United States
Environmental Protection
Agency
Information Resources
Management
(PM-211D)
Issue Number 2
February 1991
¦?,EPA INFO ACCESS
Records Network Communications
A Records Program For the 90s
by Michael L. Miller
What does it mean to have a records management (RM) program? Is
RM no more than a system by which unwanted records are removed
from office space? Is the records manager simply the liaison with
off site storage facilities? Many would answeryesto both questions.
Obviously end user services is one of the main functions of an RM program, but
there is much more to it than that.
Over the next few months, I will use this space to present my vision of what our
Agency's RM program should be. Each issue will address one of the four
components of a successful program. This issue will deal with determining what
the program should do - its vision and stategic and tactical plans. The second will
look at tools - the written policy, procedures, and guidance that are the program's
foundation stones. The third will discuss services and communications - what a
program actually provides its users, and the fourth, infrastructure - the human,
financial, and physical resources necessary to maintain the program. Each area
is important to every RM program from the National Program to the branch level.
The content of each component may vary, but every viable program includes all
four components.
To focus an RM program, it is necessary to have a vision, a strategic plan and
tactical plans. What follows has been developed for the National Program, but
can be adapted to fit other programs as well. The RM vision for the National
Program has two basic components: assuring the creation, maintenance, and
continued on page 2
INFOACCESS
Information Interchange
This is the first issue of INFOACCESS
devoted to the Records Managers and
others with records management
responsibilities. In this issue you will
find articles about EPA's records man-
agement program, Electronic Mail
Service, current records projects, the
application of records dispositions
schedules, and an interview with
Marilyn Ryall, EPA Records
Management Officer in Region 9.
INFOACCESS was created as an
outreach mechanism to support and
facilitate active communications
throughout the EPA Records Network
and the larger information
management community.
continued on page 5
iii-Si: S
					
A Records Program for the 90's	pg. 1
INFOACCESS: Information Interchange	pg. 1
Marilyn Ryall Interview	pg. 2
Electronic Mail: A New Kind of Pony Express	pg. 3
¦ < <
• issue
¦
Applying Records Disposition Schedules	pg. 5
Congratulations	pg. 6
Around the Network	pg. 7
Directory of Regional Records Managers	pg. 8
Printed on Recycled Paper

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Records from page!
preservation of a full record of Agency
activities; and facilitating access to that
record. This RM vision reaches out in
two directions. It supports the overall
01 RM vision, and incorporates related
concepts such as information
management, risk assessment
planning, information sharing,
information security, and public access.
Since becoming National Program
Manager, I have spent a considerable
portion of my time on strategic
planning. By strategic planning I mean
developing a multiyear agenda to move
the RM program closer to its vision.
The first step was preparing a baseline
assessment of current operations and
user needs. A key component of this
process is the National Archives and
Records Administration evaluation, in
which many of you participated. In
addition we are amassing our own
baseline data through visits to Regional
offices, the records management
survey, and conversations with records
staff across the Agency.
What we have learned thus far is that
we, at the National Program level,
should concentrate our resources in
four areas: providing a blueprint
programs can use to create or improve
their RM programs; updating and
expanding the available guidance;
increasing the level of communications
between Headquarters and the field;
and assisting in development of
mechanisms by which records
managers throughout the Agency can
communicate with each other.
We are now in the process of
addressing those issues in our tactical
plans consisting of concrete program
initiatives for FY91 and 92. Among the
initiatives are the Regional RM
program guidance document, revision
of the Superfund records schedule and
other Regional schedules, plans for
completely restructuring and
automating the Agency records
An Interview with Marilyn Ryall,
Region 9 Records Manager
Marilyn Ryall, Records Management Officer in Region 9, has worked in the field
of records management for about fourteen years, and has been working at EPA
since August 1990. She has presented numerous papers and workshops on
records topics, and is especially interested in integrating records management
with new technology, such as optical disk technology. Mary Hoffman conducted
this interview by phone for INFOACCESS.
Q What is your background?
A Over the years, I have worked for a number of organizations, including the
California State Archives, Federal Records Center, City of San Diego, and the
American Association for State and Local History.
Q How does EPA compare to other organizations you are familiar with?
A EPA is more decentralized and democratic in its style of leadership than
organizations I've worked for in the past. This is important to recognize as the
culture of an organization has a direct impact on records and information
practices in any given organization. Hence, a records manager in an EPA Region
continued on page 3
schedules, updating of portions of the
Agency records manual, multiple new
communications links (including
INFOACCESS), and plans for a RM
Conference to be held in conjunction
with the IRM branch chief's meeting in
June in Denver. Each of these will be
discussed in later issues of
INFOACCESS.
Some of you will recognize these
initiatives because I have raised them
with you either by telephone or face-
to-face. To the extent possible, they
reflect your input about what you need
from the National Program. Be
assured that the requestsforcomments
and suggestions will continue, and we
are planning a full program evaluation
session for the June meeting. But be
forewarned, we are also planning a
session in which records managers
will be asked to do some strategic
planning of their own. A true national
RM vision and strategic plan can only
be developed by joining together our
individual efforts.~
INFOACCESS is produced
by the Information Access
Branch of the Information
Management and Services
Division, Washington, DC.
Staff
Mary Hoffman
Meg Schwind
Please send your comments
and suggestions to:
Mary Hoffman
Network Coordinator
EPA Headquarters Library,
PM211A
401 M Street, SW
Washington, DC 20460
FTS 475-7762 III EPA30360
INFOACCESS
2
FEBRUARY 1991

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One of the best communication tools available to the Records Network, aside from the telephone, is electronic mail.
The EPA Electronic Mail (Email) Service is a computer-based message system which allows Agency staff to
communicate with each other through their computer terminals. Using this system, it is easy to keep in touch with
colleagues and learn about activities and issues throughout the Agency.
EPA's employees and affiliates can obtain an Email mailbox by submitting an Email request form. The form can be
completed online, or a hardcopy can be obtained from the Email coordinator in your office. To use Email, an individual
needs a computer terminal with access to a communications link to the Email computers, either through EPA's private
data network, or a commercial data network. For more information about EPA's Email Service, contact Email User
Support at FTS 629-7862 or 1-800-334-2405.
The National Records Management staff encourages every records manager to request an Email box if he or she does
not have one currently. In the near future, Email will be used to facilitate the exchange of information among all records
managers, and 'lime critical" information will be disseminated by the National Records Management staff via Email.
The Records Management staff will be developing two "clusters," or lists of Email boxes, one for general information
which will be directed to all staff, and one for official communications such as changes in regulations and guidelines,
which will be directed to the principal site contacts.
In order to facilitate more communication between records center staff, Email box numbers will be included in the
Directory of Records Managers which appears on the last page of INFOACCESS>
may have to deal with a lot of indepen-
dent ideas on what should be done
with regard to records manage-
ment in the Region.
Q What are the strengths and
weaknesses of EPA's Records
Management Program?
A One of the chief strengths is the
fact that EPA has appointed a single
individual who coordinates Regional
records management activities. As
far as I know, this doesn't happen in
most Federal agencies. One of the
greatest weaknesses is the inad-
equacy of the Records Control
Schedule. This makes the success-
ful implementation of a day-to-day
records management program very
difficult. To date, another weakness
has been the lack of clear records
management directives from Head-
quarters on the implementation of
Regional records management
programs, although I understand this
will change in the near future.
Finally, Regional programs need
additional staff support if they are to
be truly successful.
Q Do Superfund records present
different concerns?
A Because of the significant nature
of these records, it makes sense to
spend the resources in housing such
records in "Superfund Records Cen-
ters." However, in an organizational
and records management sense, the
role of this Center is not understood.
For example, it is more of an active
files area for a specific case-type
series - Superfund records. In the
true records management sense, it
is not a "records center" which is a
storage area for inactive files. Failure
to perceive the difference here can
confuse issues for records managers
who are responsible for everything
other than Superfund records.
Q Are the clients for EPA records
different from what you have seen in
other record centers?
A More than anything, they (EPA
employees) share characteristics with
those in State and local government,
and business as well. First, as they
have had no records management
training, they fail to recognize the ben-
efits of a good records management
program in the organization (i.e. it
really can save time, space and
money). Second, they fail to imple-
ment effective files management
techniques (i.e. apply filescutoffs, avoid
filing duplicative documentation, cre-
ate appropriate file labels, create ef-
fective or hierarchical filing systems,
etc.). Third, they do not appreciate the
importance of the Records Retention
Schedule to the organization (i.e. it is
key to controlling the disposition of
massive amounts of paperwork).
continued on page 4
FEBRUARY 1991
INFOACCESS

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EPA National Records Management Conference
"A Records Management Agenda for the 90s"
The Information Management and Services Division (IMSD) is planning EPA's First National Records
Management Conference in Denver, Colorado during the week of June 24, 1991. Stay tuned for more
information on this exciting new conference in the weeks ahead! For more information, contact Gloris Butler
at FTS 245-3639.
Interview from page 3
Q What is EPA's Records Manage-
ment mission?
A The mission of the EPA should be
to implement effective records man-
agement practices on an Agencywide
basis. A component of this mission
should be an educational effort. All
EPA employees need to be informed
of their responsibility to wisely
manage information produced by the
organization.
Q What issues are of most concern
to you in your current position?
A My greatest concern is the fact
that most Regional programs have no
more than one person (at best) de-
voted to conducting the records man-
agement program. On a day-to-day
basis, the inadequacy of the schedule
presents significant challenges. Be-
cause it does not clearly describe ex-
isting record series, it conveys the
message that it is difficult to use the
schedule and that it's difficult to trans-
fer records to the Federal Records
Centers. Such sentiments can have a
long-term negative impact on the de-
velopment of Regional records man-
agement programs.
Q Do you have any contact with
other EPA records centers/records
managers?
A Occasionally I have contact with
other EPA records managers. Most
recently I spoke with Bette Drury in
Atlanta, and we agreed to start
exchanging information on records
disposition issues via electronic mail. I
talked to Mike Miller about this, and he
said lhat any other Regional records
managers interested in being a part of
this group should contact me at FTS
484-1474.
Q Would you like to have more con-
tact with other EPA records manag-
ers?
A It would be quite useful to have
regular contact with other Regional
records management staff. Contact
now is sporadic.
Q Do you have any contact with
records management colleagues in
other organizations?
A Yes, I am the co-chairperson for
the Government Industry Action Com-
mittee (IAC) of the ARM A Golden Gate
Chapter. This is a group for records
managers from Federal, State and lo-
cal levels of government. Other col-
leagues that I've met through the
Golden Gate Chapter have been the
basis of my "Bay Area records man-
agement network."
Q What professional records
management organizations offer
support?
A ARMA, the Association of
Records Managers and Administrators
is the most useful.
Q What are your goals for the Re-
gion 9 Records Management pro-
gram for FY91?
A My goals are to implement a new
records management program for
Region 9. Specific goals include:
reissuing the Records Control Sched-
ule, providing records disposition and
files improvement seminars, and con-
vincing Region9personnelthat records
are a resource that needs to be
managed wisely.
Q What would you like to see the
National Records Management staff
do in FY91 ?
A Communicate with Regional
records managers on a regular basis
in a uniform way. Communicate with,
and obtain feedback from, Regional
records managers before developing
and finalizing Regional records
management guidelines.
Q What would you like to see in the
newsletter, INFOACCESS?
A Articles about the National
Records Management Program, pro-
files of Regional and Headquarters
records management staff, Mike
Miller's activities on behalf of Regional
records management programs,
records management resources, (book
reviews, etc.), optical disk technology,
specific records management topics
such as "how to select a microfilm
vendor," and reports on permanent
holdings of EPA records nationwide #
INFOACCESS
4
FEBRUARY 1991

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How's Your Disposition?
The core of any records management program is records disposition. For those
unfamiliar with the concept, all Federal agencies must obtain permission from the
National Archives and Records Administration (NARA) to destroy records. This
permission is granted to agencies in the form of records disposition schedules
(hereafter referred to as schedules), legally binding agreements signed by NARA
and the Agency. Here at EPA, our existing schedules are the product of extensive
consultation and review by program units, legal counsel, and top management;
all of whom must concur even before the schedules are sent to NARA for
approval.
Whether you approach disposition as a program manager or staffer who needs
to know what to do with records, or as a records manager seeking to respond to
a user's question, a clear, comprehensive, and easy to use set of schedules is an
absolute necessity. Currently ours do not meet any of these criteria fully. The
long-term solution (two to three years) is an overhaul of the entire system, and our
plans for revising the schedules will be discussed in the April issue of the
INFOACCESS. This article suggests some steps we can take now to use the
schedules currently in place most effectively.
as a records manager seeking
to respond to a user's question,
a clear, comprehensive, and
easy to use set of schedules
is an absolute necessity
To make disposition decisions correctly you need four basic tools. The first is
NARA's General Records Schedules (GRS), which cover records found in all
Federal agencies. Second, are a set of records disposition schedules applicable
to youroffice or areaof responsibility. This will include a scheduleforyourspecific
office or division (Regional Water Program Records for example), as well as all
applicable Agency-wide or Region-wide schedules, such as the schedule for
audio-visual records, or program organization records. Third, are the lists of all
active schedules, and their range of applicability. These lists indicate which
schedules are applicable to your situation, be it Headquarters, Regional oflice, or
EPA laboratory. The final tool is the newly issued Interim Index to Agency Records
Disposition Schedules which will assist you in navigating through the 26 sched-
ules currently in use in the Agency. If you need any of these tools, contact Gloris
Butler at FTS 245-3639.
First a note of caution. If you are not a trained records manager, don't try to apply
the schedules on your own. Contact your records officer (see the back page of
continued on page 6
INFOACCESS
continued from page 1
These are its specific RM goals:
•	Serve as an interchange among
active EPA records managers.
•	Communicate records initiatives
and achievements to the broader
IRM community.
•	Share technical information with
records managers and their staffs.
•	Provide a forum forthe discussion
of records management issues.
INFOACCESS is your newsletter. It
will respond to your needs and re-
quests, and look at the issues which
concern you. INFOACCESS needs
your input. It is important that you
share information on your suc-
cesses, problems and needs with
your colleagues in the Network.
INFOACCESS is a good forum for
sharing, for introducing new mem-
bers, and for celebrating the ac-
complishments of the members.
Future records issues of
IN FO ACC ESS will be topic-oriented.
Possible themes for future issues
are records managementtools, ser-
vices provided by records manag-
ers, records center clients, and or-
ganizational support for records
management programs. There will
be features on records manage-
ment technology, profiles of records
managers and their projects, reviews
of new information resources and
fact sheets on specific technical
topics.
Interested in contributing? Contact
Mary Hoffman, Network Coordina-
tor, at FTS 475-7762 or at Email
box EPA30360/M.Hoffman. ~
Mary Hoffman
FEBRUARY 1991
5
INFOACCESS

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Disposition from page 5
the INFOACCESS for a listing) or call
Gloris.
In many cases, you will be able to find
a disposition authority that clearly cov-
ers the records in question in either the
GRS or the Agency schedules that
apply to your program area. There are
two things to remember here. The first
concerns applicability. Everyone can
apply schedules identified inthe upper
right as "Agency-wide." However,
Regions cannot apply Headquarters
schedules and vice versa. The sec-
ond thing to remember is that many of
the Agency schedule dispositions were
devised years ago. If they do not fit
current program needs that should be
brought to the attention of the National
Program staff so that the problem can
be addressed as part of the revision
process.
What should you do if you can't find the
records in the schedules? It may be
that the records aren't covered by any
disposition authority, or are covered
only in a schedule that does not apply
to the program in question. However,
before deciding that is the case, ask
yourself the following three questions.
Were these records, or records like
them created before 1985? If so, they
are probably found somewhere in the
schedules.
Were the records created as part of a
function that was formerly in another
office? If so, the records may be
scheduled with those of the former
office. This is frequently the case for
programs that have been regionalized
in the past five years. Note that Re-
gions can apply regional schedule
items across division lines, depending
upon who has custody of a given type
of records in a particular Region. How-
ever, Regions or Laboratories cannot
apply Headquarters schedules with-
out approval from the National Pro-
gram staff.
Although the records are not mentioned by name in the schedules, are they
possibly covered by one of the many generic items? Examples of generic items
include the Office Administration Files item in the Office Management Records
schedule, the Management Study Records item in the Organization and Man-
agement Records schedule, orthe Program Management File item found in many
records schedules. Obviously these generic dispositions need to be applied
judiciously, and if you are in doubt you should contact the Network Coordinator
If you are still at a loss for the appropriate disposition, the next step is to call for
help - either from the National Program Staff or someone else in the records
management Network. It may be that the question has been resolved previously,
and you can benefit from the earlier decision. Second, it may be that the records
are covered in a schedule that you cannot apply. In that case, you shouId discuss
the problem with the National Program Staff. Finally, the Agency may not have
an approved disposition for the records, in which case the National Program Staff
will work with you to prepare a disposition request to have the records scheduled.
We at IMSD are taking steps to address these three questions. First, we will be
issuing Records Disposition Schedule Clarification Bulletins providing interim
guidance on the applicability of schedules to certain records where coverage is
ambiguous. Second, we will work with the Federal Records Centers to modify the
applicability of schedule items where this is necessary. Finally, we will maintain
a log of records that are unscheduled so they can be included in the revised
schedules.
For these tools to work effectively however, we depend on those in the Network
to bring the problems to our attention. If you have any records that fall into one
of these categories, please bring them to our attention by contacting Gloris Butler,
the Records Management Network Coordinator, at FTS 245-3639. You should
also contact Ms . Butler if you have any questions concerning scheduling, orwou Id
like copies of the tools mentioned above. By working together we can ensure that
everyone in the Agency receives the same level of records management
services. ~ Michael L. Miller
Congratulations!
INFOACCESS would like to recognize records staff for excellent work in the
field of records management, whether it is the development of a special
product, completion of an significant project or acknowledgement of an
Agency award.
Region 3
Hats off to the records staff of Region 3. They received the best overall N ARA
evaluation of any region that has come to our attention.
Region 4
Many thanks to Region 4 for their recently completed inventories. The
National Program staff always appreciates copies of such products.
If you have any success that you would like to share with the Network, contact
Mary Hoffman at FTS 475-7762 or Email EPA 30360.
INFOACCESS »vMj FEBRUARY 1991

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Around the Network

¦ • > p:
This section of INFOACCESS will be used to report on upcoming meetings and projects currently underway in the
Regions, laboratories and Headquarters. Anyone with contributions tor this column should contact Mary Hoffman at
475-7762, or at Email box M.HOFFMAN /EPA30360.
~ OSWER/SDMS Work Group Meeting

There will be a combined Office of Solid Waste and Emergency Response (OSWER) Records Management and
Superfund Document Management Systems (SDMS) work group meeting in Washington on March 11 -13th, 1991. For
more information, contact Michelle Curtis, OSWER, at FTS 475-7951.
~	NARA Evaluation Draft Due
The National Archives and Records Administration (NARA) has indicated that EPA will receive a draft of the NARA
evaluation sometime in March. Questions should be referred to Network Coordinator, Gloris Butler.
~	National Program Projects
Work continues on three projects overseen by the National Program staff: the Model Regional Records Management
Operating Procedures Guidance Document; a guidance document on defining and applying terms such as records,
non records,personal papers and working papers; and a revised records schedule for Regional Superfund records. All
projects are expected to be completed by the end of April. Drafts will be circulated for comment. For further information
call the Network Coordinator, Gloris Butler.
~	Region 4: Records Inventory
Bette Drury recently completed inventorying projects forthe Region's Water and Environmental Services Divisions. The
products describe the organization, contents, and function of the records, and suggest dispositions whenever possible.
The inventories are a good first step toward revised disposition schedules for these programs. For more information
contact Bette Drury at FTS 257-2316.
~	Region 5: Cleanup and Classification
Louise De Brower worked with staff in the Pesticides andToxic Substances Branch to review their files and file
schedules. In addition they conducted a clean-up of the working and reference office files, resulting in the recycling of
1 1/2 tons of paper, disposal of 1 ton of trash, and return of 2 mail carts full of reusable supplies to the Agency.
The records staff completed a subject classification of Regional records, that will be used as the basis for a Regional
file scheme. They found that most environmental programs are similar enough to be classified by subject. For
more information, or for a draft copy of the classification, contact Louise De Brower at FTS 353-1594.
~	Region 8: Microfilming Maps & Aerial Photos
There is an interesting project scheduled to begin in February at the Region 8 Superfund Records Center. In order to
relieve space problems, the Center is arranging to rt.icrofilm oversize documents such as maps and aerial photographs,
an integral part of the Superfund site files. For more information, contact Michael Kenna at FTS 330-1297.
A Region 9: Introduction to Records Control Schedules
Marilyn Ryall, the Records Management Officer, is preparing Records Control Schedules with a useful and information
Introduction in Question and Answer format for Regional staff. In addition she is designing seminars to train the staff
on records disposition schedules. For more information, contact Marilyn at FTS 484-1507.
~	RCRA Docket Microfilming Materials
The RCRA Docket at HQ initiated a project in December 1990 to microfilm administrative records and closed rulemaking
dockets. It has been a slow but necessary process, considering the Docket's space problems. The files will be indexed
on RCRADS, the Docket's in-house database. Once this project is complete, the Docket plans to film closed files on
an annual basis. For more information, contact Kathy Bruneske at FTS 475-9327. ~ Mary Hoffman
FEBRUARY 1991
7
INFOACCESS

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Directory of EPA Regional Records Managers, 2/91
NAME	EMAIL
HOlloway, James, Region 1 *	US EPA
Callahan, Barbara, Region iHeadquarters and Chemical Libraries
Janell, Jay, Region 1
Cunha, Evano, Region 1-SF
Haslett, Brenda, Region 1-SF
Bruno, Pam, Region 1-SF
Equo, Carol, Region 2 *
Delcimento, Jennie, Region 2-SF
Butch, Anna, Region 3 *
Leva, Peggy, Region 3-SF
Kemp, Rebecca, Region 4 *
Drury, Bette, Region 4
Key, Harold, Region 4-SF
Love, Tom, Region 4-SF
Jourdan, Debbie, Region 4-SF
Lofton, Gussie, Region 4-RCRA
Calvin, Lynn, Region 5 *
De Brower, Louise, Region 5
Pfundheller, Jan, Region 5-SF
Yarberry, Nancy, Region 6 *
Chambers, Charlene, Region 6-SF
Falk, Linda, Region 6-SF
Nelson, Pat, Region 6-RCRA
Brakeall, Carol, Region 7 *
Jones, Patricia, Region 7
Carter, Mary, Region 7
Thierer, Barry, Region 7-SF
Rivera, Jackie, Region 8 *
Macy, Carol, Region 8-SF
Artemis, Tina, Region 8-SF
Ryall, Marilyn, Region 9 *
Hadlock, Holly, Region 9-SF
McAllister, Barbara, Region 10 *
Williams, Lynn, Region 10-SF
Hughes, Margaret, Region 10-RCRA
EPA West Bkfg Room 3340
Maiicode 3404T
1301 Constitution Ave NW
Washington DC 20004
202-1
EPA9399
EPA9483
B.Drury
EPA3533
N. Yarberry
EPA9658
C.Brakeall
EPA9799
EPA97039
EPA9872
EPA9835
EPA9870
EPA99223
EPA90004
EPA9065
NOTE: * = Principal Regional Contact; SF= Superfund
FTS PHONE
835-3374
835-4905
835-4980
835-1729
835-1729
828-6309
264-1414
264-8676
597-1180
597-3037
257-2316
257-2316
257-5242
257-0506
257-5243
257-0506
353-1481
353-1594
353-5821
255-6540
255-2240
255-6720
255-6750
276-7527
276-7238
276-7350
276-7515
330-1645
330-7038
330-7039
484-1507
484-1448
399-4044
399-2121
399-6687
Please send any changes or corrections to Mary Hoffman at Email box M.HOFFMAN/
EPA30360 or call FTS 475-7762.
INFOACCESS
FEBRUARY 1991

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