[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

[[Page 41001]]

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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