United States Environmental Protection Agency Information Resources Management (3404) EPA 220-N-93-032 Issue Number 34 October 1993 SEPA INFO ACCESS Records Network Communications In this Issue... Creating a Manual: Recommended Sources p. 3 Outline For a Procedures Manual p. 4 Dropping Acid- From Paper p. 5 Year-End Activities p. 6-7 Ask Dr.Records p. 8 IRM Program: Workyears Chart p. 9 Recordkeeping Checklist p. 10 Step 6: THE PROCEDURES MANUAL by Michael L. Miller, Agency Records Officer Congratulations!! You're almost there. If you've followed along with the first five steps to better files, you should have seen a marked improvement in your program's files. Now is the time to crystallize all of your improvements in the form of a records management procedures manual. Creating the manual is not just a paperwork exercise. It provides the basis for a consistent program for records management that will become part of the regular ongoing office routine. Manual Contents I've reviewed many program manuals; they are all different, and they should be. The audience for the manual is program staff, so it must meet their needs and program culture. Therefore the records manager must look first to his or her program in deciding what information to include and how to structure it. However, there are four elements common to most manuals: background information on records management, general procedures, information about specific records, and reference materials. A sample table of contents for a records management manual incorporating these topics appears in the box on page 4. Background Information The manual should include at least a short introduction that reviews for staff the purpose of the manual, goals of the records management program, an overview of the basic regulations and policies, and staff responsibilities. This section is meant to be short. The goal is to provide staff with the information they need to do their jobs, not to replicate all Federal and Agency records management policies. It simply provides context for the meat of the manual which comes in the following two sections. What's more, most of the contents can be gleaned from existing publications. See "Make It Easy on Yourself" on page 5. d ontinued on page 2 RecycledyRecyclable ~y \) Printed on paper that contains G \_7 at least 50% recycled fiber ------- PROCEDURES MANUAL (from page 1) Procedures The second major area to be addressed are the procedures for managing the records. The formats for presenting this information are endless, but I've chosen to model if on the lifecycle of records. Records creation covers the definition of a record, the importance of creating the "right" records, and alerts staff to what they must do when they create records, e.g., make a copy of all outgoing correspon- dence for the unit file. The section might also cover topics such as the types of records (program, administrative, case files, etc.), personal papers and working files, recordkeeping requirements, or other "theoretical" issues if you feel they are important or meaningful to the staff. The section on maintenance and use should discuss general filing procedures. Examples include file cut-off procedures, who is responsible for adding document filing information and where records are to be put for filing. Circulation and control procedures (e.g., always use charge cards if you remove anything from the files) are a must and should be included, as should any program specific procedures for handling sensitive information. The third component of the procedures section concerns records disposition and should provide INFOACCESS, a forum to provide information and report on progress in information management across the Agency, is produced by the Information Access Branch of the Information Management and Services Division, Washington, DC under the direction of Michael Miller, National Records Management Program Manager. Please send comments and suggestions to: Network Coordinator, 3404, 401 M Street, SW, Washington, DC 20460. Telephone: (202) 260-7762. Electronic Mail: Dugan.Ann. 12 Months to Effective Filesi Next Steps This issue completes the 6-step program to effective files that began in the October 1992 issue with Step J - Identifying Your Records. Step 2 - Conducting a Records Inventory - was outlined in the December issue, Step 3 - Developing a Filing System - appeared in the February 1993 issue, Step 4 - Developing Recordkeeping Requirements may be found in the June 1993 issue. Step 5 - Improve files management via technology, indexing, and specialized equipment (Months 9 & 10 of the effort) is in the August 1993 issue, and Step 6 - Produce a records management manual (Months 11 & 12 of the effort) completes the 6-step program. Copies of these publications may be obtained from the Network Coordinator by calling (202) 260-7762. detailed guidance on how staff should go about disposing of records, including information on what they can destroy, how to retire records to a Federal records center, cleanup days, and similar issues. Finally, include information on managing electronic records and other special media such as audiovisual and cartographic items if the office creates such records. This may be woven into the regular discussion or handled separately. Informa- tion on managing such records is available from the National Achives and Records Administration (NARA) guides. Records The third major section of the Manual should provide staff with all of the information they need to manage the specific records created in their program. Following a general discussion of the program's file plan, I recommend a series by series discussion of the records found in the program. Continued on page 3 OCTOBER 1993 INFOACCESS ------- If there is a separate entry for each series, with all of the information necessary to manage those records m one place, staff can easily find and use the infor- mation that pertains to the records they create without having to comb the entire manual. For each series provide a description of the records, the recordkeeping requirements, arrangement, the location of the records and the custodians, and filing and disposition information. Some programs include additional in forma tier, such as sample file labels for each series. Most of this information should be available from your records inventory and the revised Agency disposition schedules. Be sure to include information about non-records so staff are clear about what to do with such collections. Appendices Finally these will be appendices that provide copies of documents that the staff may need for reference. The ones most often included are the program file plan, copies of forms such as an SF-135 or a charge out caid, laws and regulations, and a glossary of terms. ~ ~~~ MAKE IT EASY ON YOURSELF ~~~ PROCEDURES MANUALS - RECOMMENDED SOURCES Actually putting together the manual isn't as hard as you might think. If you've been docu- menting as you went along, you already have much of the program-specific information you need. Much of the remainder can be gleaned from publications issued by National Records Management Program (NRMP), the National Archives and Records Administration (NARA), or other programs. Here are some recommended sources for information that you can excerpt: OS WER Itifo'Htatier Management Staff. File Structure and Guidance /11993i Good example of a series-based manual that provides extensive information about each type of record. NRMP, Agency Draft Records Disposition Schedules (1S331 Source for descriptions of records, dispositions, and management guidance. <" NRMP, INFO ACCESS (1996-). Contains articles that could be excerpted for inclusion. w NARA, Disposition of Federal Records (1993). Good overview of records management and Federal requirements. <" NARA, Instructional Guide Series. Three available: Electronic Records (1990), Cartographic and Architectural Records (1989), and Audiovisual Records (1990). Guidance on how to manage special records. ** NARA, A Federal Records Management Glossary (1993). Standard definitions of all records management terms, Sandy York (contractor) has the most up to date listing of what EPA programs have developed man mis, filing plans, and other guides. For information you can contact heron (303) 540-0464 cr Email York-Sandy. OCTOBER 1993 INFOACCESS ------- I ¦¦ iH ¦¦ Hi ¦ X SAMPLE CONTENTS FOR A PROGRAM SPECIFIC RECORDS MANAGEMENT MANUAL X I. INTRODUCTION ¦ Purpose of the Manual ¦ Purpose of Records Management ¦ Records Management Laws and Regulations ¦ Agency Records Management Policy ¦ Staff Responsibilities II. RECORDS MANAGEMENT PROCEDURES IN THE OFFICE ¦ Records Creation When do you create records? What must you do with the records you create? ¦ Records Maintenance and Use Filing procedures Records circulation and control Information security ¦ Records Disposition Records cleanup Disposing of records Retiring records to the Federal Records Center ¦ Special Media Electronic records Audiovisual records ¦ Maps and drawings III. FILE PLAN AND RECORDS IDENTIFICATION ¦ Overview of Major File Plan ¦ Listing of Major Records Series Description of records Recordkeeping requirements Custodians File plans Disposition Identification of non-record collections IV. APPENDICES ¦ File Plan ¦ Records Management File Documents ¦ Sample Records Management Forms ¦ Glossary of Records Management Ferms OCTOBER J993 INFOACCESS ------- Dropping Acid ... from Paper Paper must be both physi- cally durable and chemically stable. You can often achieve one result without the other. For paper to be physically stable it should have a pH of 7 which is neutral. A pH less than 7 would make it alkaline and over pH7 would be acid. Even paper that has a neutral pH can turn "acid" over time from environmental attack or acid migration. It's important to have alkaline paper which would compensate for future acid attack.. The same manufacturing process that creates temporary stability or gives paper distinc- tive characteristics, such as si2ing, afeo causes "inherent vices" that can make paper weak or brittle. Environmental factors that can contribute to paper's brittleness include heat, relative humidity, fight, and air pollution. Three ways to handle "acid attack': 1) Use only permanent paper for book and document production. 2) transfer onto a more stable medium. 3) Deacidify the original item. If recycled paper is being considered, specify an alkaline recycled paper using the specifications produced by the National Information Standards Organization with the American National Standards Institute (ANSI). Any product that meets the Ansi/NlSO Z39.48-1992 standard has this symbol. This indicates that the document has met the ANSt/NSO standard known as the "American National Standard for Permanence of Although the American ANSI Standard is the most referenced standard, there are others including the International Organization for Standardization (ISO) based on ANSi/NSO and four American Society For Testing Materiais(ASTM) standards. Among the ways to test the product you ordered to see if it meets the standards is the "Abbey pH Pen" by McCrady available from Abbey Publications. The article lists a number of paper testing services that can be used, catalogs that sell acid free papers, and articles an the subject. * This information was abstracted from "Dropping Acid... from Paper," by Evelyn Frangakas in the July 1993 issue of Archival Outlook. * CONTEST!!! ENTER YOUR FAVORITE RECORDS MANAGEMENT MYTH 4> Every records manager has been confronted with widely held misconceptions about records management that he or she must correct time after time. I call them records management myths. Here is a short list of myths that I encounter frequently: 1. There is only one official record copy of any document. 2. Records only exist in paper. 3. If a document is a record it has to be kept forever. 4. The Federal records centers regularly lose records. 5. Records management is just a fancy term for filing. OK, here is the contest. I'd like to have a list of the 10 biggest myths. I need your help. Send me your favorite (or least favorite) myth(s). The final list will be published in the December issue. ¦Bend your my ths(s) to me at MILLER.MICHAEL-OIRM on ALL-in-1, or Mail Code 3404. OCTOBER 1993 5 INFOACCESS ------- RM for Managers Year-end Activities For Records Managers by Sandy York (contractor), Regional Program Director sYEAR-END CLEARANCE! Save 30% to 70%! Final Clearance! Time is running out! Giant 93 closeout! Everything must go to make room for the new! Save money! Save today! You probably didn't expect to see these advertising lines in you newslet- ter, but if you think about the year-end activities records managers are involved in, there are some nuggets of truth in those ads. As the end of the year approaches, we need to start planning our "year-end closeout" activities. The old inventory needs to be moved to make room for the new. ~ Save time - Have those new folders made up and ready to go before you need them. ~ Save money - Save the U.S. taxpayer an average of $20.98 per cubic foot when you retire your inactive records to the Federal Records Center. ~ Save today - Start planning your year-end closeout today and make the transition to the new year easier and your records system more efficient. BEFORE THE END OF THE YEAR ACTIVITIES Here are some of the steps you can take to prepare for the end of the year. Communicate with the staff Remind everyone the end of the year is coming and what that means for their records. Outline who will be doing what and when. Review records disposition schedules Review the schedules for file break and disposition instructions. If instructions appear ambiguous or unclear, discuss them with your records officer. Prepare a preliminary retirement and new files list Make a list of records due to be retired according to the schedules and those needing new folders. Verify the list against the physical records. One Continued on page 7 OCTOBER 1993 6 INFOACCESS filli ------- quick way to accomplish this is to make a copy of your file plan and make notes in the margins. Don't forget to include the non-paper media. Obtain needed supplies Once you have an idea of what needs to be retired and what needs new folders, labels, etc., you can gather the supplies and forms you need to make the transfers. Prepare new folders Using your list of required new files or your file plan, prepare labels and folders for the new year. Be sure to follow any standards for color coding, tabs, or labels your office may have. If there's enough room, new folders can be placed in the appropriate places any time. If there isn't enough room until inactive material is moved, set the new folders aside until the other material is removed at the end of the year. Review technical reference material Review the technical reference material for obsolete or outdated material. Involve program staff who will be more familiar with it. Here are the steps to take when the end of the year finally arrives: YEAR-END ACTIVITIES Close or cut-off files Close the files at the end of the year as instructed in the disposi- tion schedules. Pull any documents which need to be kept for the next year and place a cross reference sheet with information on where the document has been moved into the closed folder. Place the material in the new folders. Retire Inactive materials Depending on the instructions in your disposition schedules, either move your closed files to an area designated for inactive files or prepare them for transfer to the Federal Records Center. If files are to be retained in the office for additional time, you can designate a particular set of file drawers or shelves for the "inactive" files. If they are to be transferred to either an inactive records storage facility or a Federal Records Center, box them up and prepare the transfer paperwork. File new folders If new folders haven't already been filed, place them in the Continued on page 8 f ^ ^ "N /fip\ (of the) VHat/ v J Congratulations! Sarah Wills-Dubose has inventoried some 4000 boxes of records in Cincinnati. That's quite a feat! The material was being maintained in a warehouse and in rooftop storage. The majority of the material, over 60%, was non-record and included such things as newspaper clippings, articles and books. Approximately 1,000 boxes went to contract and financial mangement. The majority of the material has been disposed of, or sent to the Fed- eral Records Center (FRC). A small portion of the material is still being reviewed for control schedules. Welcome to the Network! Cynthya Holley will be assisting Lois Riley, Coordinator for the ORD-Wide Records Management Program. Cyntha is at Waterside Mall in Washington, mail code 8102. She can be reached by phone at (202) 260-7462, or by fax at (202) 260-0552. Brenda Kubicki (contractor) is the new records manager supporting the Superfund Cost Recovery group in Region 7, Kansas City. Brenda's telephone number is (913) 551-7091. $S OCTOBER 1993 INFOACCESS ------- ASK DR. RECORDS The Agency is using the Federal records centers (FRCs) at an unprecedented rate. In FY93 Headquarters alone retired approximately 5700 cubic feet, Region 4, nearly 700, and Region 7 over 400. Over the year some questions about records retirement have come up, and I want to address some of them here. Q. Do we ever retire records directly to the National Archives? A. People frequently talk about "archiving" records, but what they really mean is retiring them to the FRC. However, in some cases we do send records directly to the National Archives, including Regional Archives programs. Most often this will happen for one of two reasons: 1) The records are so old that the time for storage in the FRC has expired. Therefore we send them directly to the National Archives. 2) The records were origi- nally scheduled to be transferred directly to the National Archives. This is often the case with audiovisual records, and is always the case with electronic records. You should be aware that there are differences between the two types of transfers. The National Archives is less formal in some areas (in what kinds of boxes are used for example), but does require a detailed list of the records being transferred. A different form is used to do the transfer as well, and that form must be signed by the Agency records officer. Q. Are there limits on how much we can retire to the FRC in a given year? A. Like a lot of FRC-related questions, this depends in part on your local FRC. Generally speaking, the FRCs are short of space, but they haven't put any limits on total number of boxes retired. What many, including the Washington National Records Center, have done is limit the number of boxes in a single accession. Instead of retiring one 200 box accession, we now retire four accessions of 50 boxes each. This allows the FRC more flexibility in storing the records. Non-Textual Records A number of you have raised issues concerning the retirement of oversized maps, audiovisual records and other nontextual records to the FRCs. I spoke with Scott Roley of the FRCs headquarters office about the problems. The answers were not really satisfactory, and I think we need to discuss whether they will be adequate to meet our needs, and if not, what will we do about it. Q. What is the best way to retire maps, blueprints, and other oversized materials that don't fit in regular FRC boxes? A. The assumption is that you are not dealing with folded maps that will fit into regular FRC boxes. The FRCs will take them in a number of ways, so it is always good to check with your local FRC about their Continued on page 9 ( continued from page 7 ) appropriate location. Update file guides and tabs, as necessary. Destroy eligible files If your disposition schedules indicate records can be destroyed, recycle, discard, or shred as appropriate. If you have any questions about which files can be destroyed or the best method, contact your records officer. And finally, a reminder Don't forget to include the non-standard paper (maps, draw- ings, videos, etc.) and electronic records in this process. All records, regardless of format, are covered by the disposition schedules and need to be attended to along with their paper companions. & OCTOBER 1993 BjR INFO ACCESS ------- ASK DR. RECORDS (continued from page 8) preferences. Some basic rules are as follows: 1) Always note on the SF-135 that the materials are oversized. 2) Make sure that you can link the records back to related paper records. That information is not required on the SF-135 itself, but will be necessary for retrieval. 3) Map tubes, available through Federal Supply Service are your best bet for packaging oversized documents. You may put multiple items in one tube, but the FRC will return the entire tube, even if you only recall one item. Q. Should programs retire audiovisual records to the FRC? A. Most FRCs are not equipped to provide the environ- ment that would preserve these media. Basically we have three choices here: a) Don't retire them to the FRC. Keep them in the office. However, that doesn't help the space problem. b) Transfer them to the appropriate unit of the National Archives. However if we do that we lose legal custody. If the records are Superfund site related, that poses a real prob- lem, because we may need the records for litigation. c) See if your FRC has room for them in air conditioned space. That is not likely in most regions but the Washington National Records Center in Suitland is one center that does have space. Basic rules to follow here: 1) Do not mix audiovisual records with paper records when you retire them to the FRC. If you do, you risk damaging the fragile media. 2) Keep them separate, but make sure that they can be linked to related paper records. Q. Can electronic media be retired to the FRC? A. There are two basic issues here. One is climate control in the FRCs. If your local FRC has room in air conditioned stacks, it is possible to retire the records there. However, I recommend against it for a second reason. Electronic media need regular care as stated in the CFR. Even under the best conditions, the life of electronic media (especially diskettes) is very limited. Moreover, the Agency updates equipment and software frequently, and records stored in the FRC are unlikely to be migrated forward with changing technology because they are out of sight and out of mind. In short - DON'T EX) IT. NRMP Crr Workyears in the IRM Program Devoted to Records Management Region* EPA Other** 1 (702) .5 17.8*** 2 (962) 2.5 2.0 3 (1020) 1.0 0 4 (1091) 1.0 4.0 5 (1387) 2.0 3.0 6 (1005) 1.5 9.0*** 7 (584) 1.0 1.0 8 (607) 0 0 9 (913) 1.0 0 10 (590) .275 1.0 * Total FTE allocated to the Region in parentheses ** Includes on-site contractors, SEEs, ARPs, and others *** Includes support to program file rooms/centers vvv OCTOBER 1993 W0\ INFOACCESS ------- NARA Publication... Checklist for Evaluating Recordkeeping Practices in Your Office As defined in 36 CFR Chapter XII, Section 1220.14, recordkeeping requirements are "all statements, in statutes, regulations, and agency directives or authoritative issuances, providing general and specific guidance for Federal agency personnel on particular records to be created and maintained by the agency." Section 1222.30 stipulates the clear articulation of recordkeeping requirements by Federal agencies as being essential if agencies are to meet the requirements of 44 U.S.C. 3101 and 3102 with respect to creating, maintaining, and preserving adequate and proper documentation, and with respect to maintaining an active, continuing program for the economical and efficient management of agency records. Since agency functions, activities, and administrative practices vary so widely, the National Archives and Records Administration (NARA) cannot issue a comprehensive list of all categories of documentary materials appropriate for preservation by an agency as evidence of its activities or because of the information they contain. In all cases, the agency must consider the intent or circumstances of creation or receipt of the materials to determine whether their Checklist for Evaluating Recordkeeping Practices in Your Office systematic maintenance shall be required. Agencies should review recordkeeping requirements, as part of the information resources management reviews required by 44 U.S.C. 3506, or the periodic records management evaluations required by 36 CFR 1220.54, in order to validate their currency and to ensure that recordkeeping requirements are being implemented. As part of this review, agencies should remind all employees annually of the agency's recordkeeping policies and of the sanctions provided for the unlawful removal or destruction of Federal records (18 U.S.C. 2071). To help meet these goals, NARA has published the "Checklist for Evaluating Recordkeeping Practices in Your Agency." This checklist is designed for use by the custodian of the files in an office, but can also be useful for the records liaison, records officer, or responsible program official in evaluating the files management activities of an office. The checklist consists of a series of questions that assist office staff in evaluating their recordkeeping. General rules for recordkeeping accompany the questions. This checklist is based on the NARA regulations for agency records management programs located in the forementioned Title 36, Chapter 12, of the Code of Federal Regulations. There you can find more detailed guidance on the rules for proper recordkeeping. For more comprehensive reviews of the records management program of any office, you may also want to use NARA's "Evaluating Files Main- tenance and Records Disposition Programs: A Self-Inspection Guide for Federal Agencies." If you find that you need more help or information, you can contact your program's records officer or the EPA's records officer, Mike Miller at 260-5911. If you would like a copy of the "Checklist" contact Mike Miller at 260-5911 or on All-in-1 at Miller.Michael-OIRM. Contributed by Joseph Moeltner (contractor), Records Support-HQ OCTOBER 7993 INFOACCESS ------- fllUlf Headquarters Update ~ ELECTRONIC RECORDS STUDY The third major deliverable in the joint OIRM / NDPD review of electronic records manage- ment policy is available for comment. The document is numbered 4-1, and titled "Draft Recommended Framework for Policy Development and Dissemination." The study reviews the earlier findings and proposes a plan for remedying the deficiencies identified in the earlier reports. Comments are welcomed. If you would like a copy, please contact Mike Miller on (202) 260-5911 or MILLER.MICHAEL-OIRM on AU-in-1. ~ RECORDS MANAGEMENT COUNCIL MEETING At the August Council Meet- ing, plans for the Fall, 1993 Headquarter's Docket move were reviewed and discussed. The status of the Office of Enforcement (OE) Reorganiza- tion and the potential impact on records management was covered. Each of the Program representatives presented details of the way they are approaching the reorganization. Mike Miller emphasized the importance of finding out who the representative on the com- mittee is for each program and who will be affected by the reorganization. Lisa Jenkins (OSWER) offered a "Step Process" to prepare for the reorganization. 1) Find out who is affected. 2) Take an inventory of enforcement records. 3) Take your cue from Enforcement and follow their lead. * IMSD DEVELOPMENTS The first segment of the Records Disposition Schedules has been completed and sent to printing. The package will be sent to all Assistant Administra- tors (AA's) for Green Border Review when printing is complete. ~ ELECTRONIC RECORDS The comment period for the Electronic Mail Policy ended in August. A final draft to include comments is being completed by Mike Miller. Mike made a presentation on email and electronic records policy in Chicago on August 30 and disseminated a draft of the Analysis and Management of Electronic Records: Recommended Framework for Policy Development and Dissemination (Draft). Copies went to all SIRMOS and the comment period will end. * NARA EVALUATION The NARA evaluation report has been completed and all status reports from the programs that were received have been incorporated. The report has been returned to NARA. ~ FY94 PRIORITIES At the September Council Meeting, Mike solicited suggestions for priorities for the FY 94 for the NRMP and HQ Programs. Suggestions included: 1) Vital records program 2) Agencywide file plan. 3) Agencywide plan for administrative "housekeeping" records." 4) Annual records management meeting for training. 5) Performance evaluation criteria in regards to records management. ~ OCTOBER 1993 INFOACCESS ------- f Around the Records Network v J This section of INFOACCESS is used to report on upcoming meetings and projects currently underway in the Regions, Laboratories, and Headquarters. The INFOACCESS staff would like to encourage all records management staff at the Agency to share news and information about current projects with the INFOACCESS readers. Anyone with contributions for this column can contact Mike Miller, at (202) 260-5911 or at Miller.Michael- OIRMon All-in-1. RECORDS TRAINING AT AIR AND RADIATION On September 16th, 1993 OAR had a Records Management Conference at the Gangplank. All the OAR program offices were represented at the conference including people not located at Headquarters. In the morning session, Mike Miller from OIRM gave a training session and handed out materials the attendees could take back with them. Mike also answered the many questions that were put to him. During lunch, Lisa Jenkins from OSWER gave a presentation on how OSWER got organized and put its records program together. In the afternoon, a facilitator lead the group in a TQM exercise on the NARA evaluation and its application to OAR. The group did come up with recommendations and a priority list of what it wants to see done. Management was at the conference and took note of the needs expressed by the group. OAR is hopeful that this will be the first step in establishing a records network and improvement of records management in OAR. NARRAGANSETT LABORATORY Lois Riley, ORD Records Officer, and Mike Miller, Agency Records Officer, visited the Narragansett ORD laboratory for two days of training and records program review. Over 60 of the staff attended the three hour records awareness training sessions. Lois and Mike spent the second day discussing specific records management problems with individual staff. Among the issues were scientific journals, and the disposition of various types of health and safety records. GROWTH IN REGIONAL IRM SUPPORT At the meeting of Facility IRM Chiefs in Chicago in August, Robyn McKenry (Region 8) provided an overview of the resources devoted to various IRM functions by Regional offices. The table on page 9, based on figures from her survey, looks at the number of workyears devoted to records management within the Regional IRM programs. The figures show the growth in records r management in the Regions, the gradual shift of the Regional records management programs into the IRM program, and the growing number of EPA staff devoted to records management. OCTOBER 1993 INFOACCESS ------- |