve the issues. This is as
true for records management as it
is for any other function. The
National Records Management
Program (NRMP) is committed to
providing records managers across
the Agency with the policy,
training, and tools they need to do
their jobs. The NRMP's FY94
plans for empowering programs
are included in the "Records
Management Strategy." If you
know of areas where you would
like more flexibility or authority,
please contact me by telephone at
202-260-5911, fax at 202-260-
3923, mail at Mail Code 3404, or
All-in-1 at MILLER.MICHAEL-
OIRM with your suggestions.
• ft «
FY93 Records
Management Highlights
INFO ACCESS
DECEMBER 1993
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Electronic Forms Systems Analysis and Design
GSA Document No. KMP-92-6-R, August 1993
This new publication by the General Services
Administration is intended to provide Federal forms
analysts with information on how to analyze
electronic forms systems and design electronic
forms. It explains what electronic forms and
electronic forms systems are, how they differ from
manual analysis and design, and the benefits of
electronic forms management. The following
provides a brief summary of the major chapters.
Electronic Forms Systems—"Electronic forms are
non-paper machine-readable forms created by forms
analysts with the aid of forms design software.
Electronic forms may be stored on and retrieved
through compatible computer systems." Electronic
forms systems are the resources needed to develop
and complete the electronic forms. This includes the
software used for development of the forms on the
forms analyst's computer and the software used for
completion of the forms on the user's computer. It
may also include related databases used to provide
information for the forms as well as graphics
software, optical scanners, and fonts and printers.
Characteristics of electronic forms, input and
output, and the system environment are discussed in
the second chapter. A system environment can be
"open" to the general population, "closed" to the
general population, or "embedded" (that is,
integrated with other software systems). All of these
factors are important parts of a total electronic forms
system.
Principles of Analysis and Design—Many of the
principles used to analyze and design paper forms are
the same for electronic forms, but there are important
differences. Chapter 3 compares procedures for
manual and electronic forms and what some of the
considerations should be when designing electronic
forms. It also includes some of the benefits of the
electronic format, such as on-line help screens and
instructions for easy user access.
Evolution of Electronice Forms Design Software—
The rapid evolution of technology has had an effect
on forms analysis and design, beginning with
preprinted specialty forms for high-speed printers,
through word processing and computer-based
systems, to systems based on database management
systems (DBMSs). The greatest potential for savings
with the use of database management systems is
entering the data only once, thereby reducing data
entry errors.
Procedures & Systems for Creating Electronic
Forms—This chapter discusses the components of a
typical system and methods for transfer of existing
forms. Creation of forms also includes the design of
user aids, design aids, and completion aids. User
aids may include help messages and menus, and
design aids may include such things as form grids,
rulers, style features, and graphics. Techniques such
as help screens, form mapping, check boxes, edit
checks, and the like, can be included to aid the user
with form completion.
Systems Operations—There are a number of life
cycle issues related to electronic forms which will be
familiar to records managers. Distribution, retrieval,
forms completion, updates, retention, and disposition
considerations must be addressed whether forms are
created manually or electronically.
Authenticating Electronic Forms—Issues of
security and confidentiality are of concern for
electronic forms as with all records. Authenticating
electronic signatures has been a particularly thorny
problem which is currently being addressed on a
national basis by the National Institute of Standards
and Technology (NIST). To be effective,
Continued on page 4
DECEMBER 1993
3
INFO ACCESS
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Electronic Forms from page 3
authentication programs must be
part of an overall security
program. EPA has already
approved a policy for the use of
electronic signatures for internal
documents.
Benefits of Forms Automation—
Benefits of automating forms are
detailed in Chapter 8. They
include both quantifiable benefits
such as faster, more accurate data
entry, and non-quantifiable
benefits such as better control over
forms and forms design. There is
also a checklist of benefits and
cost savings in Appendix E.
Appendices—Other appendices
include a glossary of terms, forms
management authorities, standards
and guidelines, and information
on requirements analyses.
Copies of the publication can be
obtained from:
General Services Administration
IRM Reference Center,
Room 1231
18th and F Streets, NW
Washington, DC 20405
202-501-4860
For more information
concerning EPA's electronic
signature policy and the use of
electronic forms in EPA, contact
Geoff Steele. His telephone
number is 202-260-5636, or he can
be reached at Mail Code 3404 or
via All-in-1 at STEELE.GOEFF.
0 0 0
Progress at AWBERC—Or,
What a Difference a Year Can Make!
The Andrew W, Breidenbach Environmental Research Center
(AWBERC) in Cincinnati held its first annual Records
Management Awareness Week on October 18-22. There were
banners, buttons, and lots of handouts. Over 100 people
participated in the "Overview of the EPA Records Program" by
Mike Miller and the presentation on the Dayton Federal Records
Center by Jim Hurst. Later that day Mike and Lois Riley from the
Headquarters Office of Research and Development met with the
AWBERC Records Committee, the IRM Division, and Lab
Directors. On the following day, Mike presented in-depth
training for over 150 scientists. Inspired by the success of this
first awareness week, the Record Management Committee has
already started making plans for next year.
The Records Management Awareness Week is one of many
. milestones the AWBERC records program has reached this past
year. Here are some of the others:
Record Management Committee—The Committee was
established in February 1993 to provide records management
expertise to the staff at AWBERC. Members are appointed by
division or laboratory directors and meetings are held the second
Wednesday of each month. The Committee was instrumental in
establishing the Records Management Awareness Week.
Inventory of Storage Areas—Sarah Wills-Dubose (contractor)
conducted an inventory of storage areas. She found some records
but she also found personal items, journal issues, duplicate copies
of reports, Credit Union records, and many items not appropriate
for an area where records are stored. As a result of this inventory,
over 2,000 boxes have been removed from two storage areas and
the need for offsite storage has been eliminated. The Credit
Union has removed all their boxes, and the Contract Management
Division has decided to manage its own records. This has
reduced the holdings at AWBERC to approximately 1,500 boxes,
and 30 percent of these will be destroyed or sent to the FRC.
Records Management Reference Section—A collection of
EPA records management tools has been established in the
AWBERC Library. Items such as NARA publications, EPA
Records Control Schedules, and the NARA General Records
Schedules are available upon request.
INFO ACCESS ' DECEMBER 1993
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Legal Requirements for Imaging Systems
The Association for
Information and Image
Management (AIIM) hosted a live
satellite broadcast of a symposium
on legal issues surrounding
electronic imaging systems. The
experts concluded the following:
~ Imaging systems and their
products are just as admissible
in court as any other records.
~ Imaging systems are subject to
the same legal admissibility
requirements as other
information/records systems.
~ While imaged information has
been admitted as evidence, it
has never been challenged.
Therefore, there is no case law
specifically addressing the
admissibility issue.
One of the most interesting
pieces of the presentation was a
review of what makes any system
of records admissible in court.
According to the rules of
evidence, the following are
required if a system of records is
to be entered as evidence:
~ Someone who is familiar with
the system and its workings
must be able to testify to
authenticity of the documents.
~ The records should have been
made at or near the time of the
activity they document.
~ The records should have been
made by someone with
knowledge of the activity
recorded.
~ The records should have been
made in the regular course of
business.
~ The records should be relied
upon by the creating
organization to do its business.
The experts then proposed
criteria forjudging whether a
record is really trustworthy. To
lay the foundation for successfully
admitting records, the
organization needs to be able to
show three things about the
system, be it paper or image
based:
~ The system is relied upon by
the organization.
~ There are procedures in place
that guarantee that the
information in the system is
complete and accurate.
~ The organization can prove that
the procedures are followed.
How does an organization do
this? There are three basic steps:
~ Develop written procedures for
operating the records system.
~ Train staff in the. operation of
the system so that there is
confidence that the written
procedures are regularly
followed.
~ Audit the system on a regular
basis so that the error rate can
be documented, access to the
records can be traced, and
adherence to procedures can be
documented.
Put in more traditional records
management terminology, systems
managers need to develop
recordkeeping requirements for
their systems. A strong set of
written, approved recordkeeping
requirements will provide the
framework for determining what
procedures are needed for the
regular use of the records by the
organization, the needed
procedures to ensure that the
documents are reliable, and the
necessary audit procedures.
The interesting point is that
while most people think of paper
originals as being the most easily
admissible records, in fact,
electronic systems of all kinds are
more likely to meet the criteria
outlined above. System managers
need to determine whether their
systems (paper or electronic)
warrant these steps, based on the
potential importance of the system
and the likelihood that records
from the system will be needed in
court.
0 0 0
DECEMBER 1993
INFO ACCESS
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Front Page News
It's not often that records management shows up
on the front page of the Washington Post. But the
Sunday Post for November 16 included a front page
story titled "Appetite for Paper Fed by Computers"
and a picture of a person retrieving records from a
box in the Federal Records Center in Suitland. As
you can tell from the title, the gist of the story was
the seeming paradox between the increased use of
computers and the increased volume of paper
generated. Among the handy, if depressing, facts:
~ Paper consumption has doubled over the past
decade.
~ Each year the Washington, D.C., area consumes
enough copier paper to reach to the moon and
back nine times.
~ The United States uses an average of 600 pounds
of paper per person per year.
Continued on page 9
Records Management
Survey Results
We want to thank all of those who responded to our National
Records Management Program evaluation forms. There were not
enough replies for a rigorous statistical analysis, but the responses did
provide food for thought and some interesting suggestions.
SURVEY
Under "food for thought" there was a clear
dichotomy in the responses. There were those who
were familiar with the National Records Management
Program (NRMP) and were enthusiastic about it.
Then there were those who were relatively unfamiliar
with the NRMP and wanted more information. The lesson here is that
despite the NRMP's extensive communications efforts, there are still
many who are not getting the message. Another comment that caused
some concern was the observation that the NRMP staff seems
"stretched" by the added demands from an enlarged records
management network.
Among the proposed suggestions were the following: computerize
all records management forms, hold a national records management
meeting, promote records management among managers, produce a
confidential business information manual, and develop more
"mandatory policy" and less "optional guidance." The nrmh will look
at these and other sueeextinnc to ^ wiucn ones are feasible during
FY94.
INFO ACCESS
Tip of th© Hat
•f
Welcome to the Network!!
Jim Baca, Office of
AdMaistratioxL and Resources
Management, Headquarters
Alan Johns (contractor),
Region 4, Superfund
Robert Wilson, Anthony
Lyles, and Bertram William
(contractors), Region 6, RCRA
Brenda Kubicki (contractor)
Superfiinft cost recovery,
Begkm 7
Keep up the Good Work!
Region 5 has removed all
2,500 boxes of records from a
moved to the TSCA Information
Center. The' new etrotactTor We
Wolchak (contractor), {{is
number is 202-260-7511.
DECEMBER 1993
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Transferring Records to
the National Archives
Recently EPA has begun to get
requests to transfer some older records
to the National Archives. Such
requests are made using a Standard
Form (SF) 258, not the SF 135 used to
transfer records to Federal records
centers. The majority of the requests
have been at Headquarters, but there
have been Regional requests as well.
The Headquarters Records
Management Council approved the
following procedures for the transfer of
permanent records:
~ The National Records Management
Program (NRMP) will review all
requests (SF 258s) submitted to the
National Archives.
~ The NRMP will verify that transfer
at this time it is authorized. If the
transfer request is legitimate, the
NRMP will approve the transfer and
notify the program that the transfer
was approved.
If there are questions concerning the
records (e.g., whether they include
sensitive information that can be
released to the public), the NRMP will
contact the Records Officer of the
program responsible for the records, and
request a clarification.
In the case of Regional office records,
the Regional Records Officer is
authorized to sign the SF 258 under
existing authorities delegated to the RMO
in Chapter 10 of the IRM manual.
Regional Records Officers need to
develop procedures for approving SF
258s.
In the case of records of Headquarters
programs located in the field, the SF 258s
should be forwarded to the NRMP for
review and signature.
Records Management Survey
Begins in OARM
The Office of Administration and
Resources Management (OARM) has
begun work on a baseline study of its
records management program. The study
is being lead by Jim Baca and Kathy
Lewis under the direction of Kathy Herrin
(OARM's Senior IRM Official). Mike
Miller of the NRMP is providing
technical support. The study, which
includes a complete inventory of OARM
records at Headquarters, will develop a
picture of OARM's records management
needs and recommend a plan for meeting
those needs.
Continued on page 8
* i '.r1- *. >i * ->
- • ¦ ¦¦ ¦ % • ^
INFOACCESS, a forum to provide information and report on progress in information
management across the Agency, is produced by the Information Access Branch
(IAB) of the Information Management and Services Division (IMSD), Washington,
DC, under the direction of Jonda Byrd, National Library Network Program Manager.
Please send comments and suggestions to: Ann Dugan (contractor), Network
Coordinator, 3404, EPA Public Information Center, 401 M Street, SW, Washington,
DC 20460. Telephone: (202) 260-7762. Electronic mail: Dugan. Ann.
DECEMBER 1993 — INFOACCESS
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Headquarters from page 7
FRC Use up Dramatically
Programs retired records to
Federal records centers (FRCs) at
a record pace in FY93, and the
trend is continuing in FY94.
During FY93 Headquarters offices
retired 5,700 feet of records to the
FRC in Suitland, Maryland.
Regional office retirement
statistics were up, too. Region 5
took top honors retiring 1,904
feet, but eight Regions retired just
over 5,300 feet last year. Keep it
up!
h
OPPE Begins Training
Initiative
The Office of Policy, Planning
and Evaluation (OPPE) has begun
a program to train staff in records
management. Mike Miller of the
NRMP presented the first in a
series of training classes that
discussed the benefits of a good
records management program,
records management
responsibilities, records
management laws and regulations,
the principal components of a
records management program, and
overall Agency records
management goals. The training
is similar to that offered in
Athens, Narragansett, and
Cincinnati. Other programs
interested in receiving this training
should contact Mike on 202-260-
5911.
~
SDMS Development
Lisa Jenkins and contractors
were recently in Region 9 for a
series of design interviews with
future users and IRM folks for the
Superfund Document
Management System (SDMS).
Design of the system for imaging
of Superfund site file documents
is proceeding nicely and is
expected to be completed in
December. The visit included
several demonstrations of the
proposed system platform which
were enthusiastically received by
Region 9 interviewees. Lisa has
also distributed information to the
Superfund Records Work Group
and asked for feedback on the
recommended indexing fields and
input values for the document type
and phases/activities fields.
TSCA CBI Training
At the October 28 meeting of
the Records Management Council
Georgianne McDonald (from the
Information Management Division
of the Office of Pollution
Prevention and Toxics) discussed
the TSCA CBI training program
she has been presenting in the
Regional offices. There are four
modules, including the two major
phases of the clearance process,
document management
requirements, security inspections
and audits and how to prepare for
them, and records management.
The two-day training is also open
to staff from programs other than
TSCA who may be interested in
using the TSCA CBI program as a
model.
e 0 0
INFO ACCESS
DECEMBER 1993
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Front Page News from page 6
The story noted that document storage was now a
major problem given the volume of paper to be
stored. Filing is being reborn as document tracking,
and "the work once done by file clerks is now in the
purview of professionals who specialize in a field
called records management." The journalist who
wrote the story confessed to the following use of
paper to produce the story that ran just under a page
in length:
~ 60 pages of notes (including 28 pages entered
directly into a computer and then printed out).
~ Over 100 pages of background information
collected.
~ 22 pages of drafts.
~ 15 pages of graphics printouts.
~ 8 pages for photo assignment.
~ 80 pages for review by copy editors.
The paper industry has found that people have a
physical comfort level with paper that they don't
have with computer storage. Among the most cited
reasons are:
~ Feeling of safety (backup).
~ Ability to mark it up.
~ Ability to use it in places where computers aren't
available.
The article held out some hope that things might
improve. It is possible, but not a forgone conclusion,
that those raised on computers will halt the rush to
paper. Sending E-mail has reduced the use of note
paper somewhat according to industry officials, and
the direct entry of information into computers helps
as well. But as the story goes, "old habits die hard"
and the "comfort level" of holding hard copy is one
old habit that dies extremely hard. The paper crunch
will be with us for some time to come.
Update from Region 8
The Federal Records Center, Denver, held its first meeting of federal Records Managers, Some items
that were discussed are as follows:
~ Phyllis Hamilton, Management Analyst with Bureaus of Reclamation, discussed ''Records
Management at BGR"
- Phyllis was assigned to this project to September 1993; and some of the slides that she showed
were incredible. The storage space that BGR used was an old army building (with holes in die
roof) and all the records (permanent) were water damaged, covered with pigeon waste, and just in a
mess. The interesting part of her story was the ftiaoimt of management support she gets for putting
these records and the records system in shape,
~ Nola Freeman, Chief Appraisal & Disposition Branchy discussed the appraisal process at the
FRO.
- The floor was opened for discussion and mmy of the other agencies have more problems than we
do, We can thank everyone involved in records managment for all their hard work and efforts in
putting this program at BP A together.
~ There will he an evaluation form mailed to each person who participated. The FRC wants aU of us
to be frank with the evaluation and we hope that this program can continue as a networking system
here in Denver,
DECEMBER 1993 iiM INFO ACCESS
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Progress in Region 2
Joseph Clore reports that great strides are being made in the cleanup and
reorganization of RCRA files in Region 2, resulting in more available file space and
better file organization. The other major records project on the front burners is
planning for the move into the new Region 2 facility, scheduled for the fall of 1994.
If Only Someone CoulcL.in Region 4
J =
"If only someone could devote 100% of their time to this project." The
Region 4 Superfund Program said this often enough when lamenting the slow
progress being made on applying dispositions to Superfund records. Debbie
Jourdan, AR Coordinator and Superfund Records Manager, hit on the idea of
bringing in an additional contractor whose only job would be applying
dispositions to site files. Since beginning July 1, 1993, Ervin Kittles (contractor)
has classified, organized, inventoried, and boxed 111 cubic feet of files, averaging
nearly 29 boxes per month. The result has been large gaps on the shelves
allowing correct placement of documents that have been sitting on top of shelves,
under desks and tables, or in empty cubicles, not only creating space on the
shelves but also improving file retrieval.
Cleanup in Region 5
Region 5 has brought in over 2,000 feet of records from a commercial records storage center. Box
contents were evaluated and matched to correct disposition schedules. Manker Harris (contractor) reports
that as a result of the recommendations made to the programs responsible for the materials, approximately
800 feet were destroyed by shredding, recycling, or discard. Another 1,125 feet have been transferred to the
FRC, and the remainder will be returned to the programs. All records destroyed were "out of retention."
Over 600 feet could have been destroyed 3 or more years ago, but were being stored at commercial rates.
Over 60 feet consisted of non-record materials such as unused or outdated forms, reference material, and the
like. Another 140 feet had passed retention dates by 6 months to 3 years.
Added benefits of removing these records from commercial storage included the finding of missing
Superfund Administrative Records, cost savings, placing records in a more secure area in the FRC, and
correctly identifying the correct retention of records which had been missed.
INFO ACCESS
DECEMBER 1993
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Region 7 RCRA File Conversion
The RCRA Records Center is in the process of putting all of the facility files in
RCRIS number order. Previously they had been filed in facility name order and
divided by small- and large-quantity producers. The old system was confusing
since records staff didn't always know whether the facility was considered a large
or small producer and facility names frequently changed. Two of four states have
been converted. Duplicate reports are also being removed from the files and either
returned to the program staff or recycled.
° X °J\
Region 8 Superfund CBI Training Video
On October 4th a special sneak preview of the new Superfund CBI training video
was held in Region 8. The 20-minute video was produced by Region 8 staff to
replace the traditional 3-hour training session and has been enthusiastically received.
The actors are all well-recognized Region 8 personalities. During the months of
October and November, 105 EPA and contractor staff received Superfund CBI
access authority by viewing the video and reading the CBI Security Manual. Use of
the video simplifies future training sessions and it will be shown monthly for the
convenience of any new staff members who need CBI training. Contact Carole
Macy at (303) 294-7038 for more information.
Region 9 Records Management Task Force
Yvonne Pederson reports that the new Records Management Task Force had its
first meeting in November. The Task Force is made up of a representative from
each program or office. They have decided to meet again in January and, with the
aid of a facilitator, come up with a list of records management priorities for the
Region. They also hope to be able to identify some short-range goals that can be
attained sooner rather than later to help gain momentum, as well as identify some
long-range goals.
¦TP
~ ~I
n
Washington Operations Office Consolidation
in Region 10
Fern Honore (contractor) assisted Region 10's Washington Operations Office
(WOO) with their consolidation of four sites into one new building in Olympia.
She developed written instructions on how to move files, presented a training
session on moving files, helped retire records to the FRC, aided the identification of
records for disposition, and made recommendations on filing products and space
allocations for their new mobile shelving.
DECEMBER 1993
INFO ACCESS
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Imaging Sessions
at the ARMA International Conference
Kris Pappajohn from the Program Management
and Support Division of the Office of Pesticide
Programs (OPP) and Sandy York (contractor)
attended the recent ARMA International Annual
Conference held in Seattle, October 17-20.
Several sessions at the conference dealt with
imaging issues, and the following is a summary of
some of the sessions they attended.
"Legality of Optical Storage and Electronic
Imaging"—According to the speaker, the legal
admissibility of optically stored information is the
second most asked question about optical storage
(cost is the first). All fifty states have laws
providing a legal foundation for admitting
optically stored records in court. However, just
because there is a legal foundation is no guarantee
for the admissibility of all optical systems. In a
legal proceeding, the specific system from which
the documentary evidence was produced will be
evaluated with respect to that particular system's
capability to produce accurate, reliable, and
trustworthy documents.
"Indexing Documents for Optical Disk-Based
Imaging Systems"—The presenter stressed the
importance of determining relevant indexing
parameters long before bringing an imaging
system in-house. Various automation techniques
can be used to accelerate the process. This is
important, according to the speaker, because over
50 percent of the total document entry time can be
spent on indexing. Some of the automation
techniques mentioned were reading a bar code on
the document, a pattern in the image, optical
character recognition (OCR), and using existing
databases for extracting and/or downloading
index data.
Optical Disk Application in a Local
Government, City ofLenexa, Kansas, Case
Study The City of Lenexa, Kansas (population
of 35,000), has implemented an optical disk
system for its Administration and Planning and
Development Departments. The speaker
discussed the existing records management
system and problems they were attempting to
solve, assumptions made and goals set by the
implementation committee, the proposal process,
decision criteria, indexing, implementation, and
results. As a result of the successful
implementation of the system, the city has found
they have increased efficiency and reduced filing
space because many city employees and city
council members have given up paper files,
ocument distribution habits have been changed,
and employees have learned how to structure
queries to quickly retrieve documents. One
interesting note—the scanning-to-indexing ratio is
2.1. In other words, it takes twice as long to
in ex the documents as it does to scan them.
Optical Storage Solutions for Records
Management Productivity Gains"—This was an
overview of the characteristics and benefits of
optical storage technology and a case study of an
optical storage solution implemented at First
( ank) Chicago. First Chicago used the
technology to make repetitive, predictable work
flow into virtually automatic processes. Optical
was tied in with other solutions to improve
processes. Objectives and results were also
iscussed. For example, they have realized a 46-
percent reduction in the time required to process
Customer inquiries^ Contributed by Sandy York
(contractor), Regional Program Director.
INFO ACCESS
DECEMBER 1993
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