[Federal Register Volume 61, Number 153 (Wednesday, August 7, 1996)]
[Rules and Regulations]
[Pages 41000-41003]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-19960]
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GENERAL SERVICES ADMINISTRATION
41 CFR Part 101-11
[FPMR Interim Rule B-1]
RIN 3090-AG02
Relocation of FIRMR Provisions Relating to GSA's Role in the
Records Management Program
AGENCY: Office of Policy, Planning and Evaluation, GSA.
ACTION: Interim rule with request for comments.
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SUMMARY: This regulation reestablishes certain Federal Information
Resources Management Regulation (FIRMR) provisions regarding records
management in the Federal Property Management Regulations (FPMR). This
action is necessary because the FIRMR is being abolished as of 12
midnight on August 8, 1996.
DATES: This rule is effective August 8, 1996. Comments are solicited
and are due October 7, 1996.
Expiration Date: December 31, 1997.
ADDRESSES: Comments may be mailed to General Services Administration,
Office of Policy, Planning and Evaluation, Strategic IT Analysis
Division (MKS), 18th & F Streets, NW., Room 3224, Washington, DC 20405.
FOR FURTHER INFORMATION CONTACT: R. Stewart Randall or Pat Smith of the
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Office of Policy, Planning and Evaluation, Strategic IT Analysis
Division (MKS), 18th & F Streets, NW., Room 3224, Washington, DC 20405,
telephone FTS/Commercial (202) 501-4469 or (202) 501-0657 (tdd), or
Internet (stewart.randall@gsa.gov. or pat.smith@gsa.gov).
SUPPLEMENTARY INFORMATION: (1) The President signed the National
Defense Authorization Act (NDAA) for Fiscal Year 1996, Pub. L. 104-106,
on February 10, 1996. Included in the NDAA was the Information
Technology (IT) Management Reform Act of 1996 (ITMRA). Section 5101 of
the Act repeals section 111 of the Federal Property and Administrative
Services Act of 1949, as amended (the Brooks Act) (40 U.S.C. 759). The
Brooks Act was the authority for most of the provision in GSA's Federal
Information Resources Management Regulation so that the Brooks Act
repeal effectively disestablishes the FIRMR. Therefore, any FIRMR
provisions that are still needed, such as Part 201-9-Records
Management, are being removed from the FIRMR and reestablished in the
appropriate regulation.
(2) GSA has determined that this rule is not a significant rule for
the purposes of Executive Order 12866 of September 30, 1993, because it
is not likely to result in any of the impacts noted in Executive Order
12866, affect the rights of specified individuals, or raise issues
arising from the policies of the Administration. GSA has based all
administrative decisions underlying this rule on adequate information
concerning the need for and consequences of this rule; has determined
that the potential benefits to society from this rule outweigh the
potential costs; has maximized the net benefits; and has chosen the
alternative approach involving the least net cost to society.
List of Subjects in 41 CFR Part 101-11
Archives and records, Computer technology, Telecommunications,
Government procurement, Property management, Records management, and
Federal information processing resources activities.
For the reasons set forth in the preamble, 41 CFR Chapter 101 is
amended by adding subchapter B, consisting of part 101-11, to read as
follows:
SUBCHAPTER B--MANAGEMENT AND USE OF INFORMATION AND RECORDS
PART 101-11--CREATION, MAINTENANCE, AND USE OF RECORDS
Subpart 101-11.0 General Provisions
Sec.
101-11.0 Scope of part.
101-11.1 General.
Subpart 101-11.1--Agency Programs
101-11.100 Scope of subpart.
101-11.101 General.
101-11.102 Policy.
101-11.103 Procedures.
Subpart 101-11.2--GSA Governmentwide Programs
101-11.200 Scope of subpart
101-11.201 General.
101-11.202 Governmentwide programs.
101-11.203 Standard and Optional Forms Management Program.
101-11.204 Interagency Reports Management Program.
Authority: 40 U.S.C. 486(c).
Subpart 101-11.0 General Provisions
Sec. 101-11.0 Scope of part.
This part prescribes policies and procedures for the creation,
maintenance, and use of Federal agencies' records. Unless otherwise
noted, the policies and procedures of this part apply to all records,
regardless of medium (i.e., paper, electronic, or other).
Sec. 101-11.1 General.
(a) Chapters 29 and 31 of title 44 of the United States Code
(U.S.C.), require the establishment of standards and procedures to
ensure efficient and effective records management by Federal agencies.
The statutory goals of these standards and procedures include:
(1) Accurate and complete documentation of the policies and
transactions of the Federal Government;
(2) Control of the quantity and quality of records produced by the
Federal Government;
(3) Establishment and maintenance of mechanisms of control with
respect to records creation in order to prevent the creation of
unnecessary records and with respect to the effective and economical
operations of an agency;
(4) Simplification of the activities, systems, and processes of
records creation, maintenance, and use;
(5) Judicious preservation and disposal of records; and
(6) Direction of continuing attention on records from their initial
creation to their final disposition, with particular emphasis on the
prevention of unnecessary Federal paperwork.
(b) The law assigns records management responsibilities to the
Administrator of General Services (the Administrator), the Archivist of
the United States (the Archivist), and the heads of Federal agencies.
(1) The Administrator is responsible for providing guidance and
assistance to Federal agencies to ensure economical and effective
records management. Records management policies and guidance
established by GSA are contained in FPMR Part 101-11, records
management handbooks, and other publications issued by GSA.
(2) The Archivist is responsible for providing guidance and
assistance to Federal agencies to ensure adequate and proper
documentation of the policies and transactions of the Federal
Government and to ensure proper records disposition. Records management
policies and guidance established by the Archivist are contained in
regulations in 36 CFR chapter XII and in bulletins and handbooks issued
by the National Archives and Records Administration (NARA).
(3) The heads of Federal agencies are responsible for complying
with the policies and guidance provided by the Administrator and the
Archivist.
Subpart 101-11.1--Agency Programs
Sec. 101-11.100 Scope of subpart.
This subpart prescribes policies and procedures for establishing
and maintaining an agency records management program.
Sec. 101-11.101 General.
Section 3102 of title 44 of the U.S.C. requires each Federal agency
to establish an active and continuing records management program.
Sec. 101-11.102 Policy.
Each Federal agency shall establish and maintain an active,
continuing program for managing agency records, commensurate with
agency size, organization, mission, and recordkeeping activity.
Sec. 101-11.103 Procedures.
Each Federal agency shall take the following actions to establish
and maintain the agency's records management program:
(a) Assign specific responsibility for the development and
implementation of agencywide records management programs to an office
of the agency and to a qualified records manager.
(b) Consider the guidance contained in GSA and NARA handbooks and
bulletins when establishing and
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implementing agency records management programs.
(c) Issue a directive establishing program objectives,
responsibilities, authorities, standards, guidelines, and instructions
for its records management program.
(d) Apply appropriate records management practices to all records,
irrespective of the medium (e.g., paper, electronic, or other) on which
the record resides.
(e) Control the creation, maintenance, and use of agency records
and the collection and dissemination of information to ensure that the
agency:
(1) Does not accumulate unnecessary records;
(2) Does not create forms and reports that collect information
inefficiently or unnecessarily;
(3) Periodically reviews all existing forms and reports (both those
originated by the agency and those responded to by the agency but
originated by another agency or branch of Government) to determine if
they need to be improved or canceled;
(4) Maintains its records cost effectively and in a manner that
allows them to be retrieved quickly and reliably; and
(5) Keeps its mailing and copying costs to a minimum.
(f) Standardize stationery in terms of size, letterhead design,
color (of originals, record copies, and envelopes), markings that are
permitted on envelopes and postcards, and number of stationery styles
permitted.
(g) Consider the voluntary standards contained in the Table of
Standard Specifications in the FPMR, when developing agency stationery
standards.
(h) Establish agency standards regarding the types of
correspondence to be used in official agency communications, and the
number and kind of copies required and their distribution and purpose.
(i) Strive to:
(1) Improve the quality, tone, clarity, and responsiveness of
correspondence, and provide for its creation in a timely, economical,
and efficient manner;
(2) Design forms that are easy to fill-in, read, transmit, process,
and retrieve; and reduce forms reproduction costs;
(3) Provide agency managers with the means to convey written
instructions to users and document agency policies and procedures
through effective directives management;
(4) Provide agency personnel with the information needed in the
right place, at the right time, and in a useful format;
(5) Eliminate unnecessary reports and design necessary reports for
ease of use;
(6) Provide rapid handling and accurate delivery of mail at minimum
cost; and
(7) Organize agency files:
(i) So that needed records can be found rapidly;
(ii) To ensure that records are complete; and
(iii) to facilitate the identification and retention of permanent
records and the prompt disposal of temporary records.
Subpart 101-11.2--GSA Governmentwide Programs
Sec. 101-11.200 Scope of subpart.
This subpart contains policies and procedures prescribed for the
following GSA-managed programs:
(a) The Standard and Optional Forms Management Program.
(b) The Interagency Reports Management Program.
Sec. 101-11.201 General.
(a) The Standard and Optional Forms Management Program was
developed and operated by OMB consistent with the authorities
prescribed by the Budget and Accounting Act of 1921. GSA assumed
responsibility for the program on May 29, 1967, through agreement with
OMB.
(b) The Interagency Reports Management Program implements 44 U.S.C.
chapters 29 and 31, recognizing OMB functions under 44 U.S.C. 3504(e)
and OMB implementation under 5 CFR 1320.16.
Sec. 101-11.202 Governmentwide programs.
Sec. 101-11.203 Standard and Optional Forms Management Program.
(a) General. (1) The Standard and Optional Forms Management Program
was established to achieve Governmentwide economies and efficiencies
through the development, maintenance and use of common forms.
(2) GSA will provide additional guidance on the Standard and
Optional Forms Management Program.
(b) Procedures. Each Federal agency shall--
(1) Designate an agency-level Standard and Optional Forms Liaison
Representative and Alternate, and notify GSA in writing of such
designees' names, titles, mailing addresses, and telephone numbers
within 30 days of the designation or redesignation at the address in
paragraph (b)(4) of this section;
(2) Promulgate Governmentwide Standard Forms pursuant to the
agency's statutory or regulatory authority and issue in the Federal
Register Governmentwide procedures on the mandatory use, revision, or
cancellation of these forms;
(3) Sponsor Governmentwide Optional Forms when needed in two or
more agencies and announce the Governmentwide availability, revision or
cancellation of these forms;
(4) Obtain GSA approval for each new, revised or canceled Standard
and Optional Form, 60 days prior to planned implementation, and certify
that the forms comply with all applicable laws and regulations. Send
approval requests to: General Services Administration, Forms Management
Branch (CARM), Washington, DC 20405;
(5) Provide GSA with a camera ready copy of the Standard and
Optional Forms the agency promulgates or sponsors prior to
implementation, at the address shown in paragraph (b)(4) of this
section;
(6) Obtain promulgator's or sponsor's approval for all exceptions
to Standard and Optional Forms prior to implementation;
(7) Annually review all Standard and Optional Forms which the
agency promulgates or sponsors, including exceptions, for improvement,
consolidation, or cancellation;
(8) When requested by GSA and OMB, submit a summary of the Standard
and Optional Forms used for collection of information covered by 5 CFR
part 1320;
(9) Request approval to overprint Standard and Optional Forms by
contacting GSA (CARM); and
(10) Coordinate all matters concerning health care related Standard
Forms through the Interagency Committee on Medical Records (ICMR). For
additional information on the ICMR, contact GSA (CARM).
Sec. 101-11.204 Interagency Reports Management Program.
(a) General. (1) GSA manages the Interagency Reports Management
Program to ensure that interagency reports and recordkeeping
requirements are based on need, are cost-effective, and comply with
applicable laws and regulations.
(2) GSA will provide additional guidance on the Interagency Reports
Management Program.
(b) Procedures. (1) Each agency shall:
(i) Obtain GSA approval for each new, revised, or extended
interagency report, prior to implementing the report;
(ii) Designate an agency-level interagency reports liaison
representative and alternate, and notify GSA in writing of such
designees' names, titles, mailing addresses, and telephone numbers
within 30 days of the designation or redesignation;
(iii) Use Standard Form 360, Request to Approve an Interagency
Reporting Requirement, to obtain GSA approval
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for each new, revised, or extended interagency report;
(iv) Attach to each Standard Form 360, a justification statement
(signed by the official who requested the report) describing the need
for the report;
(v) Explain how the reporting costs shown on Standard Form 360 were
derived;
(vi) Make supporting documentation for cost estimates available for
GSA review;
(vii) Submit to GSA and OMB (see 5 CFR part 1320) simultaneously
for approval, interagency reports that collect information from Federal
agencies and from either the public or State or local governments;
(viii) Notify GSA and responding agencies when an interagency
report is no longer needed; and
(ix) Send requests for GSA approval and notifications regarding
interagency reports to: General Services Administration, Strategic IT
Analysis Division,(MKS), 18th and F Streets, NW., Washington, DC 20405.
(2) This section does not apply to the following interagency
reports: (However, interagency reports required by Federal agencies to
respond to these reports are subject to this section.)
(i) Legislative branch reports.
(ii) Office of Management and Budget (OMB) and other Executive
Office of the President reports.
(iii) Judicial branch reports required by court order or decree.
(iv) Reporting requirements for security classified information.
However, interagency reporting requirements for non-sensitive or
unclassified sensitive information are not exempt, even if such
information is later given a security classification by the requesting
agency.
Dated: July 31, 1996.
David J. Barram,
Acting Administrator of General Services.
[FR Doc. 96-19960 Filed 8-6-96; 8:45 am]
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