Relocation of FIRMR Provisions Relating to GSA's Role in the Records Management Program

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 ([email protected]. or [email protected]).

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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