United States Environmental Protection Agency Information Resources Management (3404) EPA 220-N-94-007 Issue Number 42 June 1994 3 EPA INFO ACCESS Records Network OIRM Sponsors Agency-Wide Record Management Training by Michael L. Miller, Agency Records Officer Report on the Joint OIRM/OSWER Records Management Working Meeting, May 24-27,1994. The Office of Information Resources Management (OIRM), in conjunction with the Office of Solid Waste and Emergency Response (OSWER) sponsored a series of joint working meetings and training sessions in Washington, D.C. during the week of May 24, 1994. Over 160 persons attended one or more of the days. All Regions and Headquarters programs were represented, as were several other field facilities including the National Enforcement Investigation Center, several laboratories, and RTP. On May 24, OIRM's National Records Management Program (NRMP) conducted an all day training session that addressed three records management issues that have engendered the most interest among Agency staff: the management of electronic records, the new draft Agency-wide file plan, and the upcoming FY 1995 Agency-wide records inventory. OSWER held its records management conference on May 25. May 26 and 27 were devoted to work group meetings including OSWER's Superfund Document Management System Work Group, the RCRA Work Group, and a joint meeting of the Headquarters Records Management Council and the Regional Records Officers. The May 24 Agency-wide training day was open to all records managers and liaisons. Each session was led by Michael Miller, the NRMP Manager, who gave an overview and talked about the direction envisioned for the Agency on each of the topics. Presentations were also given by records managers currently involved in these activities who talked about how they were successful in accomplishing or implementing them. The goal of the May 24 sessions was to inform Agency records managers, liaisons, staff, and other interested parties of the direction the Agency is taking in these three areas and to give basic training in the procedures OIRM is recommending for managing Agency records in both hard copy and electronic format. OIRM also sponsored meetings on the 26th for Regional Records Officers and Headquarters Records Management Council members. Topics in these meetings included feedback from the sessions held on the 24th, the draft NARA regulations on electronic mail, the action plans done as a result of the NARA evaluation, and numerous others. OIRM continued on page 3 In This Issue . .. Page 2-3 Records Working Meeting, Mav 26 Page 3 NRMP Update Pa8< 4 Session 1: The Management of Electronic Records Page 4 Tip Of The Hat Pace 6 Session 2: FY 1995 Agency-Wide Records Inventory Page 6 Session 3: The New Draft Agency-Wide File Plan Page 7 The OSWER Records Management Conference And Work Groups Page 8 New From NARA Page 8-9 Around The Network Page 10 V " ¦ May Meeting Evaiuation Printed on Recycled Paper ------- INFO ACCESS ¦ JUNE 1994 Records Working Meeting, May 26 Mike Miller, Manager, National Records Management Program (NRMP), led a working meeting of Regional Records Officers and Headquarters Records Management Council members on Thursday, May 26. Topics discussed at the sessions included feedback on Tuesday's training, NARA's draft electronic mail regulations, analysis and feedback on the NARA action plans, NEIC contractor closeout records, records management software, records management position descriptions, data standards, and Regional and Headquarters updates. A summary of the major areas of discussion follows. Feedback On Tuesday's Training Participants offered many suggestions for future records training. They stressed the need to enlist the support of upper management, including commitment of resources, and the availability of inexpensive training. Records management issues of importance to management would include access and Freedom of Information Act (FOIA) requests. It is important to tie records management to Agency goals such as information coordination and improvement in enforcement activities. The use of video recordings and video conferencing were two types of training techniques suggested. Participants felt it is very important for the NRMP to go out to the Regions and Field Offices to do training, especially on policy issues. Comments on the Draft NARA Regulations on Electronic Mail Mike explained that the regulations were drafted as a result of the Armstrong v Executive Office of the President electronic mail court order. The draft was prepared as a joint venture by the U.S. Department of Justice, the National Archives (NARA), the plaintiffs, and the Executive Office. NARA anticipates a lot of reaction to the draft because it contains controversial proposals on the management of electronic mail. For example, agencies would be required to maintain information about transmission and receipt data (who sent, to whom, and date sent), which many electronic mail systems do not currently retain. The proposed standards also call for extensive monitoring of staff E-mail messages to ensure that messages qualifying as records are not deleted. Each agency will need to establish a recordkeeping system for E-mail records. The participants discussed ways to accomplish this. Ideas included INFO ACCESS copying all electronic mail to a tape with one disposition, setting up an expert retrieval system to handle messages automatically, or having supervisors designate who's electronic mail needs to be saved. The Office of Information Resources Management (OIRM) will be preparing a response to the draft regulations by June 11. A summary of that response will be included in the next records management issue of INFO ACCESS. Analysis And Feedback On NARA Action Plans Mike explained that the action plan information submitted by Headquarters, Regions, and Field Offices will be summarized and submitted to the National Archives. Participants were asked to complete a summary form indicating the stage of completion for each of the recommendations made in the NARA evaluation. A number of the recommendations, such as case file procedures, were discussed. INFO ACCESS, 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 Michael L. Miller, National Records Management Program Manager. Please send comments and suggestions to: Manker R. Harris (contractor), Network Coordinator, 3404, EPA National Records Management Program, 401 M Street, SW, Washington, DC 20460. Telephone: 202-260-5272. Electronic mail: Harris.Manker. 2 ------- INFO ACCESS ¦ JUNE 1994 Issues raised by the participants included the need for policy on dealing with mixed media or scries and the need for guidance on vital records. It was suggested that vital records could be addressed as part of the FY 1995 baseline records assessment which will be conducted Agency-wide. NEIC Contractor Closeout Records Gerri Hilden of the National Enforcement Investigations Center (NEIC) told the participants about the upcoming closeout of the Contract Evidence Audit Team (CEAT) contract. The contract will end in September and is not being recompeted. Records generated by the contract will be returned to the Regional offices. Approximately 90 percent of OIRM from page 1 Summaries for all of these sessions can be found in this issue. Copies of handouts and overheads can be obtained by contacting Manker R. Harris (contractor) at 202-260-5272 or on All- in—1 at Harris.Manker. The NRMP will be sending records officers copies of the file plan package and the inventory guidance documents presented on May 24, as soon as the final reviews are complete. The NRMP remains committed to providing a wide range of records management training opportunities both at Headquarters and in the field. If you are interested in training opportunities, please contact Mike Miller on 202-260-5911 or on All-in-1 at MILLER.MICHAEL-OIRM. ¦ the material is Supcrfund site specific. Gerri provided a list for each site to receive boxes and indicated that the records would be packed in Federal Records Center boxes with appropriate listings. The contractor can provide a copy of the closeout database in an ASCII format if so desired. Gerri can be reached at (303) 236-5111. Records Management Software Jim Whittington and Nancy Yarberry, Regional Records Officers in Regions 4 and 6, respectively, talked about the use of Versatile software in their offices. Versatile is records management software which can be used to track active as well as inactive records at the folder or box level. Information can also be linked to the disposition of the records. Region 4 is experiencing some support difficulties but feels, for the NRMP Update most part, it is good software and will be very useful. It is important to be sure the information is linked correctly which can be time consuming, but codes and data fields can be customized to fit anyone's needs. Records can be easily moved from active to inactive status and the software facilitates tracking of records across program offices. Region 6 feels the software has good report capabilities and is a good system for tracking and checking records. You can also designate different levels of access with 99 levels of security. The software can also provide a good statistical base. The cost to install the software in a Regional office is approximately $10 000 plus implementation costs. It is also important to plan for Working Meeting continued on page 7 The National Recor23.ds Management Program (NRMP) has undertaken the following initiatives recently: ¦ Developed a response to the draft National Archives Standards on Electronic Mail. The general content of the response was that while EPA would like to maintain its electronic mail messages in automated form, it is not feasible at this point. The response discussed three major problems with the proposed standards based on the comments received from many programs, and provided over eight pages of specific suggestions. A copy of the final response was sent to all records liaisons via E-mail. ¦ Sent draft revised disposition schedules to the Office of the Administrator, the Office of Administration and Resources Management, and the Office of Solid Waste and Emergency Response, the Office of Research and Development, the Office of the General Counsel, and the Office of Air and Radiation; ¦ Received comments for the Office of Inspector General on the draft Awareness Bulletin on records management and is finalizing the draft for publication. 3 ------- INFO ACCESS ¦ JUNE 1994 Session 1: The Management Of Electronic Records Excerpts from remarks by Mike Miller, National Program Manager for Records Management; Jim Whittington, Regional Records Officer, Region 4; and Lynn Calvin, Regional Records Officer, Region 5 The session had three goals: ¦ To make participants aware of the background, laws, regulations, and policies governing electronic records. ¦ To give the participants an idea of what is involved in the management of electronic records. ¦ To provide participants with hints about managing electronic records. Background There are two basic factors affecting the management of electronic records: external and internal. External factors are pressures from the outside such as the National Archives and Records Administration (NARA) evaluation which contained seven recommendations on electronic records related to updating policy, inventorying the records, and training. Other external factors include Federal regulations such as OMB Circular A- 130, courts cases (e.g., the Executive Office v, Armstrong electronic mail case), Freedom of Information Act requests, and the needs of customers in regulated communities and the public. Existing laws and regulations governing electronic records include: ¦ The Federal Records Act Tip Of The Hat Larry Farmer is the new records liaison for the Air and Energy Engineering Research Laboratory (AEERL). ¦ 36 CFR Chapter 12, part 1234— Electronic Records Management ¦ OMB Circular A-130 The second factor is internal or what the Agency wants and plans to do with electronic records. Internal issues mentioned by Mike include: ¦ Agency policy requirements ¦ Program requests for the latest software and technology; ¦ The desire to get beyond printing out electronic mail and to maintain an electronic record; ¦ The Agency's paper-less campaign; ¦ The use of electronic systems for recordkeeping and audit. Internal policy covering electronic records can be found in the IRM Manual (2100), Chapter 10, Records Management; and the Records Management Manual (2160), Chapter 8. Electronic records can be managed in the same "life cycle" terms as paper records—creation, maintenance and use, and disposition. Issues included the roles and responsibilities of people involved with electronic records, what electronic records are, and the importance of maintaining the media properly, access, and legal admissibility. Judy L. Stagner has been assigned Records Management responsibilities at the Environmental Research Library/ ORD (ERL) in Duluth. MN. The anticipated timeline for implementation of electronic records management in the Agency is: ¦ 1993—Conducted studies to identifying problems; ¦ Next step—Develop policy to support electronic recordkeeping ; ¦ Within 3 to 5 years—Begin pilots and explore ways to implement electronic recordkeeping; ¦ 5+ years—Begin overall implementation. Electronic Records Scheduling In Region 4 Region 4 is currently in the process of inventorying its electronic records and Jim Whittington talked about problems encountered and gave some hints on how to accomplish the inventory. He told the audience they will need to work with their offices of information management who generally have physical control of the electronic records and the program offices who have intellectual control. In some cases, there are also other entities involved such as States. Some of the questions that need to be resolved in order to conduct a successful inventory of electronic information systems include: ¦ Is the system unique? ¦ Is the system managed nationally or locally? * If there is a records disposition schedule, does it need to be modified? Session I continued on page 9 ------- INFO ACCESS ¦ JUNE 1994 Session 2: FY 1995 Agency-Wide Records Inventory Excerpts from remarks by Mike Miller, Manager. National Records Management Program; Jim Baca, Principal Records Contact, Office of Administration and Resources Management (OARM); and Vicki Betton, contractor supporting OARM An Agency-wide records baseline study (or records inventory) is planned for fiscal year 1995. The goals of the study are to: ¦ Facilitate timely disposition of EPA's records; ¦ Adequately document EPA's record holdings; and ¦ Improve the overall operation of EPA's records program. The inventory is a long-term project and it is anticipated that it will take each office 6 to 18 months to complete. It may include all levels of personnel to some extent, especially the baseline study lead personnel, office contacts, and inventory staff. The Office of Information Resources Management (OIRM) has sponsored preparation of a guidance document giving instructions on how to complete the study. The guide includes a glossary and explains the process step by step, identifying milestones, goals, descriptions of the processes, and tools such as worksheets and inventory forms. It also includes information on who should be involved in the process and their responsibilities, resources, time estimated to complete each milestone, how to determine budget and obtain approval, and communication initiatives. The major milestones of the study are: 1. Planning the records assessment process; 2. Conducting the walk-through inventory (a quick survey to determine location, volume and content of records); 3. Conducting the series inventory— (the detailed survey); 4. Revising the records disposition schedules. The guidance document is in the final review stages and will be provided to appropriate staff when the inventory begins. The Records Inventory OARM OARM is currently in the process of conducting a baseline study, which began in December 1993. The walk- through phase identifying locations, volumes, types of records, and problem areas has been completed. The scope of the project was found to be much larger than originally anticipated with almost 1,400 filing areas to be included. The volume of documents found was larger as well—over 48,000 linear feet of them! The detailed inventory portion of the project is underway. Selection of official liaisons and contacts is an extremely important part of the planning for the study. It was suggested that Headquarters liaisons be grade 13 or higher in order to help with scheduling of office staff time and dealing with obstacles. It is also very helpful if contacts have some records management training. Other planning issues to consider are the selection of a project manager who not only has knowledge of the records, but also has sufficient time to devote to the project. One recommendation is to begin the project at the beginning of the fiscal year and to remember to allow enough time in the schedule for staff availability (vacations, compressed work schedules, budgets, hearings, etc.). Modifications of the plan and the process have been made as new information or obstacles have appeared. Issues to be considered include the gathering of statistical data which takes time to do and requires space for working and storage, and network building which also takes time and requires teamwork. Some of the lessons learned in the process thus far: ¦ It's important to get an accurate count of offices, including file stations, stay-in-schools, Senior Environmental Employees, supply and storage areas, and contractors. ¦ How contractor records are to be handled needs to be decided. ¦ Management support and involvement is needed to speed progress and ensure the full cooperation of the staff. Note: A sample inventory form was distributed. OARM has recently revised the form. Copies are available from Manker R. Harris (contractor) at 202-260-5272 or AU-in-1, Harris.Manker. ¦ n ------- INFO ACCESS ¦ JUNE 1994 Session 3: The New Draft Agency-wide File Plan Excerpts from remarks by Mike Miller, National Program Manager for Records Management, and Lisa Jenkins, Records Liaison Officer, Office of Solid Waste and Emergency Response (OSWER) Mike presented an overview of the draft Agency-wide file plan that was first discussed in the February 1993 issue of INFO ACCESS. Mike stressed that the file plan will not be mandatory when it is issued. The new draft Agency-wide file plan is a "high-level" structure that can be tailored to fit the specific needs of each EPA program or office. It can be implemented gradually, first by those offices that don't have a file plan or those who need to revise their existing one. A file plan is an essential component of a successful records management program. It can make it easier to find information and help meet statutory and regulatory requirements. A good file plan should be simple yet provide structure, flexibility, and uniformity. Some of the advantages of the new file plan are: ¦ Provides a basic filing structure; ¦ Relates to the revised disposition schedules; ¦ Standardizes similar records across programs; ¦ Improves exchange and tracking of information; ¦ Facilitates records retention and disposition. The file codes used in the file plan consist of two parts. The first part is four alpha characters representing the activity covered by the records series (eg., CORR—Correspondence). The second part is the three digit EPA series number found on the revised schedules (eg., 127—General Correspondence Files). A guide on how to set up the new plan will be sent out to programs before the end of the fiscal year. It will include information on adoption of the file plan as soon as possible, a guide on how to do it, and general reminders on such topics as records v. non records, personal papers, etc. Participants were asked to contact the NRMP if they found records series which were not represented in the new file plan. File Plan Implementation in OSWER New file plans have been implemented in a number of offices within OSWER. Having a champion who believes the endeavor is worthwhile is very important. The process is very time consuming and OSWER has used contractor support to help accomplish it. OSWER has found that most people are already filing by series and it's not necessary to redefine most record types. The process has helped them get ready for the upcoming Agency-wide inventory and move and has made it easier to retrieve and disposition records. Adapting NRMP products to the needs of your own program is a really good way to maximize your time, stay in step with the rest of the Agency, and yet provide the staff in your program with records management products tailored to their needs. The NRMP strongly supports the idea that programs take the NRMP sponsored products and use them as a starting point for developing their own materials. Some of the problems encountered include interpreting the schedules and choosing the right category. For example, a unique study could be included in special studies, regulatory development, program management, or systems documentation. Another problem is "chron" files are often mixed with program management records. Handling of final contract deliverables as well as duplication in contract files are other issues to be dealt with. Another tip that may be useful is to sell the concept since most people do not want to convert from whatever system they are using. In addition, records need to be properly labeled (think about functions), including electronic files which need to be linked to the paper files. One way to do this is to label diskettes with file codes. Some successful techniques used by OSWER include: ¦ Training sessions before cleanup days; ¦ Making the file plan mandatory; Section 3 continued on pag* l 6 ------- INFO ACCESS ¦ JUNE 1994 The OSWER Records Management Conference and Work Groups The OSWER Records Management Conference, held on Wednesday, May 25th, was well attended (70 participants). Session 1: Electronic Access to Information The morning session, kicked off by Jack Frost, focused on information access—what information access resources arc available to EPA to use in disseminating information to the public and within our Agency. Eliot Christian, U.S. Geological Survey, opened the session with a presentation on the Government Information Locator Service. Next, Judy Russell presented GPO services and the Federal Bulletin Board (available on: 202-512-1387 modem setting 8N1). Working Meeting from page 3 information gathering and data entry costs as well. Sandy York (contractor) talked briefly about Inmagic software and how it compares to Versatile. Versatile is specifically designed as software for records management whereas Inmagic is a multi-purpose data base where the user designs the data base and reports. It is particularly useful for document- level indexing and has strong search capabilities. Records Management Position Descriptions Participants reviewed a list of responsibilities for Records Management Officers. A number of The NTIS presentation, given by Karen Cummins, focused on accessing and using FedWorld (available on: 703- 321-8020, or Internet telnet at fedworld.gov). These presentations were followed by a series of presentations on what EPA is already doing to disseminate its data. Envirotext was presented by Rhea Cohen, OERR. EPA's Internet access was presented by Mike Weaver and John Shirey. Emma McNamara presented information on accessing the Library CD-ROM towers. Some brief information was also provided on CLU-In (the Hazardous Waste Bulletin Board) and on using the VABS servers to distribute information within EPA. The EPA presentations were followed by a discussion on what activities were added to the list including such things as managing the liaison networks, recommending requirements in systems design, overseeing dockets and file rooms, oversight and administration for automated systems, etc. Also discussed were the appropriate grade level, organizational structure, and other issues. Mike will be drafting a position description which will serve as the basis for discussions with OHRM. A draft will be circulated for comment as soon as it is completed. Data Standards Jim Whittington raised the issue of data standards. It is important to begin to information collections OSWER now has (in paper, electronic or other form) that would be good to share electronically inside or outside EPA. This information will be used to initiate an effort to identify and prioritize what information we want to provide and through what electronic services/ systems. Session 2: Headquarters Activities The second session on Wednesday was devoted to presentations from various HQ offices. Liza Hearns discussed the OSW Information Access pilot, and some of the issues they are facing in trying to provide documents electronically to the public. Don OSWER Recordt continued on page 9 think about standardization as automated recordkeeping is implemented. EPA needs to consider migration of information across the Agency to ensure information is stored in a format that is useful for everyone else. Jack Frost from the Office of Solid Waste and Emergency Response (OSWER) suggested Jim review the Superfund Document Management System (SDMS) since data standards was an important part of the system design. Regional and Headquarters Updates Updates can be found in the Around the Network section of this newsletter. ¦ / ------- INFO ACCESS ¦ JUNE 1994 New From NARA Agency Evaluation Regulations Go Final The National Archives and Records Administration (NARA) has issued final regulations on records management evaluations. The new regulations appear in the Federal Register for June 3, 1994, on pages 28781 to 28785. Based on comments received from a number of agencies including EPA, NARA made significant changes to the proposed rule. As the rule now reads the "Agency internal evaluations" regulation is moved to 36 CFR XII Subpart B—Agency Records Management Programs. This is the part that lays out agency responsibilities. That should make it more useful. The regulation was changed to include "adequate and proper documentation" as one of the objectives of the evaluations, but the language specifying the frequency of evaluations was dropped. Draft Regulations Concerning Vital Records The National Archives and Records Administration (NARA) has issued proposed regulations on Vital Records: Record Disaster Mitigation and Recovery, that revise their previous vital records regulations. The proposed regulations appear in the Federal Register for May 31, 1994, pp. 28003- 28036. The regulations propose three major changes. First, the emphasis on the vital records program has been changed to provide for protection against natural disasters as well as civil Now From NARA continued on page 10 Around The Records Network Here are some of the highlights of progress reported by records contacts and liaisons at the working meeting held on Thursday, May 26. The National Records Management Program (NRMP) wants to recognize the strong commitment a number of the Headquarters programs have made to records management over the past year. The work of several of those programs is evident in the following descriptions. Two areas where significant progress has been made is in the organization of the all-important records liaison networks and the adaptation of NRMP products to meet the needs of individual programs. Good Work! Office of Policy, Planning and Evaluation A mini-inventory of program management records; monthly meetings with records liaisons; encouraging training and sharing information. Office of Solid Waste and Emergency Response (OSWER) Training, file plan development and the SDMS project continue; committees on EDI and electronic signatures; policy development. Hazardous Site Evaluation Division (HSED/OSWER) One branch file plan completed and employees trained; two other branches ready to begin file plans. Office of Waste Programs Enforcement (OWPE/OSWER) Preparations are underway for the reorganization of the Office of Enforcement. Work includes identifying subject files and where they will go in the reorganization, interviewing staff for an inventory, preparing an inventory matrix, briefings and training sessions. Office of General Counsel (OGC) Working on its action plan in response to the NARA evaluation and beginning to train support staff. Air and Radiation (OAR) A docket inventory is underway and a cost benefit study on hard copy record conversion to another medium has been completed. Office of Research and Development (ORD) Scheduled specialized training for its records liaisons who were in town for the records management training session. Office of Pesticides Programs (OPP) Liaison network is in place and there is now a monthly training programs; meetings with document control officers; a division is setting one central file room and new file structure; OPP as a whole is reviewing their revised records disposition schedules. 8 ------- INFO ACCESS ¦ JUNE 1994 Around The Records Network Region 3 Records management directive is undergoing review; training is being given every 2 months; preliminary records inventory of management division is underway ; and the Region is reviewing material currently in alternate storage. Region 4 Currently two large projects underway in the Region—implementation of Versatile software and planning for a move scheduled for 1996. Other projects include identifying records series and preparing records manuals with special emphasis on the Air and Water programs, and training for branch staff. Region 5 Region 5 is in the process of moving the Office of Regional Counsel records into two new files rooms. Region 6 Conducted 100% file check of several file rooms; microfilming Superfund, Water, DMRs, CFCs, and other small projects; imaging grants. Region 9 Scheduling training sessions; giving briefings at the branch level; designating file custodians; and planning to start an inventory next fiscal year. National Enforcement Investigations Center (NEIC) Completed Phase 1 of a baseline study including physical inventory of paper records and has reviewed policies. Session / from page 4 ¦ Does the system need a new records disposition schedule? A couple of final hints—find out what the electronic records contain, how they are used, and obtain as much documentation as you can. And remember to focus on the information, not the software or hardware. WordPerfect Office In Region 5 Lynn Calvin is looking at the feasibility of using WordPerfect Office 4.0 to help manage records in electronic format. She is looking at the capabilities on how to capture information, set up "file rooms" and how to handle decision making automatically. Some of the capabilities include the ability to set up special requirements or rules such as sending, forwarding and filing records automatically, and "read only" mail boxes. Follow-Up In conclusion, participants were asked to talk to their lead people about how management of electronic records in the Agency should be implemented and to share that information with the National Records Management Program. ¦ OSWER Records from page 7 Sadowsky reviewed EPA's legal stance on using microfilm and optical disks which hasn't really changed in the last 3 years. Bette Drury (contractor) shared implementation information on OSWER's file plan initiative. Darlene Williams explained what she has done to ensure a smooth transition of OWPE records to the newly formed OECA. Lisa Jenkins described the purpose and activities of the OSWER Directives QAT and the move toward providing directives electronically within and outside of EPA. Bill Wolchack (contractor) described his findings on the OSWER Controlled Correspondence imaging feasibility study. Mike Miller reviewed the issues of consolidating and automating EPA's dockets. He also provided information resources for techniques for adequately maintaining records in alternative media. Session 3: Regional Activities The third session on Wednesday provided each region with an opportunity to share regional activities and issues of interest. Ellen Culhane and Margaret Meehan (Region 1) updated the group on their efforts to implement a new, consolidated RCRA file structure and improved, automated access to Superfund documents. Anna Butch described Region 3's efforts to retire thousands of feet of records and to automate both access to the AR's and tracking of Superfund documents. Debbie Jourdan of Region 4 described their off-site storage solution to the space squeeze and Gussie Lofton described the Regions herculean efforts to put the RCRA files into a working OSWER Records continued on pag* 11 9 ------- INFO ACCESS ¦ JUNE 1994 May Meeting Evaluation Here's What You Thought About the Training Sessions on May 24 . . . Over 160 people attended the training sessions offered by the Office of Information Resources Management (OIRM) on May 24. Evaluation forms were submitted by a third of the attendees. Based on the rating system listed at the top of the form, you rated the training as a whole as very good. Most respondents also felt that the sessions had increased their knowledge and skill levels. On the specific questions, you made the following comments. What Was Particularly Helpful About The Presentations? There was a broad range of opinions on which session was the most helpful. Many attendees commented on the importance of knowing the Agency's future plans for records management and what to expect. Others found the explanation of the steps to be taken in the baseline assessment (inventory) most helpful. Section 3 from page 6 ¦ "Cheat sheets" for people doing cleanups; ¦ Labeling instructions; ¦ Start-up project folders; ¦ Computer-generated labels; and ¦ File guidance manuals. OSWER has taken the Agency file plan and records schedules and adapted them to their own use. This is a really What Were The Strengths Of The Program? Many attendees submitting the evaluation characterized the presenters as very knowledgeable, organized, and focused. Use of special presenters who described "true stories" giving practical applications the audience could relate to was particularly effective. Does Any Part Of The Training Need Improvement? There were two major problems reported: the need to provide better ways to take notes such as supplying note pads or copies of all viewgraphs to take notes on, and problems related to the facility. The room arrangement made it difficult for people in the back of the room to see the viewgraphs and other conditions in the room made it difficult to concentrate. The NRMP is pleased with the large number of attendees and would like to thank all of those who were able to attend and those who provided suggestions. A list of the comments has been compiled and they will be shared with those planning future training. ¦ good way to maximize your time, stay in step with the rest of the Agency, and yet provide the staff in your program with records management products tailored to their needs. The NRMP strongly supports the idea that programs take the NRMP sponsored products and use them as a starting point for developing their own materials. ¦ New prom NARA from page 8 defense emergencies. Second, agencies will be required to duplicate vital records to ensure that such records can be given the special protection needed to prevent unauthorized loss or removal. Third, the directive is broadened to require agencies to plan for the protection and recovery of all records affected by a disaster or emergency. This proposed revision represents a significant change in what NARA expects from agencies in the way of a vital records program and specifies a number of new mandatory program components including training, a vital records plan, and management control requirements. Comments are due to NARA by August 1, 1994. Comments should be sent to Mike Miller, Agency Records Officer, at Mail Code 3404, or via All-in-1 to MILLER.MICHAEL-OIRM. NARA Issues Records Management Automation in Federal Agencies The National Archives and Records Administration (NARA) has issued Records Management Automation in Federal Agencies, a new publication based on a 1992 survey concerning how agencies were using automation to support records management. NARA's avowed intent in publicizing the results is to assist agencies in identifying others who are working on, or who have worked on, similar projects. Copies can be obtained from MankerR. Harris (contractor) at 202-260-5272, or via All—in—1 at HARRIS.MANKER. ¦ 10 ------- INFO ACCESS ¦ JUNE 1994 OSWER Records from page 9 file structure. Jan Pfundheller enlightened us on the level of activity resulting from the effort to move Region 5's ORC. Lorraine Kos described the changes that have taken place in the configuration of the Superfund Records Center and the efforts to organize the site assessment files in region 5. Sharon Kiddon (also Region 5) described efforts to implement the Region 10 file structure for TSD files, and the anticipated use of InMagic—all on a shoestring budget. Nancy Yarberry announced that both RCRA and Superfund in Region 6 are imaging files and upgrading to 486 PCs in preparation for improving electronic access. According to Barry Theirer, Region 7 is suffering from lack of funds and is unable to purchase the indexing system they have selected. Region 8 is busy closing out files and retiring them, and utilizes several systems at their disposal to facilitate records management, according to Tina Artemis. In Region 9, a Region-wide task force, coordinated by Yvonne Pederson, meets monthly to discuss records issues. Elaine Chan, Region 9, reports that Superfund is preparing for the implementation of SDMS in June. Margaret Hughes reports that Region 10 has developed "File Quest" which assists in tracking down checked out folders. Several Regions reported that RCRIS is now on their LAN. Superfund Work Group The Superfund Work Group convened on Thursday, May 26. In the morning, contract and contractor records were discussed. Lisa Jenkins and Bette Drury presented guidance (Records Management Standards for Superfund Contractors and Grantees, ARCS Records Management Guidance, and Chapter 11—Records Management in the RACS Guidance Manual) that is being developed to improve contractor handling of records so they will be in better shape at the time they are turned over to EPA. Nancy Deck presented lessons learned through closing out the TES contract records. She said to be sure to coordinate with all potential users of records and to make records handling decisions before contract close-out before the contract becomes inactive. Chad Littleton described his efforts with DOJ to microfilm all the old Superfund HQ contract records for distribution to the Regions to facilitate cost recovery package preparation. Gerri Hilden spoke about the CEAT Contract closeouts and the initiative to move all the old CEAT records out to the regions. Marlene Berg described some of the efforts OERR is undertaking to improve access to the electronic versions of RODS. These presentations were interspersed with a discussion of what we as records managers can do to expedite the cost recovery process. In the afternoon, the Superfund Work Group turned its attention to the Superfund Document Management System (SDMS) and the Administrative Record. Lisa Jenkins described briefly what has been done thus far on the SDMS project and what regions will need to do to prepare for SDMS. Margaret Morkowsky presented the scope and status of the Region 9 pilot. Their San Gabriel megasite has 600,000 pages of documents that are being imaged, indexed and converted to full text and a full text index—a massive undertaking, but one which brought forth difficult design issues which should make future implementations easier. Tina Artemis (Region 8) lead a discussion of outstanding Administrative Records. These issues will be consolidated and disseminated for discussion during the Superfund Records Management teleconference in June. Then the list will be sent to the OECA division that handles sites requesting resolution of these issues. RCRA Work Group The RCRA Work Group met the morning of Thursday, May 26. It was facilitated by Sharon Kiddon (Region 5) and attended by representatives from Regions 1, 4, and 10; Office of Waste Programs Enforcement; and Office of Solid Waste (OSW). The group discussed Confidential Business Information procedural and contractual issues, whether HQ can retain the RCRA TES records, whether ARs are maintained separately or as part of the site file, procedures for public review of documents, what circulation software is implemented in each Region, the sharing of RCRA storage space with other programs, what levels of indexing are being used in each Region, space problems and the retirement of records. They also were provided with a description of the OSW docket operations by Barbara Roth, OSW. Those who attended were glad to have the opportunity to exchange ideas. However, they felt it would have been better if more of the Regions had been represented—particularly if they had been represented by EPA FIE involved in RCRA records management who could have made more firm commitments about future activities. The work group has decided to hold a planning conference call if issues arise that need discussion. ¦ ------- ------- |