United States Environmental Protection Agency Information Resources Management (3404) &EPA INFO ACCESS EPA 220-N-94-005 Issue Number 40 ADril 1994 Records Network Communications In this Issue... Ask Dr. Mike p. 3 NARA Proposes E-mail Regulations p. 4 National Records Management Progam Update p. 4 National Media Laboratory Review—Conference on Data Recording and Dissemination Systems p. 5-6 "Open vs. Closed" Records Centers v p. 7 ' NARA Bulletins No., 94-1, 94-2, 94-3 p. 7 Around the Network p. 8-9 More About Vital Records and Disaster Recovery p. 9 Additional Disaster Recovery Information p. 10-11 So What's a Survey Anyway? p. 12-13 Welcome to the Network p. 13 Records Management and IRM by Michael L. Miller, Agency Records Officer I've been reading the Agency's "Data Call Consolidation Report." It was compiled from submissions by Senior IRM Officials, who were asked to provide data about their plans and projected spending to support a broad range of general information resources management (IRM) goals. One area on which data were collected was records management. Programs were asked to report whether they had an action plan to respond to the National Archives and Records Administration (NARA) evaluation, the percentage of NARA recommendations that have been addressed, the level of contractor support, and the number of PTE assigned to records management (see Consolidated Records Management Data on page 2). The figures will serve as a baseline for monitoring the status of records management across the Agency. Although the results show the continued gap between records management programs in the Regions and those at Headquarters, they also reflect the increased activity at Headquarters over the past two years. Indeed, OARM, OE, OA, OGC, and ORD have taken a number of steps to improve their records management programs since the data were collected. The report is of particular interest because it asks all IRM players to think in terms of eight common goals (see IRM Organizational Mission and Goals on page 3). Records management supports a number of them, and the IRM community is beginning to realize that. As records managers, we must be ready to play our part. What is that? I see three basic functions that we can play in the IRM community, and they follow the information life cycle: 1) Help the Agency determine what records need to be created to ensure that we have "adequate and proper documentation" of our activities. Ensure that technology applications support and enhance rather than diminish the Agency's official record. 2) Advise the Agency on the best ways to organize and manage the active information to facilitate use, storage, and access, including public access. Records Management Continued on page 2 Printed on Recycled Paper ------- Consolidated Records Management Data Offlce/iRegion - Plan Percent of Recommendations Achieved Contractor Support FTE Region 1 Yes 20% $621,000 0.5 Region 2 Yes 467. $900,000 5.2 Region 3 Yes 607. Yes 1 Region 4 Yes 307. $1,112,150 2.4 Region S Yes 607. Yes Region 6 Yes 1007. 1 Region 7 Yes Completed By FY95 Yes Yes Region 8 Not Submitted Region 9 507. No Yes Region 10 Not Submitted OA Yes 757. 3 OIA Yes 177. $30,000 0.1 OPPE Not Submitted OARM No No No OAR Not Submitted OW Yes 257. No 1.25 OPPTS Yes OGC No No No OE No No No Ol© Not Submitted ORD Not Submitted OSWER Yes 207. $150,000 1 full time 16 part time Records Management from page l 3) Advise the Agency on what documentation needs to be retained, for how long, and the best means of doing so. The two keys for doing this successfully are developing expertise in records management theory and practice and knowing your records. This issue of INFO ACCESShas a number of articles that will help you on both counts. Happy reading! • mtim 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 StreA, SW, Washington, DC 20460. Telephone: 202-260-5272. Electronic mail: Harti£Manker. INFO ACCESS APRIL 1994 ------- Ask Dr. Mike Q.Is my Franklin planner a Federal record or a personal paper? A. No E-mail message elicited more comment than a recent one suggesting that a person's planner, such as a Franklin Planner or Daytimer, might be a Federal record. (The regulations also refer to diaries, journals, and notes, and the same reasoning applies for those as well.) Are they Federal records or personal papers? The short answer is that yes, they can be records. The longer answer is that, in specific cases, it depends. Let's go over what is clear. Most programs require staff to maintain a calendar or schedules of their activities. If so, then a calendar of some type is part of your duties as an employee, and would be a Federal record. For most employees, the retention is two years. Calendars of high level officials, AAs for example, are permanent records under the approved Agency schedules. When would a calendar be an Agency record? Here are a few guidelines: ¦ Was it prepared for use in transacting Agency business? ¦ Was it used in transacting Agency business? ¦ Was it circulated in the course of transacting Agency business? ¦ Were contents communicated in transacting Agency business? If the answer to any of these questions is yes, then there is a strong chance that the document, or portions thereof, qualifies as a Federal record. Let's get up close and personal, and look at my Franklin Planner. It contains a mix of work-related and personal information. It is the only calendar I keep. I take notes in it at Agency meetings; and use those notes to brief my management, prepare memos, and conduct business. There is no question in my mind that my planner is a Federal record, at least the portion that relates to work. If there were a Freedom of Information Act (FOIA) request for my planner (no bright ideas please) I would have to either make it available as is, or go through and segregate out the materials that do not meet the criteria for records. The best practice is to keep personal papers and Federal records separate. When it comes to calendars and diaries, that may be very difficult. If such records are requested under FOIA, contact the Office of Generalor Regional Counsel before doing anything, because there is a body of case law that must be considered in deciding what is releasable under FOIA. Bottom line: Generally speaking our calendars may well qualify as a Federal record under the definition of a record in the Federal Records Act. Whether a specific calendar is a Federal record, or what parts of it are a record, is best determined in conjunction with counsel. If you want more information on the subject of personal papers and Federal records, the NRMP has available a "Practical Guide to Personal Papers (Technical Information Leaflet #3), and NARA's Personal Papers of Executive Branch Officials: A Management Guide. Copies of both documents are available through Manker R. Harris (contractor) at 202-260-5272. • The IRM Mission of the EPA is to provide leadership and effective management in delivering reliable information services to support the Agency's missioa The following represent the eight Agency IRM goals, which are taken from the 1993-1997 IRM Strategic Plan. ¦ EPA leverages its information for environmental results. ¦ EPA has integrated environmental information. ¦ EPA is a leader and reliable partner in sharing environmental information. ¦ The public has access to environmental information. ¦ EPA employees make productive use of information and technology. ¦ EPA is committed to quality strategic information plans and efficient implementation of IRM programs. ¦ EPA views IRM as understanding its business and providing value-added services. ¦ Technology is transparent to the users. APRIL 1994 INFO ACCESS ------- NARA Proposes E-mail Regulations National Archives and Records Administration (NARA) proposed regulations on the management of electronic mail (E-mail) in the March 24, 1994, issue of the Federal Register. The proposed regulations will impact all Agency systems used to transmit messages—LAN systems such as cc:mail and WordPerfect Office as well as AIl-in-1. They also include sections on electronic calendars and drafts circulated for comment via E-mail. The proposed regulations have implications for systems managers, LAN administrators and others who are responsible for the development and implementation of electronic mail in the Agency as well as records managers. In some cases, the proposed regulations explicitly apply existing general records management requirements to electronic mail. In other cases, new requirements have been added. A few of the most important general issues are: 1) How EPA will choose to capture and retain transmission and receipt data, draft documents, directories and distribution information, calendar information, and information received from external sources (e.g., Internet). See Sections 6-10. 2) What of this information is necessary to adequately document Agency activities? The proposed regulations allow the Agency some latitude in determining what types of transmission and receipt information, draft documents, and other information needed for adequate and proper documentation. See Sections (i-l(). 3) What types of recordkeeping system (paper or electronic) should EPA choose to implement to meet its recordkeeping requirements'! Is it feasible to maintain the E-mail records electronically? See Section 11. 4) There are system security requirements in Section 13. It is not clear whether they pertain to the E-mail system or the electronic "recordkeeping system." 5) There is a requirement for employee training and guidance that will involve considerable resources. Since it is not clear what this training must entail, it is not clear how this training will be accomplished. See Section 14. 6) There is a requirement for agencies to monitor the implementation of records management guidance on E-mail to ensure that users are accurately identifying records and properly maintaining them. There are technical and practical questions as to how this would be accomplished. See Section 15. Most records officers have received a copy of the proposed regulations. If you have not, or would like a hard copy, please call Manker R. Harris (contractor) at 202-260- 5272. If you have comments, please send them by May 22 to Michael Miller, the Agency Records Officer, by Fax (202- 260-3923) or via All-in-1 (MILLER. MICH AEL-OIRM). « Notional Records Management Program Update Records Disposition Schedules. The NRMP has received responses from most programs on the Green Border review of Agency-wide records disposition schedules. To date, all respondents have concurred or concurred wilh comments, none of which pose significant problems. The NRMP is now beginning to send Headquarters programs copies of their records disposition schedules for review. Draft schedules were sent to the Office of Water for their review, and others will be distributed in the coming weeks. Records Management Action Plans Due. As part of the Agency's response to the NARA Evaluation, programs are required to submit action plans describing their progress over the past six months. The call for action plans went out in late March requesting updates of activities through the end of March. Programs were asked to evaluate their action plans and restructure their approaches to resolving records management deficiencies where necessary. The NRMP will review the action plans, develop an overall Agency response, and forward the entire package to NARA. Records Management Awareness Bulletin. The NRMP prepared a draft Awareness Bulletin on records management issues and presented the draft to the Committee on Integrity and Management Improvement. Awareness Bulletins are designed for desk-to-desk distribution and seek to advise employees about matters that may not he entirely clear in regulations or policy. The draft contained sections on identifying Federal records and personal papers, the Freedom of Information Act and how it applies to records retention, records maintained by contractors, and employee responsibilities. Records officers have suggested adding sections on the management of draft documents, planners and calendars, electronic mail, and "copies." INFO ACCESS APRIL 1994 ------- National Media Laboratory Review—Conference on Data Recording and Dissemination Systems by Jim Whittington, Regional Records Officer, Region 4 On January 25-26,1 attended the National Media Laboratory Review in Reston, VA. The National Media Lab (NML) serves as an industry resource supporting the U.S. Government in the evaluation, development, and deployment of advanced storage media and systems. The purpose of this report is to encourage EPA staff to take advantage of the resources offered by NML and familiarize Records Officers with some of the research projects and functions of NML. I've found that in dealing with computer people it helps to give them information they can use. When I worked at the National Archives and Records Administration (NARA), nothing worked better to establish trust and get my points across than citing NML studies on the longevity and stability of media and in some cases even referring them to NML. Many computer people are concerned with media, but stay focused on the hardware and software and only hear vendors' claims about media. I suggest if you have electronic records, make use of NML to give your computer staff useful information they cannot readily find elsewhere. The National Media Laboratory NML has traditionally worked with the Defense Department (DOD) and the intelligence community, but they are expanding their program to the civilian agencies. NML has three research arms: Technology Assessment, Technology Development, and Technology Transfer, and two outreach arms: Operations Support and User Support and Services. For EPA, the Operations Support Unit is the most relevant. This group responds to a wide array of requests including tape archive audits, system defect analyses, recommendations cm long-term data storage, tape recovery methods after catastrophic failures, tape care and handling requirements, and site environmental analyses. The Operations Support Unit can also provide technical information and recommendations during the acquisition and development phase. Systems and media are analyzed in terms of cost, reliability, performance, and user environment and requirements early in the process to prevent surprises later. For major projects, after an initial assessment and resolution proposal, NML will either determine the work is critical to a broader community and proceed for free, or charge the requestor for future work. NML is the source DOD goes to when a fighter is shot down and the black box is burned or the audio tapes have been exposed to salt water for an extended time. The intelligence community draws upon their expertise for mass storage and retrieval of intelligence information. NARA made use of NML to analyze the longevity of certain media and to do environmental site analyses of the storage areas for permanent magnetic tape, including tests for air particulates and fungi. NML is able to provide care and handling instructions for any medium (including paper) that has been contaminated by any source. They are also able to deal with obsolete media, so if EPA has media that cannot be read on current systems, NML is an option. NML also produces a Storage Systems Database that contains information, projections, and specifications for optical and magnetic mass storage drives and media so Government users can make a comparison of storage systems based on performance, cost, physical requirements, etc. This database also tells you if a medium is currently supported, so it can be of great use to records officers who come upon a strange diskette or video. 1 have a copy and will be happy to answer any inquiries. You may also contact NML over Internet at nml@mmm.com or call Erin Binder of NML at 612-733-0468 for your own copy. Use the above sources to also subscribe to "NML BITS" the NML newsletter. Current articles in "NML BITS" are on the data management challenges of satellite data, future technology developments in storage media, and an analysis of metal-particulate tape stability. For a list of all NML publications, send an E-mail to the above Internet address with "publications" as the subject. The publications list will be sent to you within an hour. January 25-26 Meeting The Reston meeting was titled "Data Recording and Dissemination Systems: How Commercial Technology Trends Affect Government Programs." NML meetings are primarily concerned with media, but there is always a subject theme to the meetings as well. Spatial data was the focus at this one, with addresses by a number of high-ranking military officials discussing data management and access to the vast spatial data holdings of intelligence agencies and DOD. National Media Continued on page 6 APRIL 1994 INFO ACCESS ------- National Media from page s Central Imaging Office The Deputy Director of the Central Imaging Office noted that there ire plans to declassify much of the information gathered from early Air Force satellites. At the same time, a system to tie all the Commands together to access and share data is being developed. In addition, DOD is attempting to convert several 100,000 feet of film to digital media. Defense Mapping Agency The Defense Mapping Agency is developing a number of CD-ROM products, including Topographic and Elevation Data, Vector maps, the Digital Chart of the World, and the DMA catalog, which will cover two discs. DMA is also producing thematic layers on CD-ROM for the Navy, including hazards, boundaries, and navigational aids. Projections are for DMA to have over 500,000 magnetic tapes and 10,000 CD-ROMs in the next few years. Technology is being explored that will allow field commanders to overwrite a DMA product and create their own data layers on the fly. Since DMA is committed to CD-ROM as a distribution media, and much of the information may be classified, DMA is concerned with how to destroy CD-ROMs so that data cannot be recreated and the destructive process is environmentally sound. Destruction of Classified Data Destruction of classified data is a large headache for DOD and the intelligence agencies, with some agencies incinerating tens of thousands of magnetic tapes per year. NML is looking at better ways to assure the classified data is destroyed without harming the environment with the toxics released from tapes during the incineration process. If any EPA office is interested in pursuing this research with NML, please contact Gene Hickok at 612-7374926 or via E-mail at gjhickok@mmm.com. Remote Sensing The Office of Technology Assessment is in the process of writing three reports on the civilian remote sensing program. The reports will address current satellite systems, current data management systems, and the future of both. Preliminary findings are that the U.S. needs a strategic plan for remote sensing to assure routine, long-term, high quality data. Such a plan would identify roles for each agency (including non-space based remote sensing), involve the private sector, and determine who will archive, distribute, and integrate the data. It would also help reduce the risk of introducing new technology and eliminate duplicative efforts in gathering and analysis. Civilian agencies will get greater access to 1-3 meter resolution images as the focus for defense and intelligence moves from resolution to timely delivery and immediate analysis. The OTA representative also said that data already collected is important to climate change research and should be protected and available. All of this calls for resources for data management. Office of Management and Budget Bruce McConnel from OMB/OIRA addressed a number of information issues, most dealing with the "information superhighway." He sees the Government's role as a regulator of this new industry as well as providing a framework through laws for dealing with access, privacy, and intellectual property. The Government should encourage choice and competition, realizing that new regulatory schemes will have to be created. OMB is backing a project called the Governmental Information Locator System (GILS) which will be administered by NT1S and require agencies to develop bibliographic entries for both electronic and paper information systems consistent with a GILS standard and Internet protocols. For the Reinventing Government project, information technology is critical to help reengineer processes and change work flows. Ultimate goal is to combine the NPR with the National Information Infrastructure to improve government. Several areas are already being examined, including information kiosks, law enforcement communications, and electronic benefits transfer. Also, movement is underway to make sure procurement regulations do not continue to condemn information technology to obsolescence before delivery—there are several bills before Congress to change the process. Other Technological Sessions In addition to these policy sessions, there were also technological sessions on Image Data Compressions and Digital Recording, U.S. Recording Industry Perspectives (Kodak, 3M, IBM, Metrum and DataTape), and Commercial and Consumer Directions. General opinion among the independents is that optical disc technology will soon reach its limits for space. As one scientist said, "You can only cram so many pits on a disc." Some improvement may be seen with a smaller, more precise green laser, but it is not currently able to read the red laser discs. Magnetic media is still the media of choice for most because there are a number of ways to get more information in a smaller area and the properties of the media have not changed significantly, even though the capacity has improved greatly. Some people are sold on barrium-ferrite media, but there are numerous questions as to its stability. Most agreed that magnetic-based petabyte storage systems will be in operation by 2000 and that holographic storage will be widespread by 2010. 0 INFO ACCESS MsM APRIL 1994 ------- "Open vs. Closed" Records Centers by Sandy York (contractor) Recently there has been some electronic mail conversation about whether it's better to have "open" or "closed" records centers. An open center is one in which anyone can walk in and pull the file they want. A closed center is a center where the materials are monitored by designated staff and requestors are not allowed to pull or refile their own files. Making the decision to "close" a center can be a very controversial one. A common concern about closing a records center or file room is access after hours and on weekends. A number of operations have reported they successfully addressed this concern by making provisions for special arrangements when records staff are not present. From the recent E-mail messages on the subject, there are a number of proponents of the closed center. Here are some of the advantages mentioned in their messages: ¦ Improved file safety and integrity ¦ Better availability ¦ More accountability ¦ Faster response times for filling requests ¦ Reduces last minute "scrambles" The major problem with an open center is that there may or may not be a system for documenting who has accessed, removed, or replaced files. While it is usually viewed as more convenient, this "open door" policy can result in more misfiled or lost records. One drawback of this type of file room is the person in a hurry who plans to come back and fill out the check-out card "later"—but forgets. Nancy Yarberry, Region 6's Records Officer, summed it up this way: "It is important that we (EPA) be able to locate our records at all times, and that the files be accurately maintained. We have found that this can not be accomplished when everyone is allowed freedom to roam the record centers.... As I see it, there is no accountability, as long as its possible to blame someone else for these problems, they will continue." • 'J NARA Bulletins No., 94-1,94-2,94-3 Copies of the most recent NARA Bulletins have been sent to Records Officers in Headquarters, Regions, Field Offices and Laboratories. Bulletin 94-1 lists NARA Bulletins which remain in effect. This Bulletin should be used to update your NARA Bulletin files. Bulletin 94-2 provides guidance on the handling of facsimile (fax) transmissions that satisfy the legal definition of Federal records. Excellent guidance for fax copies which are on "thermal paper" is given and should be followed. The "interpretation" section addresses when "fax" documents are to be considered Federal records. Questions concerning policy contained in the bulletin should be directed to Mike Miller, Agency Records Officer, EPA National Records Management Program, Mail Code 3404,401 M Street, SW, Washington, DC 20460, Telephone: (202) 260-5911, or E-mail: Miller. Michael-OIRM. Bullentin 94-3 transmits a brochure, "Guide to Washington National Records Center Services." This Bulletin is probably useful only to Headquarters offices. However an interesting note in the Bulletin is that"Five times as many records can be stored per square foot of FRC space as in equivalent agency office space." Comparable costs are that, in an average office in the District of Columbia, it costs $22.57 annually to store one cubic foot of records as compared to $1.59 to store that same cubic foot in the Federal Records Center (FRC). Copies of these bulletins are available by contacting Manker R. Harris (contractor) at (202) 260-5272 or E- mail:Harris.Manker. NARA Change of Address and Phone Number Although the move took place some months ago, it is possible that there are some who may not be aware of the new address and phone numbers for NARA. They are as follows: Office of Records Administration National Archives at College Park 8601 Adelphi Road College Park, Maryland 20740-6001 Phone: (301)713-6677 APRIL 1994 7 INFO ACCESS ------- EPA Lab, Field Office, and Regional Records Contacts April 1994 Region 1 Name E-mail Phone Regional Records Officer Margo Palmer Palmer.Margo (617)565-1495 Regional RM Coordinator Barbara Callahan* Callahan.Barbara (617)565-4905 Superfund Records Manager Margaret Meehan ' Meehan. Margaret (617)573-9647 Jim Kyed* Kyed.James (617)573-9656 RCRA Records Robin Blscaia Blscaia.Robin (617)573-5754 Ellen Culhane* Culhane.Ellen (617)573-9673 New England Regional Lab—Lab Records Manager Vivian Coughlin (617)860-4367 Lyn McCoy* McCoy. Lyn (617)860-4600 ERL— Narragansett Records Support Neil Lackie Lackie. Nell (401)782-3119 Region 2 Name E-mail Phone Regional Records Officer Joseph Clore Clore.Joseph (212)264-5354 Office of Records Administration Cynthia Psoras Psoras.Cynthia (212)264-6139 Superfund Records Manager Jennie Delcimento Delcimento. Jennie (212)264-8676 Region 3 Name E-mail Phone Regional Records Officer Barbara Brown Brown.BarbaraJ (215)597-0580 Superfund Records Manager Anna Butch Butch.Anna (215)597-3037 RCRA Records Manager Maureen Zacharias Zacharias.Maureen (215)597-2642 ESD/EMSB/AOF Betty Jeffery (410)224-0907 CRL—Annapolis Lab Records Officer Dan Donnelly Donnelly.Dan (410)573-2631 CLP Analytical Records Annette Lage (410)573-6843 Region 4 Name E-mail Phone Chief, Information Services Rebecca Kemp Kemp.Rebecca (404) 347-2316ext. 6009 Regional Records Officer Jim Whlttington Whittington.Jim (404) 347-3555 ext. 6004 Superfund Records Management Harold Key Key.Harold (404)347-2930 Superfund AR Coordinator Debbie Jourdan Jourdan. Debbie (404)347-2930 Head Librarian/Coordinator Uz Blbby* Bibby.Liz (404)347-2401 Regional Records Manager Rosa Dickens* Dickens.Rosa (404)347-2401 Superfund Records Manager Cheryl Brown* Brown.Cheryl (404)347-2391 RCRA Records Manager Gussle Lofton* Lofton.Gussie (404)347-0506 Cost Recovery Records Manager Unda H. Williams* (404)347-5210 OARM-RTP—Records Officer Cynthia Bass Bass.Cynthia (919)541-5787 OARM-RTP—NDPD Records Officer Deborah Redner-Slnger Slnger.Deb (919)541-1487 HERL-RTP—Techlnal Information Manager Jerry Gerding GerdingJerry (919)541-5157 ECAO-RTP—Lab Records Manager Doug Fennell TSS.ECAO.RTP (919)541-3789 AREAL-RTP—Lab Records Manager Grace Griffin AREALPOS (919)541-2352 AEERL-RTP—Lab Records Manager Alice Gagnon Gagnon .Alice (919)541-7510 ERL-Athens—Lab Records Manager Janice Sims Sims.Janice (706)546-3302 ERL-Gulf Breeze—Lab Records Manager Connie Shoemaker Shoemaker.Connie (904)934-9226 NARL— Montgomery Records Support Ross Beasly (205)270-3409 Region 5 Name E-mail Phone Regional Records Officer Lynn Calvin Calvln.Lynn (312)886-1305 Gerry Hegel* Hegel.Gerry (312)353-1481 Waste Management Records Manager Janet Pfundheller PfundhellerJanet (312)353-5821 Superfund Records Center Lorraine Kos* Koz.Lorraine (312)886-0911 RCRA Records Sharon Klddon Klddon.Sharon (312)886-6173 Air ft Radiation Division George Hurt (312)886-6822 Regional Records Disp Officer Louise Smith Smith.Louise (312)353-6690 Water Division Lula Sprulll (312)886-3890 OARM-Clnclnatti —Records Officer Suzanne Mercurio Mercurio.Sue (513)569-7751 Sheryl Drexelius* Drexellus.Sheryl (513)569-7747 EMSL-Clnclnatti—Records SupJ»ort Diana Irwin IrwIn.Dlana (513)569-7485 ERL-Dukith—Administration Service Coordinator Evelyn Hunt (218)720-5509 NVFEL-Ann Arbor—Records Support Debra Talsma* Talsma.Debra (313)668-4311 ECAO-Clnclnattl—Administration Records Nancy Bauer Schwaegerle.Unda (513)569-7144 FMSD-Clnclnattl—Records Liaison Dorothy Cannon Cannon.Dorothy (513)569-7628 INFO ACCESS APRIL 1994 ------- EPA Lab, Field Office, and Regional Records Contacts April 1994 (Continued) Region 6 Name E-mail Phone Regional Records Officer Nancy Yarberry Yarberry.Nancy (214)655-6537 Sonia Kramer* Kramer.Sonia (214)655-8335 Supeifund RMO (Acting) Verne McFarland McFarland.Verne (214)655-6617 Steve Wyman* Wyman.Steve (214)655-8381 RCRA RMO Pat Nelson Nelson.Pat (214)655-6750 Dorothy Garrett* (214)655-6732 Air, Pest & Toxics Division Kathy Ballard (214)655-7207 Sharon Kruger* Kruger .Sharon (214)655-8014 Management/Program Planning RMO Nancy Yarberry Yarberry.Nancy (214)655-6537 Elizabeth Clark* (214)655-6532 Env Services Coordinator Bonnie King (214)655-2215 Robert Wilson* (214)655-8379 Water RMO Jo Taylor Taylor.VJ (214)655-6498 Regional Counsel RMO Vacant Serfta Gibson* (214)655-2286 ERL-Ada—Lab Records Manager Anna Runyan ERL/Ada (700)743-2224 Region 7 Name E-mail Phone Regional Records Officer Carol Brakeall Brakeall.Carol (913)551-7527 Regional Records Center RMO Patricia Jones Jones. Pat (913)551-7238 Records Center Manager Vacant Supeifund RMO Barry Thierer Thlerer.Barry (913)551-7515 Waste Management Records Manager Sherry Hays* Hays,Sherry (913)551-7586 RCRA RMO Jennifer Anderson (913)551-7644 Removal Records Manager Teri Hanklns Hanklns.Tereasa (913)551-5151 Cost Recovery RMO Bea Sanders (913)551-7911 Cost Recovery Manager Vacant Region 8 Name E-mail Phone Regional Records Officer Supeifund Remedial Coordinator Supeifund Removal Coordinator Head Librarian/Coordinator RCRA Records Center Manager NEIC—Records Manager Montana Operations Office Jackie Rivera Carole Macy Tina Artemis Cindy Osborne* Bill Brown* Paula Smith Yolanda Montez Pam Hlllery Melody Ballard* Rivera.Jackie Macy.Carole Artemis.Tlna Osbome.Cynthis Brown. William Hillery.Pam Ballaid.Melody (303)293-1465 (303)294-7038 (303)294-7039 (303)391-6767 (303)293-1226 (303)236-5147 (303)236-5111 (406)449-5720 (406)449-5728 Region 9 Name E mail Phone Regional Records Officer Superfund Records Manager Superfund Records Center Manager Supeifund Cost Recovery RCRA Records RCRA Records Center Manager EMSL-Las Vegas—Lab Records Manager Yvonne Pederson Elaine Chan Diane White* Sharon Lande* Pamela Cooper Ted Harris 1. Elizabeth Sutton Pederson.Yvonne Chan.Eialne Whlte.Dlane Harris.Edward Sutton.Ellzabeth (415)744-1517 (415)744-2380 (415)744-2166 (415)744-1740 (415)744-2046 (415)744-2205 (702)798-2864 Region 10 Name E mail Phone Regional Records Officer Superfund Records Manager RCRA Records Manager ERL-Corvallit—Lab Records Manager Charlssa SehHep Kate Browder* Lynn Williams Kathe Rutsala* Margaret Hughes* Pamela Taylor Schiiep.Charissa Browder.Kate Wllliams.Lynn Rutsata. Kathe H ughes. Margaret Taytor.Pameta (206)553-1605 (206)553-4480 (206)553-2121 (206)553-4817 (206)553-6687 (503)754-4582 ' ¦ Contractor APRIL 1994 INFO ACCESS ------- Region 1—Lessons Learned From the Flood In mid-January the main building at the Region 1 headquarters experienced flooding when snow on the roof of the building melted. Margo Palmer (Records Officer) and Barbara Callahan (contractor) surveyed the offices and pinpointed the problems. They have a few suggestions to share with the network. Despite efforts to blotter and/or fan dry moist records, mold spores were detected on the recovered materials. EPA staff were advised to discard ALL water damaged paper, even if it was well dried. Since there is a GS A copying facility in the building, the job was conveniently done by replacing the damaged originals with copies. Improper storage led to the most serious damage. The wettest files provided a dramatic reminder to keep records inside the filing cabinets and not on top of them or on the floor around them. More serious damage occurred when the chain of custody of Grand Jury evidence was broken by cleanup crews entering the locked room. The records were stored in cartons on the floor. It is prudent to have a perpetual transfer of records off-site to the FRC. Without such transfers, paper accumulates in the office and tends to be improperly stored, with resulting confusion over what is and isn't essential. Also, Region 1 has a fireproof safe on order, it will be located off site and used for storage of vital records in all media. Don't delay your search for local sources that would advise in the recovery and restoration of damaged records. Compile a list now and forward it to your IRM Chief and to other agencies in the building. It was interesting to hear the responses of more than one senior staff person when asked what they would grab in an emergency situation... "My Rolodex!" EMSL-Las Vegas—Records Committee Liz Sutton reports she has established a committee of records managers and custodians at the Laboratory. She will be sending them information on records management each week and visiting each one. She has also established an electronic mail network there so she can send information to them electronically. Region 10 RCRA—TES and RIC Contracts Closeout Project Margaret Hughes (contractor) reports that they have just finished reviewing and comparing 87.5 linear feet of contract closeout files received from two regional project officers with regional RCRA files. Three linear feet were integrated with RCRA facility/site files and 3/4 linear feet added to contract management files. As a followup, 12 linear feet of residual file materials have been reviewed and assessed for continued retention or disposition. So far, 2 linear feet have been returned to the project officer for destruction following their identification either as duplicates, or as having outlived their mandated retention period. Eleven boxes still requiring retention have been organized for eventual retirement to the FRC. The last phase of the project is the assessment of 9 linear feet of shelved 3-ring binders. Margaret estimates that the completion of the project will have released some 15 linear feet of shelf space. OW's Enforcement Records Workgroup The first meeting of the Headquarters OW/OECA Enforcement Records Workgroup was held on March 15. The workgroup identified senior management support, training for all staff, and a clean up day as three important requirements. Target activities include: 1. Two or three two-hour training sessions on what is a record, records disposition schedules, etc., tentatively scheduled for the week of April 18. 2. An OW-wide Records Management Day (clean-up day), emphasizing enforcement information, the week of April 25. 3. Identification of records to go to OECA, records to stay in OW, and who will have responsibilities and where, beginning in May. info access mmm april 1994 ------- In addition, the workgroup identified support to be provided by an OW contractor for records management support, an OW summer intern, and some support from OECA's records management contractor. The next Workgroup meeting is scheduled for the week of April 18. Records Management Training for ORD Mike Miller, Agency Records Officer, visited the Environmental Research Laboratory in Gulf Breeze (ERL-GB), accompanied by Cynthya Holley, the ORD Records Officer. The trip included two training sessions on records management for scientists and supervisory staff, two sessions with the program support and clerical staff, a review of selected ERL-GB records, and a briefing for the Laboratory Director. Back at Headquarters, ORD arranged a training day during which Mike conducted training for over 100 ORD Headquarters staff, providing training similar to that done in Gulf Breeze. The management of electronic records is a consistent theme at ORD training sessions. Cincinnati sponsored a meeting with the Dayton Federal Records Center to discuss electronic records management issues. Mike Miller is drafting a report on the ERL-GB visit and a summary of records management problems based on his visits to four ORD laboratories. More About Vital Records and Disaster Recovery by Sandy York (contractor) In the February issue Nancy Yarberry talked about the new training class NARA is presenting at most of its regional offices. Included as an insert to this issue is a list of disaster recovery sources and suggested steps for disaster planning which were handed out at the NARA training held in Denver. Also, you will find a list of emergency supplies maintained by the FRC in Denver as part of their disaster recovery plan. Jim Whittington (Records Officer, Region 4) has provided a list of recent nationwide disasters received from the National Media Laboratory which is included in the insert. In addition to the type of disaster, the list also shows the number of data centers which experienced "down time" because of the emergencies. In recent years there have been some major and minor events affecting EPA records that I'm aware of: Earthquake Region 9 1989 Water damage (broken sprinkler head) Region 1 1994 Water damage (snow from roof) Region 1 1994 Water damage (water pipe) Headquarters PIC 1994 This reminds us that disasters can happen to us too. If it happens to you, will you be ready? These are some of die questions you need to think about: ¦ How would you recover water-damaged paper files, diskettes? ¦ What would you do if you couldn't access your files because the building was structurally unsafe? ¦ What information would you need to get "back in business?" ¦ What's the best way to protect vital information? ¦ What does protection cost? ¦ Can the information be reconstructed from other sources? ¦ What is the risk if the information isn't protected and lost? ¦ If the information is important enough to duplicate, how should it be duplicated? How often? How much will it cost? ¦ Who will be responsible for ensuring the records are protected? ¦ Is your location prone to certain kinds of disasters? Earthquakes? Flooding? etc.? These are some of the issues you need to consider as you develop or refine your records management program and as you prepare your next update to the NARA evaluation action plans. As stated in NARA's evaluation, each program office at Headquarters, each Region and Lab needs to "implement fully the instructions of Chapter 4 of the Records Management Manual to develop and maintain an agency-wide program for the protection of vital records." The National Records Management Program will be providing guidance on the identification of vital records. It will be up to each program and unit to identify those records, provide for their protection, and follow the guidelines of the vital records program. • APRIL 1994 11 INFO ACCESS ------- Additional Disaster Recovery Information Many programs have asked for specific information concerning potential sources for disaster recovery supplies. The information on pages 10 and 11 is from the NARA training on Vital Records and Disaster Recovery presented at the Federal Records Center in Denver, 1993. (Suggested) Disaster Planning Steps Identify and assign responsibility (committees) ¦ planning ¦ response ¦ recovery Educate the committee Perform a Hazards/Risk Analysis ¦ understand potential building problems ¦ survey fire protection policies and equipment ¦ assess ability to protect people ¦ evaluate potential for crime/vandaiism ¦ understand regional potential "Acts of God" Establish goals and a timetable Develop a reporting schedule and reporting lines Evaluate holdings and assign priorities Identify potential hazards Assess prevention and protection needs ¦ stockpile supplies and equipment ¦ replenish when necessary Review fiscal implications Write the plan Distribute the plan ¦ train ¦ drill Evaluate the plan and update it regularly (annually) (Suggested) Components of a Disaster Recovery Plan Table of Contents Introduction ¦ use of the document ¦ how it is to be revised ¦ which personnel is responsible for activities ¦ general institutional information Emergency information sheet ¦ fire/police departments ¦ local hospitals ¦ emergency shut-offs ¦ local utilities ¦ brief list of emergency respondents Telephone/reporting tree Holdings priorities Response outline ¦ lead personnel responsibilities • assessing the situation • calling in assistance • organizing/prioritizing efforts • establishing a command post • eliminating hazards • controlling the environment • dealing with the media • obtaining emergency funding/supplies • providing security • providing human comforts • train salvage techniques on site Supply lists and assistance/equipment vendors Well articulated salvage techniques Rehabilitation plans for conservation treatment Appendices Address** of sources: Dixon Paper Co. 3900 Uma St., Denver, CO 80239 (303)371-7510 University Products P.O. Box 101,517 Main St., Holyoke, MA 01041 1-(800) 628-1912 Conservation Materials 1165 Marietta Way, P.O. Box 28S4, Sparks, NV 89431 (702)331-0582 Light Impressions 439 Monroe Avenue, Rochester, NY 14607-3717 1-(800) 828-6216 U.S. Corrullte Corp. 205 SE 3rd Avenue, South Bay, FL 33493-3717 (407)996-2089 Highsmlth W5527 Highway 106, P.O. Box 800, Ft. Atkinson, Wl 053538-0800 1-(800) 558-2110 Gonzo Corp. 21 University Road, P.O. Box491, Canton, MA 02021-0491 1-(800) 221-0061 Transllwrap Company 1 West Lake St., North Lake, IL 60164 (708)562-8201 H.R. Melnlnger 499 Broadway, Denver, CO 80203 (303) 698-3838 INFO ACCESS APRIL 1994 ------- Sample of a Disaster Kit Supply and Source List Federal Records Center, Denver* ITEM QUANTITY SOURCE COST newsprint, 2000 18" x 24" sheets 1 carton Dixon Paper Co. $21.78/1000' Reemay, 25.5" width roll, 100 yd. 1 roll University Products $64.95/roll freezer wrap, 18" width, 1000' 1 roll grocery store $18.16/375' blotter, 250 19" x 24" sheets 1 carton Dixon Paper Co. $.26/sheet disposable particle mask 50 Conservation Materials $31.56/box/50 plastic wash tub, 18" x 24" 3 discount store $8.97/each disposable gloves, size 6-8 100 University Products $12.35/box/100 disposable gloves, size 8.5-10 100 University Products $12.35/box.l00 One-wipe cloth 3 grocery store $.95/each Zippy Cutter 3 H.R. Meininger $3.95/each waterproof markers 3 H.R. Meininger $.99/each large trashbags, 15/pkg. 3 building supply store $8.27/box/40 chemical sponges 36 Gonzo Corp. $21.00/dozen duct tape, 60 yd. roll 1 Customer Supply, CSC 2.48 45 gal. poly garbage cans 3 building supply store $18.00/each disposable aprons 100 University Products $15.15/box/100 polyester film, 5 mil, 18" x 24" shts 500 Transll Wrap $60.00/100 shts polylhylene sheeting, 6 mil, 10' x 25' 6 rolls building supply store $8.39/roll lumigant-ortho phenyl phenol, 3 ox. 1 Conservation Materials $8.7B/Jar/3 oz. paper towel rolls 8 grocery store $.59/each Hygrometer/temp. Indicator (optional) 1 Light Impressions $50.00-$ 1,000 dehumldlfler and hose 1 Sears varies boxed velo-bind combs 3 Jeffco Public Library donated box 4-way Rubber bands, 50/box 2 Highsmlth Co. $10.24/box/50 spiral notebook 3 office supply store $.70.each mechanical pencil 6 office supply store $1.00/each box 3" x 5" labels 3 office supply store $3.00/box plastic trays, 18.2" x 13.2" x 11.6" 50 U.S. Corrulite Corp. $84.00/ctn/15 25" plexl plates 6" x 8" 5 pair glass store $2.00/each 25" plexl plates 7" x 9" 5 pair glass store $3.33/each 25* plexl plates 8" x 10" 5 pair glass store $3.33/each synthetic twine 2 rolls University Products $4.80/roll gqrden hose 6 building supply store $6.00/each/50 ft. sprayer attachment for hose 1 Builders Square $2.00/each clothes line pins 5 bags grocery store $1.00/bag/25 Note: Approximate total for purchased supplies $1235, excluding hygrometer and dehumldlfler 'From NARA training on Vital Records and Disaster Recovery at the Federal Records Center In Denver, 1993 APRIL 1994 INFO ACCESS ------- So What's a Survey Anyway? by Vickl Betton (contractor) There have been several articles in INFO ACCESS about inventorying records. The December 1992 issue provides a great overview of the inventory process. That article provides enough direction for completing an inventory for a relatively small office. However, when you are about to tackle a large inventory—the 1500 work stations in OARM for instance—you will need to use another planning tool prior to the actual inventory... enter the Survey or Walk- Thru. Webster's definition of a survey is "to examine as to condition, situation, or value: appraise." The dictionary defines an inventory as "an itemized list of current assets." The survey gives you a better idea of what conditions you will find when you go in to an office to inventory the records. The survey, also called a walk-thru, is to the inventory what a dress rehearsal is to the play—what a warm up is to the athlete. It is a dry run. Why am I taking such care to compare and contrast the two terms? Because there is a great deal of confusion about the two tasks. Employees being "surveyed" sometimes find it difficult to tell the difference (with good reason, as you will soon discover). In fact, even those conducting the survey sometimes wonder if the walk-thru is REALLY necessary. There are moments when it is unquestionably a redundant or unnecessary motion. However, if you want to keep a particularly large project on schedule, and within budget, a walk-thru is crucial to success. Survey Objective The survey accomplishes several things. It will: ¦ Provide you with an accurate assessment of how much you have to inventory. ¦ Identify all the locations that must be inventoried. ¦ Identify problem areas and/or people that will take extra time to inventory. ¦ Help establish a rapport with those you will be inventorying. All in all, it will make your inventory process easier, faster, and more productive. Survey Process Planning—The planning process for conducting a survey is almost identical to that of conducting the inventory. You must determine what data you want to capture during the walk-thru, develop survey forms, identify contacts, determine the walk-thru schedule, and brief your contacts. Physical Walk-thru—Conducting a physical walk-thru is similar to conducting an inventory in that you will introduce yourself to the person who's workstation is being surveyed and physically inspect (in some cases, measure) those spaces which house or could house files. It is at this point the two processes take different paths. The survey helps you identify just those records you will later physically review during the inventory. In the survey, you will determine how the file space is being utilized. Is the desk drawer housing a coffee pot, running shoes or files? Is the file cabinet used to house holiday and party decorations, office supplies, or files? Are the files personal, non-records or records? In contrast, when you conduct the inventory, you can ignore coffee pots, running shoes and party decor. You will have identified (during the survey) the records to be inventoried. You will focus your attention on the record series and obtain (among other things) the names, descriptions, and date ranges for each series. Analysis—Now, back to the survey. Once the survey is complete, you analyze the information collected during the walk-thru. Summarize the general condition of each office or department you walked through. Make a list of those offices which are inhabited by packrats—they will take much longer to inventory. Make a list of people who require special attention— those who like to talk, those who are defensive, those who have their documents so intertwined they cannot determine what is personal, record or non-record. They will also take longer to inventory. Make a list of the best and "worst" experiences with departmental contacts or liaisons. Were they interested in the project? Did they understand what you are trying to do? Have they had any records management training? Did they adequately notify and brief office personnel prior to your arrival? Your office contacts can make or break a project schedule depending on their interest and competency. Make a list of glaring problems which need to be addressed in the final report. They can be used as points of discussion during the inventory, and help create rapport between the inventory team and the "inventorees". For instance, if you noted in your walk-thru that a department was particularly short of space or lacked the proper filing .equipment, you can mention that at the start of the inventory. INFO ACCESS miiM APRIL 1994 ------- The users will appreciate your understanding of their problem and will support your efforts to help them solve the problem. This can be helpful as a selling tool for continuing 'the inventory process and is good PR for the survey team. It helps break down those natural walls of resistance that you meet during the inventory process. Tips for a Successful Survey One of the most difficult decisions to make is how in- depth the survey needs to be. A survey can be as simple as a stroll through the offices, or as complex as taking detailed measurements of work stations. Here are some of the factors which help you clarify how much the survey should include: Size of the office... the larger the office, the more likely the need for a detailed survey. Complexity of office... the more functions the office performs, the more information you need to collect. You may want to actually identify how the space is being used. Is it being used to house records, non-records, supplies, or personal items. Familiarity of inventory team with office (and vice- versa)... the less familiarity, the more need to "get acquainted" with the office before you start the inventory. Brief your contacts just as thoroughly for the survey as you would for the inventory. Give them at least a week's notice so that they can adequately announce your arrival. People get defensive when you drop in unannounced. Remember, it is difficult for people to tell the difference between the two processes. You will be criticized by some as you go through the survey because they feel you are not being thorough. When I introduce myself, I start by stating: "I will be back in a couple of months to do a thorough inventory. Right now I am here to see how much you have, so that I can determine how long it will take to do the inventory". Summary Done properly, a walk-thru survey will save time and energy during the inventory phase. It will: ¦ Give you information that allows you to accurately schedule the inventory process. ¦ Prepare you for trouble spots and allow you to identify areas where you may need to obtain additional support and authority from upper management before you start the inventory. ¦ Familiarize you with agency/office terminology. Let you know where additional training/briefing needs to be done prior to the inventory. In short, it will pave the way for a smooth, successful inventory. • (Welcome to the Network! It's been some time since we've welcomed new folks to the network, so this is going to be a long list. (If you've been around for awhile, we're sorry it's taken so long!) Here goes: Headquarters NRMP—Manker R. Harris (contractor) and Brook Sadler (contractor) OA—Hsiu-Mei Hung, Elizabeth W. Wonkovich, Eureka Stubbs, Betty Harderman, Ruth Choate, Janice M. Jones, Jannell Young, Janice L. Berry-Chen OARM—Jim Baca, Vicki Betton (contractor), Delta Pereira OECA—Roberta Miller, Pearl Young, Nancy Vercio OGC—Jacqueline G. Brown OPPE—Claudia Payne, Claudia Huntley, Delores Swan, Lois Lee, Kavonda Ramsey, Patricia Wilkinson OW—Mary Piatt OSWER—Cindy Moore, Jackie Eaton, Sheretta Dixon, Denise Roy, Georgene Boiling, Adelle Farmer, Brenda Marshall, Marcella DePont ORD—Cynthya Holley, Michael Dantzler, Ruth Partridge, Linda Bishop, Pamela Pentz, Monica Brooks, Pamela Bassford, Diane Haston Regions Region 3—Maureen Zacharias Region 4—Rosa Dickens (contractor) Region 5—Gerry Hegel (contractor), Lorraine Kos (contractor), Lula Spruill Region 6—Sonia Kramer (contractor), Steve Wyman (contractor), Dorothy Garrett (contractor), Kathy Ballard, Sharon Kruger (contractor), Elizabeth Clark (contractor), Bonnie King, Robert Wilson (contractor), Jo Taylor, Serita Gibson (contractor) Region 7—Bea Sanders Region 9—Sharon Lande (contractor) Region 10—Charissa Schliep, Kate Browder (contractor) Labs and Field Officers AEERL/RTP—Alice Gagnon ECAO/Cincinnati—Nancy Bauer ERL/Duluth—Evelyn Hunt OARM/Cincinnati—Sue Mercurio, Sheryl Drexelius (contractor) OARM/RTP—Cynthia Bass FMSD/Cincinnati—Dorothy Cannon NEIC—Yolanda Montez Montana Operations Office—Pam Hillery, Melody Ballard (contractor) APRIL 1994 15 INFO ACCESS ------- lis Iff 3—5 3 a 3 3"' 3 25 » O 4? 5! CD 2 c ^ 0) 5S < 0» CD CO O o p o o ro O A 0> O 3» • ® p sr 7 ® a 5 3 & m 1 ------- |