United States
Environmental Protection
Agency
Information Resources
Management
(3404)
EPA 220-N-94-011
Issue Number 46
October 1994
&EPA INFO ACCESS
Records Network Communications
Transition to Records Management Phase II
by Michael L. Miller, Agency Records Officer
During FY94, the Agency's records
management program began a
transition to the next level of
achievement, a transition that will carry
over to FY95. Over the past three
years, we've developed tools and pilot
projects to .manage our paper records
more effectively. During the transition
to Phase II, we will start systematically
implementing those improvements,
while at the same time beginning to
develop tools and pilot projects to
manage our records electronically.
FY94 saw a number of
accomplishments that laid the ground
work for the transition. At the national
level, the National Records
Management Program (NRMP)
completed a number of initiatives
including:
¦ Initial drafts of all records
disposition schedules.
¦ A guide for conducting the records
inventory.
¦ A revised chapter on records
management for the IRM Manual.
¦ A draft Agency file plan.
¦ A plan for establishing
recordkeeping and case file
management requirements.
¦ An analysis of electronic records
policy requirements.
At the same time, Headquarters
Programs and Regions:
¦ Increased number of self-sufficient
programs.
¦ Increased the number of active
programs, especially in
Headquarters.
¦ Piloted inventory projects in OARM
and Cincinnati.
¦ Developed program-specific records
management manuals and file plans.
¦ Initiated program-specific training
for records liaisons.
¦ Retired record volumes of records to
Federal records centers.
So what are our primary goals for
FY95? There are four areas where
everyone must focus in FY95:
¦ Initiating the Agency-wide
inventory.
¦ Establishing the recordkeeping
requirements program.
¦ Developing a policy on electronic
records.
¦ Providing additional records
management training.
Transition continued on pages 2-3
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Page 10
Page 11
News From NARA
Region 5 ORC Records Move
Recordfacts Update
Around the Records Network
Tip of the Hat
Headquarters Update
Ask Dr. Records
Electronic Docket Comments
What Records Liaisons Do All Day
Records Management Council News
What Do We Do With
Our Electronic Records?
Technology Corner
In This Issue ...
Printed on Recycled Paper
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INFO ACCESS ¦ OCTOBER 1994
The goals were selected because they
address the principal records
management challenges facing our
Agency in the next few years. Let's
examine each goal and the reasons
for it.
Why do we need to expend
resources on an Agency-wide
inventory? There are two pressing
reasons. First, Headquarters Programs
(and some Regions as well) are moving
and records constitute a lot of what we
move. The staff need assistance in
The goals were
selected because
they address the
principal records
management
challenges facing
ourAgency in the
next few years.
What practical function do
recordkeeping requirements serve? On
one hand they help us determine what
we need to move when we move. From
a different perspective, we are
demanding more from our records than
ever before. Time sensitive decision
making, public access, litigation all
place greater emphasis on the old
records management axiom-—the right
information, to the right person, at the
right time. To simplify this process, the
Agency needs to determine what
records are necessary to meet all of its
obligations and concentrate its efforts
on managing those as effectively as
possible. Hence the emphasis on
recordkeeping requirements in FY95.
Recordkeeping requirements will allow
us to identify what records we need to
manage, and organize those records for
maximum effectiveness.
Are electronic records an important
records management issue? In the
minds of many managers, electronic
records are the only records
management issue. In management
Why do we
need a complete
inventory of
Agency records?
m m a
because we can't
manage what we
don't understand.
briefings, electronic records, and more
particularly electronic mail, are the hot
issues. Staff are looking for more up-
to-date policy on how to manage
electronic records. Moreover, the
Agency has made a pledge to use less
paper. The records management
community must support that
commitment by enabling staff to meet
their recordkeeping needs
electronically whenever possible. That
is not as simple as it may sound. At this
point \ve have neither the policy and
INFO ACCESS JTin
preparing for those moves, both to
identify what they shouldn't move, and
to organize what they should. From
another perspective, if the Agency is to
resolve many of its most pressing
records management problems, it needs
a detailed understanding of its
information resources and how they
relate to one another. The answer to
both problems is a complete inventory
of Agency records. Why? Because we
can't manage what we don't
understand.
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
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INFO ACCESS ¦ OCTOBER 1994
Technology Corner
Technology corner is an ongoing
attempt to provide records managers
with information about how other
programs are utilizing technology to
better manage their records and
provide improved access to
information. Any mention of trade
names, products, or services does not
convey, and should not be interpreted
as conveying, official EPA approval,
endorsement, or recommendation.
Records Disposition Schedules in
Ready Reference Format
Cincinnati has converted the records
disposition schedules to Ready
Reference format. This is the same
format used for the "Greenwire" on the
Agency backbone. There is a keyword
search capability for the index. Once
Transition
procedures nor the hardware and
software to meet all Federal and
Agency requirements electronically.
Finally, improving records
management means raising the level of
records management awareness among
Agency staff and increasing the level
of technical expertise among records
managers. This translates into training
for records managers and staff. Two
examples of program-specific training
are Cincinnati's records management
awareness training for scientists and
OPPE's series of records management
you find the schedule in the index, you
only need to hit "enter" and the
schedule comes up. Anyone interested
in getting copies should contact Sue
Mercurio at (513) 569-7751.
SF 135 Application f*OM
Region 5 /
The Region 5 Regional Records
Program has developed a
WordPerfect 5.1 that cai
complete the SF 135 form to rfcWj
records to the Federal-records ce
eliminates the need to use a typefl
to complete the fonfi^The temjj
does not have the fornfcoutlir
(yet) but it is set up using^ "'
combination of tab stops and c2
to fill in the appropriate blanks. Some
imagination needs to be used until the
awareness training sessions for staff.
To help records liaison officers
improve their skills, the NRMP plans
to develop expanded records
management training opportunities in
FY95.
The transition will not happen over
night. The challenge is to do it in the
next three years. But the pieces are
now in place to make the jump to the
next level. With your continued
cooperation and innovative
approaches to the problems we face,
we can do it. ¦
user is familiar with how the form
looks and what is on the screen. The
"template" is available to other
Regions. If you are interested, or would
like more information, contact Lynn
JfJlvi'fifcRegional Records Officer, at
(312)
Cp-RQM$ftii% in
^GION fli*Mb^NA
£iiin 8's Montana Office and the
Sugerfund Rccordstenter are studying
iducing their
aistrativiS'WHTds (AR) indexes on
}M. The^ reel two goals can be
tied—SUpotfrting the Agency's
rvation efforts and
Kng improved public access to
the record. While working on their
analysis, they found they produce
almost 11,400 pages per set of AR
indexes and eight sets for repositories
for a whopping total of 91,000 pages.
In addition to the paper conservation
issue, users of the ARs at the
repositories are often frustrated
because the sheer volume of materials
makes it difficult to locate what they
want.
In another effort to provide better
access to the AR, the Center will be
providing a test copy of the Inmagic
Plus AR databases on Bernoulli
cartridges to one of the repositories.
The repository librarian had asked to
Technology Comer continued on page 5
3
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INFO ACCESS ¦ OCTOBER 1994
Region 5 ORC Records Move
When Region 5 recently moved its
Office of Regional Counsel (ORC), the
relocation included moving almost
3,400 cubic feet of records. This article
provides a summary of what went into
a "smooth move" in
Region 5.
Approximately two years ago,
Region 5 began planning for the move
of its Office of Regional Co inse.
(ORC) to new space. One important
element in the planning was the
inclusion of records manage ment
requirements in the planning for the
space, including the requirei lent m the
solicitation for space for appropriate
file room space with reinfori
flooring. Lynn Calvin, Regional
Records Officer, and other records
managers were an integral part of the
process.
In the old space, there were four
file rooms and several hundred file
cabinets full of records. The
requirement was to plan the new spac^
to house these records, including
conducting an inventory of existing
records and equipment so as to
understand the scope of the project and
deciding which equipment to move.
The Regional Law Library was made a
part of the project, with approximately
1500 feet of library material to be
moved and reshelved in the new
location.
Preparation Phase
The records program worked with the
architect to develop layouts of the new
file rooms and provided technical
information on the loaded weight of
filing equipment. Further planning
involved assigning files to the file
rooms (on two different floors)
according to the type of cases and the
locations of the attorneys assigned to
_As the move date
la!
the Regi
ServicesjJJran
responsibility
mover f<
managei
inch)
months
^eanup
availaBlSori cleam?
identifying record a
materiafi^ible for
A system for latfe
thtfBquipiTient that <" )uld house them
wajp selectedj and ag
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INFO ACCESS ¦ OCTOBER 1994
Electronic Docket Comments
The Office of Air & Radiation's
Docket & Information Center (Air
Docket) was the first Program Docket
to publish and make available
electronically, via the Internet, the U.S.
Environmental Protection Agency's
proposed Indian Tribal rule. The Air
Docket is participating in an EPA test
pilot project to accept electronic
comments on selected Agency
proposed rules published in the Federal
Register.
The goals of the pilot, which will
run until January, are to determine the
feasibility of accepting comments to
Agency rulemakings electronically and
to develop procedures for doing so
efficiently and effectively. The
motivating force behind this effort is
the Administration's and the Agency's
ever-increasing effort to expand public
access to Agency information and to
encourage a wider, more inclusive
participation in the promulgation
process.
The Office of the General Counsel,
the Headquarters Docket Work Group,
the Agency's National Records
Management Program and the Office
of Administration & Resources
Management (OARM) are working
with John Richards, Federal Register
Staff, (Office of Prevention, Pesticides
and Toxic Substances) to develop the
necessary procedures to ensure that the
electronic filing of comments does not
affect the integrity of the Docket's
records.
The proposed rule appeared in the
Federal Register on Thursday, August
25, 1994, and the comment period
extends for ninety days until November
23, 1994. Instruction on how to submit
comments electronically to this
proposed rule are contained within the
Federal Register notice. For further
technical information on this proposal,
please contact Tina Parker (contractor)
at (202) 260-6584. ¦
Technology Corner from page 3
have the AR removed because no one
used the microfilm. The librarian felt
the film was not used because the
paper indexes were too cumbersome.
The repository does, however, have
Inmagic software and access to a
Bernoulli box and feels that providing
electronic indexes to the microfilm will
provide much better service to their
users. For more information contact
Melody Ballard (contractor) at
(406) 449-5728.
Bar Coding and Indexing in
Region 7
Region 7 reports that it has purchased a
bar coding and document indexing
system named Image Trax. The Region
will be using the system to control
computer hardware and software
inventory, circulation control in the
Information Resource Center, folder
check-in and check-out in the Regional
Records Center, and document
indexing and control of folder access in
the Waste Management Records
Center. Other uses for the bar coding
and indexing system will also be
explored.
The Waste Management Records
Center will pilot the system with
RCRA and Superfund files. Currently,
RCRA files are on Lotus 1-2-3 and
Superfund Administrative Record
indexes in dBase. Folders $md
documents will be bar coded and
indexed for folder access control and
document retrieval. The indexing
system will be kept simple initially,
adding other fields as needed. A color
bar printer was also purchased to make
end tab bar codes and folder labels for
the RCRA and Superfund folders.
Currently, the Waste Management
Records Center is in the development
stage for converting the RCRA Lotus
files to the Image Trax system. For
further information contact Sherry
Hays (contractor) at (913) 551-7644.
5
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INFO ACCESS ¦ OCTOBER 1994
What Do We Do With Our Electronic Records?
by Lisa Jenkins, Records Liaison Officer, OSWER
e works,
This question is echoing through the
halls, not only of EPA hut in other
Federal agencies these days. Nobody
wants to he caught; in the situation of
the White House,
were seized and all th[|
are being scrutinized!
Agency Work Gr^>up3
Records Management
individual programs will need to
develop specific policies and
procedures that address the specific
needs of the records created by the
programs and provide sufficient detail
to he implemented.
OSWER has responded by creating
an OSWER Electrdnic Records
Management Work Group comprised
of Records Management Contacts
through OSWER's offices and LAN
Administrators. The theory behind the
makeup of the group is that records
managers know the legal requirements,
the current paper processes, and many
of the informational needs for
OSWER's information both inside and
outside the program, but they lack the
technical skills to implement electronic-
solutions. LAN Administrators know
the ins and outs of how the LANs work
and can work, but lack the records
management training. It is only in
bringing together the mix of these
skills, that real, workable solutions will
be found.
Of course, people in different
professions almost always have their
own language. Records managers
know records-spcak and LAN
Administrators know systems-speak.
So one of the first things the work
grouji did was to review some key
(although ambiguous) terms such as
j '
record, Electronic record and archive.
We 4lso agreed that, for the purposes
of the work group, E-mail includes
both All-In-One and the various LAN
3 if
Mail system's currently used at EPA
(e.g., WordPerfect Office, cc:Mail, and
Lotus Notes). After all, some day we
will all be in an integrated E-mail
environment and the distinctions will
become unnecessary.
The first goal of the work group is
to come up with a way to file electronic
records thatTits with the way we file
paper records and makes at least the
permanent electronic text records able
to be archived electronically. The next
goal will be to come up with ways to
successfully implement such a plan.
Some ideas being tossed around
include:
1) Allowing flexibility re: users'
working files, when users will
identify electronic documents-by.
record s«$es Cat creation or at file
bre&R)' jfod the original document.
* . '.IT
format, , _ • •
2) Handling permanent records
differently from temporary ree©id#/'
and possibly handling short-term
temporary records differently from
long-term temporary records.
3) Not using E-mail systems as records
management systems, but as
mechanisms of delivery only.
Capturing E-mail records
electronically, at least for an interim
OSWER policy, would be a matter
of downloading the sent or received
message with its associated
transmission data to a diskette, hard
disk or LAN subdirectory for
immediate or later filing with
records of the same series and file
break.
4) Initiating a central database for
collecting the ASCII versions of
permanent records to be put to tape
for archiving (perhaps connected to
another database that collects the
records in another format for use on
the Gopher server, VABs server or
electronic collections of specific
OSWER record collections).
5) Storing temporary records by record
series on hard disk or on diskette in
original format at personal work
stations, at a central area for each
Office, Division or Branch, or at the
FRC.
Whatever we decide to do, we
know, a huge amount of training will be
¦necessary, and not everyone will opt
fbHtbrifig arty of their records
'.electronically.
Our initial meetings were held on
September 20 and 21 and were well
attended by all the right people. The
challenges are great, but we have made
a good start at addressing the issue of
electronic record filing. ¦
6
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INFO ACCESS ¦ OCTOBER 1994
News From NARA
Washington National Records
Center Training
The Washington National Records
Center (WNRC) is offering several
workshops open to anyone working in
records retirement and retrieval. The
workshop explains procedures for
retiring records to and retrieving them
from the WNRC. It includes a tour of
the Center, some practice exercises in
completing forms, and a demonstration
of how to properly prepare cartons for
shipment. Classes are from 9:00 to
12:00 and are free. The WNRC also
offers other classes for a fee.
Office of Records
Administration Training
NARA's Office of Records
Administration has announced its
training schedule for FY95. The
schedule includes both basic and
advanced records management courses.
Classes are from one to three days in
length and cost between $140 and
$420. Anyone with records
management responsibilities should
take the three basic courses:
Introduction to Records Management,
Files Improvement, and Records
Disposition.
News From NARA continued on page 8
Recordfacts Update
The Summer issue of the National Archives and
Records Administration's RECORDFACTS UPDATE
is out, and its available in both hard copy and
electronic formats. The issue includes a number of
interesting articles:
¦ NARA RACO Conference June 1994 (detailed
writeups if you weren't able to attend)
¦ Guidelines on Moving
« NARA's cleanup campaign
• NARA's GOPHER server on the Internet
¦ Being able to get information fax-on-request using
your fax machine.
¦ The move to the new Archives II in College Park,
MD
¦ Special Interest Group on CD-ROM and
Technology Applications (SIGCAT)
¦ Government Historians
« NARA's calendar of upcoming events.
Lisa Jenkins (OSWER) discovered it on the
Internet, pulled it off the National Archives Gopher,
and distributed it to many records managers via
All-in-1. Lisa said she can access it without any fancy
PC-specific hardware or software (no TCP/IP address)
Getting it from the gopher was as easy as mailing it to
her Internet address. The Internet address for
RECORDFACTS UPDATE is: GOPHER://
GOPHER.NARA.GOV/.
The Archives Gopher is vset up to provide
"Information for Archivists and Records Managers"—
"Federal Records Management Information" on
"Publications", "Services", "Code of Federal
Regulations Relating to Records Management", " and
the new "Records Management User's Group"—the
latter being an interagency work group looking
primarily at automating records management (with the
hope we can do it cheaper, faster, and smarter by
sharing information across agencies as we do it). It's
worth a look. Anyone at Headquarters with access to
the LAN (VABS) automax menus should be able to
get on the gopher servers. Regional folks should check
with their IRM staff.
For cither a hard copy or electronic copy via
All-in-1, contact Manker R. Harris (contractor) at
202-260-5272 or HARRIS.MANKER on All-in-1.
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INFO ACCESS ¦ OCTOBER 1994
Records Management Council News
The August 23, 1994, Records
Management Council meeting, led by
Mike Miller of the Information
Management and Services Division
(IMSD), was well attended. The agenda
covered several important projects
dealing with records management at
EPA.
OARM Inventory
Jim Baca (OARM) beganting
by describing the inventui^pmcess in
OARM and sharing some things that he
has learned along the way\ In particular.
mmm
he advised stressi
savings with offi
directors, but foci
increased productn lt\
chiefs. Vicki Betton (contrafror), who
has been working on the OARM
inventory with Jim, emphasized the
need to get management involved at the
outset. Both Vicki and Jim stressed the
fact that their draft inventory form
continued to evolve throughout the
process.
Records Schedules
Via teleconference, Sandy York
(contractor) pointed out the key
information that must be used to
determine how the new disposition
schedules can be used. Schedules
currently fall into three classes:
¦ Schedules that list a General
Records Schedule number, or that
have been previously approved by
the National Archives and Records
Administration (NARA), may be
used for both retirement and
destruction of records.:
¦ Scbpuule/bearipg NARA schedule
numbers beginning NCl-412-94-
bave not received final approval
fQ)jQ NARA and therefore can only
be used to retire records to the PRC.
¦ Schedules with numbers that are
"Pending" cannot be used for
retirement or destruction.
Sandy also discussed paper and
electronic finding aids that can cross-
reference old schedule numbers with
the new ones. (This information was
provided in the August issue of INFO
ACCESS.)
Other Business
Mike Miller presented a draft of the
outline for the IMSD-sponsored
Recordkeeping Requirements Study.
This draft was developed in response to
the general requirements NARA
proposed for the Agency. Mike has
contacted the Office of the Inspector
General and the Underground Storage
Tanks program as possible test
programs.
Meeting-participants next discussed
the ongoing issues related to the
dockets, including how dockets will be
accommodated'in i he new building,
ways of measuring customer
: satisfaction; and clci I ionic
enhancement.
Mike MiUe|gdve- the group an
update on "IMSD work including
comments on NARX's proposed
regulations on vaMjpjkords, which
were signed mOjFPesachowitz
(Director OIkM). Mike agreed to look
into the use of recycled paper and its
suitability for long-term records. (See
related item on page 9.) Lisa Jenkins
(OSWER) reported on the new NARA
workgroup on automating records
management. Deborah Ross (OW)
reported on the outcomes of
Enforcement's reorganization and the
transfer of records to the new OECA. ¦
News from Nara from page 7
New Cost Avoidance Figures
Available.
NARA has released its new estimates
of the cost avoidance in space and
equipment that may be achieved
through transfers of records to the
Federal records centers (FRCs). This
year the cost of storing a cubic foot of
records in an FRC is approximately
$1.62 ($1.50 for storage space and
$0.12 for equipment). The national
average for storing a cubic foot of
records stored in office space is about
$23.04 ($22.45 for space and $0.59 for
filing equipment). The difference is a
$21.42 savings for the taxpayer.
For more information on any of
these items, contact Manker R. Harris
(contractor) at (202) 260-5272 or
HARRIS.MANKER on AU-in-1. ¦
8
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INFO ACCESS ¦ OCTOBER 1994
Around The Records Network
Office of Regional Counsel Records
One area of growth in Regional records management has been Office of
Regional Counsel (ORC) records. Regions 1, 4, 5, and 6 now have special file
rooms for ORC records, and other Regions may as well.
Procedures and Manuals Under Development
Region 1 reports that it is developing procedures for processing NPDES Purge
and NPR (no permit required) files to add to the NPDES Records Center
Procedures Manual, currently in draft. OSWER is developing a File Structure and
Guidance Manual for its Hazardous Site Evaluation Division. The work is part of
OSWER's program to systematically develop file plans for its organizations.
Region 4 has developed draft manuals for the Underground Injection Control
Program and the pesticides Section of the Pesticides & Toxic Substances Branch.
OEJ Preliminary Inventory Report rnkSSr 111
The Office of Administration and Resources Management (OARM) has
completed its preliminary inventory report for the Office of Environmental Justice
(OEJ). The report is in four sections: OEJ inventory summary, OEJ records series,
pertinent records disposition schedules, and recommendations. The report stands
as a model for future inventory reports.
OW and OECA Enforcement Work Group
The joint Office of Water and Office of Enforcement and Compliance
Assurance Records Management work Group successfully completed its work for
the OECA reorganization. Congratulations to all involved.
Headquarters Update
Recycled Paper
According to EPA's Waste Prevention and Recycling Coordinator, the new
100% recycled copier paper used at EPA has high archival qualities and a
200 year shelf life. The National Records Management Program is
foltowing up on the matter to ensure that the paper will meet all records
management requirements.
Region 5 Irom page 4
Benefits for All
Several ongoing benefits to this
process are being realized. The positive
reaction of ORC staff to a "new look"
to their file rooms has been immediate,
commented upon to visitors, and
appreciated as a valuable addition to
their ability to have accurate records
readily available.
But it is the ORC staff who should
get the most credit for two other
improvements. Formerly, and indeed
during the move, boxes would arrive in
the file room with the contents
identified only as "Miscellaneous."
Considerable time was consumed in
identifying what those records were.
With the move, ORC staff have
accepted the process of identifying the
records being sent to the file rooms,
resulting in more efficient filing.
Identification forms and the availability
of folder labels have simplified this
process for busy legal staff.
The ORC staff have also accepted a
new charge-out system for their files.
Currently the file rooms are not staffed
full-time, leaving the opportunity for
records to be removed or replaced
without records staff being aware of
what has happened. The introduction
and acceptance of a charge-out system
has eased this problem considerably,
and ORC staff realize the benefits of
this procedure.
For additional information, contact
either Lynn Calvin at (312) 886-1305
or Gerry Hegel (contractor) at
(312) 353-1481. ¦
9
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INFO ACCESS ¦ OCTOBER 1994
Ask Dr. Records
Records se\
The questions
clusters. This mi
Dr.
to come in
th's questions all related to vital
records and come from Region 1 and Cincinnati.
a
Should we include "expensive"
records in our vital records
program? Expensive records
include those which are the result
of large expenditures of time and
other valuable resources, as well
as those that could be recreated,
but only at considerable cost.
Typically, these would be
research and development
records.
J*
The short answer is no. In
Federal agencies there are only
two real types of vital records—
emergency operations and rights
and interests. However, there is a
longer answer that deserves
consideration, and it involves
recordkeeping requirements.
Although the "expensive" records
may not qualify as vital records,
they may well merit special
protection or processing to
protect the government's
investment. Such special
handling might include
duplication, off site storage, fire
resistant file cabinets, etc. The
question here is one of risk, and
records officers should help
program staff identify those
records that merit special
protection.
I have a program*that claims it
has no vital records. Howfl^I
document this for "the recof
I would suggest having a form
the program manager to sij
simple chcpkJtfTf is fine. The
program|manager (division
dircatbror laboratory director)
wipifld sign the form. The choices
would be that the program has no
vital records or that the program
does and the series would be
listed. Copies of the form would
then be kept on file.
a
The Official Personnel File
(OPF) protects the rights and
interests of Federal employees.
Are they vital records?
This question was so good that I
had to call on outside assistance,
and even then there was no clear
answer. The principle to be
applied is this. The OPF contains
information that would be
considered vital to protecting the
rights and interests of the
employee. Such information
might be the person's length of
service, pay grade, date of
promotion, and other pieces of
information. The question is
whether sufficient information is
duplicated in other files,
including automated ones such as
EPAYS, to protect the rights and
interests of the individual. The
rule is not that the entire file must
be duplicated but that the
important information be
protected and available. Based on
this principle, it does not seem
that the OPF would have to be
duplicated in hard copy as a vital
record.
Tip of the Hat
We welcome the
following people to the
Records Management
Network:
Charlotte Bercegeay,
ORD, Air and Energy Engineering
Research Laboratory, RTP
Susan Auby, Strategic Planning
and Management Division, OPPE
10
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INFO ACCESS ¦ OCTOBER 1994
What Records Liaisons Do All Day
his/her i
nt. In larger^ <
¦will be assisted
Unfortunately, program managers often
underestimate the amount of time and
the appropriate grade level for records
liaison officers (RLOs). The reason is
they frequently don't appreciate what
the duties of the RLO entail. Many
managers see records management as
developing filing systems and taking
care of records retirement. At some
levels those are the main
responsibilities, but each AAslji
Headquarters, each Regional office
and each facility such as
Research and Develo^m
needs an RLO with £uf£
skills to manage
Generally this
who spends
on records
organizati
by a network-
each of the major organizati
What could possibly occupy a
person at that grade level full time?
The importance of the records manager
becomes clearer if ypu look at the four
basic purposes records serve:
1) Administration and management of
the program—Accomplishing the
mission.
2) Evidence (legal and otherwise) of
actions taken—Proof that we did
what we said we did in
accomplishing the mission.
3) Program accountability—Were the
actions taken legal and appropriate.
4) Corporate memory—How and why
we did what we did.
The responsibility of the records
manager to make sure that the records
necessary to meet those four needs arc
m
created, maintained, and ultimately
either destroyed or preserved in the
National Archives. That means having
a broaiUinderstanding of the legal
idutcsj'fbLrecords, Agency and
rocedures, and the
ss and documentation
'ocessesT Thi.®s in addition to a
echnical knowledge of records
afiag?m#ftf. Whereas the prime
nctiqflj^ the records rnanager was
ort^efSerf^s maintaining hconomv and
n managing iw,ords, ihe key
ow are protecting the
rdrn vu
1 BBM
rdVeepjii) and ic
aiVbtf ® m>ht information
t nfiriflfflrarei the right time|
or of fhat that means
ies through
cycle of a new rSeyrds serie
Records CreaTioj
In records creation the RLO should
work with program staff, legal staff,
and the Inspector General's Office to
£ST3bBshrecordkeeping requirements
so that appropriate documentation is
generated to meet all programmatic,
legal, audit, and long-term purposes.
The RLO should also be involved in
ithej,planning,and development of the
infoQi)afio^ystems (manual yr
automated) to ensure that the rpcords
cre^t^will meet Federal and Agency
requirements > tj
«¦"*
Records Maintenance
The RLO will be involved in analyzing
and developing filing and indexing
systems for the records. The system
selected must allow for a complete
record to cover all legal, audit, and
administrative needs; a concise record to
maximize economy and efficiency; and a
well planned system to allow for efficient
retrieval of information when needed.
The RLO develops policy and
procedures for managing the records
throughout their active life.
Records Disposition
The RLO works with staff to determine
the proper retention and disposition for
the series, and prepares the records
disposition schedule. The RLO must
ce sure that all potential needs both
insiae and outside the program are
Dsid^red, and that the disposition
1 legal and audit requirements,
arry out these tasks, the RLO
, rr|a&t fie"able to:
'onduct research and analysis
t policy and procedures
Conduct training and briefing^
Interact effcctweWj^Uirfcchnical staff
MaintainJPmgh level of technical
expejjHSe in both records management
atlathe programs for which the RLO
is responsible.
Even if a program chooses to contract
out for some of the expertise, the
program manager for the Agency will
have to have these skills and some
technical expertise as well, if he or she is
to effectively manage a records
management contract and carry out those
portions of the program which cannot be
contracted out (e.g., policy
development).
Does anyone still think it's not a full
time job! ¦
11
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