[Federal Register Volume 66, Number 183 (Thursday, September 20, 2001)]
[Rules and Regulations]
[Pages 48357-48361]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-23356]


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GENERAL SERVICES ADMINISTRATION

41 CFR Parts 101-11, 102-193, 102-194, and 102-195

[FPMR Amendment B-1]
RIN 3090-AG02


Federal Records Management Program, Interagency Reports 
Management Program, and Standard and Optional Forms Management Program

AGENCY: Office of Governmentwide Policy, GSA.

ACTION: Final rule.

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SUMMARY: The General Services Administration (GSA) is revising the 
Federal Property Management Regulations (FPMR) by moving coverage on 
creation, maintenance, and use of records into the Federal Management 
Regulation (FMR). A cross-reference is added to the FPMR to direct 
readers to the coverage in the FMR. The FMR coverage is written in 
plain language to provide agencies with updated regulatory material 
that is easy to read and understand.

DATES: Effective October 22, 2001.

FOR FURTHER INFORMATION CONTACT: R. Stewart Randall, Strategic IT 
Issues Division (MKB), at 202-501-4469, or Internet e-mail at 
[email protected].

SUPPLEMENTARY INFORMATION:

A. Background

    This final rule encourages Federal agencies to conduct business 
electronically. Part 102-193, Creation, Maintenance, and Use of 
Records, is being added to the FMR to provide a foundation for General 
Services Administration (GSA) programs that helps address problems in 
the management of contemporary records. Both GSA and the National 
Archives and Records Administration (NARA) have responsibilities for 
records management. This final rule references appropriate NARA 
regulations.
    This final rule also makes changes in the operation of the Standard 
and Optional Forms Program. The Federal Government is moving toward 
greater use of information technology to allow improved customer 
service and Governmental efficiency. The Government Paperwork 
Elimination Act requires agencies to adopt electronic transactions of 
information by October, 2003, when practicable. This vision 
contemplates widespread use of the Internet, with Federal agencies 
transacting business electronically as commercial enterprises are 
doing. Members of the public who want to do business this way can avoid 
traveling to Government offices, waiting in line, or mailing paper 
forms. The Federal Government can also save significant time and money 
by transacting business electronically.
    Therefore, this rule is intended to facilitate the movement of the 
Federal Government toward greater automation of the information 
exchanged using standard and optional forms. This rule also addresses 
management of standard and optional forms (in either paper or 
electronic form) and defines standard and optional automated formats. 
Normally, the most efficient exchange of information is done using 
automated formats. Thus, this rule encourages agencies, where 
appropriate, to use automated formats.
    Often, an important intermediate step in the Federal Government's 
evolution to transacting business electronically is the development and 
use of electronic standard and optional forms. Such forms, while not 
fully electronic business transactions, can make paper-based 
information exchanges substantially easier and introduce significant 
efficiencies for the Federal Government. The part on standard and 
optional forms encourages the use of electronic forms by Federal 
agencies to facilitate paper-based transactions, pending their 
automation. To do that, this rule establishes the policy that agencies 
should promote the use of electronic standard forms whenever 
practicable. To assist agencies in assessing practicability, GSA is 
proposing that paper transactions continue when standard forms are for 
specialized use (e.g., labels), when there are special security or 
integrity concerns (e.g., classification cover sheets), and when there 
are unusual production costs (e.g., special envelopes). The Standard 
and Optional Forms Procedural Handbook includes a list of those forms 
that have been exempted from the policy in accordance with these 
criteria.
    This rule also makes changes to the Interagency Reports Management 
Program to shorten the time between when an agency determines a need 
for interagency information and when the agency can initiate an 
interagency report to obtain that information. Agencies will no longer 
have to get GSA's approval

[[Page 48358]]

before initiating an interagency report. This change lets agencies take 
advantage of information technology to get the information they need to 
accomplish their missions.
    When authorized by law and regulation, agencies are encouraged to 
share information, particularly as an alternative to collecting 
additional information from the public. This change is intended to 
facilitate agencies sharing needed information.
    As a general rule, it is more efficient for agencies to share 
information in electronic form. While paper-based reporting, including 
electronic forms, may still be used, it is preferable that interagency 
reports be provided electronically between agencies. Agencies, however, 
are asked to give GSA information such as the name and the cost of each 
of their interagency reporting requirements. This information will be 
placed on our web site at www.gsa.gov and made available to Federal 
agencies.
    A proposed rule was published on August 9, 2000, at 65 FR 48655. 
Three comments were received and considered in the formation of this 
final rule.

B. Executive Order 12866

    GSA has determined that this final rule is not a significant 
regulatory action for the purposes of Executive Order 12866 of 
September 30, 1993.

C. Regulatory Flexibility Act

    This final rule will not have a significant economic impact on a 
substantial number of small entities within the meaning of Regulatory 
Flexibility Act, 5 U.S.C. 601, et seq., because the rule only applies 
to internal management and will not have a significant impact on the 
public.

D. Paperwork Reduction Act

    The Paperwork Reduction Act does not apply because this final rule 
does not impose recordkeeping or information collection requirements, 
or the collection of information from offerors, contractors, or members 
of the public which require the approval of the Office of Management 
and Budget (OMB) under 44 U.S.C. 3501, et seq.

E. Small Business Regulatory Enforcement Fairness Act

    This final rule is exempt from congressional review prescribed 
under 5 U.S.C. 801 since it relates solely to agency management and 
personnel.

List of Subjects in 41 CFR Parts 101-11, 102-193, 102-194, and 102-
195

    Archives and records, Computer technology, Government property 
management.

    For the reasons set forth in the preamble, 41 CFR chapters 101 and 
102 are amended as follows:

CHAPTER 101--[AMENDED]

    1. Subchapter B consisting of part 101-11 is added to read as 
follows:

Subchapter B--Management and Use of Information and Records

PART 101-11--FEDERAL RECORDS, INTERAGENCY REPORTS, AND STANDARD AND 
OPTIONAL FORMS

    Authority: 40 U.S.C. 486(c).


Sec. 101-11.0  Cross-reference to the Federal Management Regulation 
(FMR) (41 CFR chapter 102, parts 1 through 220).

    For information on records, interagency reports, and standard and 
optional forms, see FMR parts 102-193, 102-194, and 102-195 (41 CFR 
parts 102-193, 102-194, and 102-195).

CHAPTER 102--[AMENDED]

    2. Parts 102-193, 102-194, and 102-195 are added to subchapter G to 
read as follows:

PART 102-193--CREATION, MAINTENANCE, AND USE OF RECORDS

Sec.
102-193.5  What does this part cover?
102-193.10  What are the goals of the Federal Records Management 
Program?
102-193.15  What are the records management responsibilities of the 
Administrator of General Services (the Administrator), the Archivist 
of the United States (the Archivist), and the heads of Federal 
agencies?
102-193.20  What are the specific agency responsibilities for 
records management?
102-193.25  What type of records management business process 
improvements should my agency strive to achieve?

    Authority: 40 U.S.C. 486(c).


Sec. 102-193.5  What does this part cover?

    This part prescribes policies and procedures related to the General 
Service Administration's (GSA) role to provide guidance on economic and 
effective records management for the creation, maintenance and use of 
Federal agencies' records. The National Archives and Records 
Administration Act of 1984 (the Act) (44 U.S.C. chapter 29) amended the 
records management statutes to divide records management 
responsibilities between GSA and the National Archives and Records 
Administration (NARA). Under the Act, GSA is responsible for economy 
and efficiency in records management and NARA is responsible for 
adequate documentation and records disposition. GSA regulations are 
codified in this part and NARA regulations are codified in 36 CFR 
Chapter XII. The policies and procedures of this part apply to all 
records, regardless of medium (e.g., paper or electronic), unless 
otherwise noted.


Sec. 102-193.10  What are the goals of the Federal Records Management 
Program?

    The statutory goals of the Federal Records Management Program are:
    (a) Accurate and complete documentation of the policies and 
transactions of the Federal Government.
    (b) Control of the quantity and quality of records produced by the 
Federal Government.
    (c) Establishment and maintenance of management controls that 
prevent the creation of unnecessary records and promote effective and 
economical agency operations.
    (d) Simplification of the activities, systems, and processes of 
records creation, maintenance, and use.
    (e) Judicious preservation and disposal of records.
    (f) Direction of continuing attention on records from initial 
creation to final disposition, with particular emphasis on the 
prevention of unnecessary Federal paperwork.


Sec. 102-193.15  What are the records management responsibilities of 
the Administrator of General Services (the Administrator), the 
Archivist of the United States (the Archivist), and the Heads of 
Federal agencies?

    (a) The Administrator of General Services (the Administrator) 
provides guidance and assistance to Federal agencies to ensure 
economical and effective records management. Records management 
policies and guidance established by GSA are contained in this part and 
in parts 102-194 and 102-195 of this chapter, records management 
handbooks, and other publications issued by GSA.
    (b) The Archivist of the United States (the Archivist) provides 
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 36 
CFR Chapter XII and in bulletins and handbooks issued by the National 
Archives and Records Administration (NARA).

[[Page 48359]]

    (c) The Heads of Federal agencies must comply with the policies and 
guidance provided by the Administrator and the Archivist.


Sec. 102-193.20  What are the specific agency responsibilities for 
records management?

    You must follow both GSA regulations in this part and NARA 
regulations in 36 CFR Chapter XII to carry out your records management 
responsibilities. To meet the requirements of this part, you must take 
the following actions to establish and maintain the agency's records 
management program:
    (a) Assign specific responsibility to develop and implement 
agencywide records management programs to an office of the agency and 
to a qualified records manager.
    (b) Follow the guidance contained in GSA handbooks and bulletins 
and comply with NARA regulations in 36 CFR Chapter XII when 
establishing and implementing agency records management programs.
    (c) Issue a directive establishing program objectives, 
responsibilities, authorities, standards, guidelines, and instructions 
for a records management program.
    (d) Apply appropriate records management practices to all records, 
irrespective of the medium (e.g., paper, electronic, or other).
    (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 while ensuring 
compliance with NARA regulations for adequate and proper documentation 
and records disposition in 36 CFR parts 1220 and 1228.
    (2) Does not create forms and reports that collect information 
inefficiently or unnecessarily.
    (3) 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) periodically to determine if 
they can be improved or canceled.
    (4) Maintains records economically and in a way that allows them to 
be retrieved quickly and reliably.
    (5) Keeps mailing and copying costs to a minimum.
    (f) Establish standard stationery formats and styles.
    (g) Establish standards for correspondence to use in official 
agency communications, and necessary copies required, and their 
distribution and purpose.


Sec. 102-193.25  What type of records management business process 
improvements should my agency strive to achieve?

    Your agency should strive to:
    (a) Improve the quality, tone, clarity, and responsiveness of 
correspondence;
    (b) Design forms that are easy to fill-in, read, transmit, process, 
and retrieve, and reduce forms reproduction costs;
    (c) Provide agency managers with the means to convey written 
instructions to users and document agency policies and procedures 
through effective directives management;
    (d) Provide agency personnel with the information needed in the 
right place, at the right time, and in a useful format;
    (e) Eliminate unnecessary reports and design necessary reports for 
ease of use;
    (f) Provide rapid handling and accurate delivery of mail at minimum 
cost; and
    (g) Organize agency files in a logical order so that needed records 
can be found rapidly to conduct agency business, to ensure that records 
are complete, and to facilitate the identification and retention of 
permanent records and the prompt disposal of temporary records. 
Retention and disposal of records is governed by NARA regulations in 36 
CFR Chapter XII.
PART 102-194--STANDARD AND OPTIONAL FORMS MANAGEMENT PROGRAM
Sec.
102-194.5   What is the Standard and Optional Forms Management 
Program?
102-194.10   What is a Standard form?
102-194.15   What is an Optional form?
102-194.20   What is an electronic Standard or Optional form?
102-194.25   What is an automated Standard or Optional format?
102-194.30   What role does my agency play in the Standard and 
Optional Forms Management Program?
102-194.35   Should I create electronic Standard or Optional forms?
102-194.40   For what Standard or Optional forms should an 
electronic version not be made available?
102-194.45   Who should I contact about Standard and Optional forms?

    Authority: 40 U.S.C. 486(c).


Sec. 102-194.5  What is the Standard and Optional Forms Management 
Program?

    The Standard and Optional Forms Management Program is a 
Governmentwide program that promotes economies and efficiencies through 
the development, maintenance and use of common forms. The General 
Services Administration (GSA) provides additional guidance on the 
Standard and Optional Forms Management Program through an external 
handbook called Standard and Optional Forms Procedural Handbook. You 
may obtain a copy of the handbook from:

Standard and Optional Forms Management Office General Services 
Administration (Forms-XR)
1800 F Street, NW.; Room 7126
Washington, DC 20405-0002
(202) 501-0581
http://www.gsa.gov/forms


Sec. 102-194.10  What is a Standard form?

    A Standard form is a fixed or sequential order of data elements, 
prescribed by a Federal agency through regulation, approved by GSA for 
mandatory use, and assigned a Standard form number. This criterion is 
the same whether the form resides on paper or purely electronic.


Sec. 102-194.15  What is an Optional form?

    An Optional form is approved by GSA for nonmandatory Governmentwide 
use and is used by two or more agencies. This criteria is the same 
whether the form resides on paper or purely electronic.


Sec. 102-194.20  What is an electronic Standard or Optional form?

    An electronic Standard or Optional form is an officially prescribed 
set of data residing in an electronic medium that is used to produce a 
mirror-like image or as near to a mirror-like image as the creation 
software will allow of the officially prescribed form.


Sec. 102-194.25  What is an automated Standard or Optional format?

    An automated Standard or Optional format is an electronic version 
of the officially prescribed form containing the same data elements and 
used for the electronic transaction of information in lieu of using a 
Standard or Optional form.


Sec. 102-194.30  What role does my agency play in the Standard and 
Optional Forms Management Program?

    Your agency head or designee's role is to:
    (a) Designate an agency-level Standard and Optional Forms Liaison 
representative and alternate, and notify GSA, in writing, of their 
names, titles, mailing addresses, telephone numbers, fax numbers, and 
e-mail addresses within 30 days of the designation or redesignation.
    (b) Promulgate Governmentwide Standard forms under the agency's 
statutory or regulatory authority in the Federal Register, and issue 
procedures on the mandatory use, revision, or cancellation of these 
forms.
    (c) Ensure that the agency complies with the provisions of the 
Government

[[Page 48360]]

Paperwork Elimination Act (GPEA) (Public Law 105-277, 112 Stat 2681), 
Section 508 of the Rehabilitation Act of 1973 (29 U.S.C. 74d), as 
amended, the Architectural and Transportation Barriers Compliance Board 
(Access Board) Standards (36 CFR part 1194), and OMB implementing 
guidance. In particular, agencies should allow the submission of 
Standard and Optional forms in an electronic/automated version unless 
the form is specifically exempted by Sec. 102-194.40.
    (d) Issue Governmentwide Optional forms when needed by two or more 
agencies and announce the availability, revision, or cancellation of 
these forms. Forms prescribed through a regulation for use by the 
Federal Government must be issued as a Standard form.
    (e) Obtain GSA approval for each new, revised or canceled Standard 
and Optional form, 60 days prior to planned implementation. Certify 
that the forms comply with all applicable laws and regulations. Provide 
an electronic form unless exempted by Sec. 102-194.40. Revised forms 
not approved by GSA will result in cancellation of the form.
    (f) Provide GSA with both an electronic (unless exempted by 
Sec. 102-194.40) and paper version of the official image of the 
Standard or Optional form prior to implementation.
    (g) Obtain the prescribing agency's approval for exceptions to 
Standard and Optional forms, including electronic forms or automated 
formats prior to implementation.
    (h) Review annually agency prescribed Standard and Optional forms, 
including exceptions, for improvement, consolidation, cancellation, or 
possible automation. The review must include approved electronic 
versions of the forms.
    (i) Coordinate all health-care related Standard and Optional forms 
through GSA for the approval of the Interagency Committee on Medical 
Records (ICMR).
    (j) Promote the use of electronic forms within the agency by 
following what the Government Paperwork Elimination Act (GPEA) 
prescribes and all guidance issued by the Office of Management and 
Budget and other responsible agencies. This guidance will promote the 
use of electronic transactions and electronic signatures.
    (k) Notify GSA of the replacement of any Standard or Optional form 
by an automated format or electronic form, and its impact on the need 
to stock the paper form. GSA's approval is not necessary for this 
change, but a one-time notification should be made.
    (l) Follow the specific instructions in the Standard and Optional 
Forms Procedural Handbook.


Sec. 102-194.35  Should I create electronic Standard or Optional forms?

    Yes, you should create electronic Standard or Optional forms, 
especially when forms are used to collect information from the public. 
GSA will not approve a new or revision to a Standard or Optional form 
unless an electronic form is being made available. Only forms covered 
by Sec. 102-194.40 are exempt from this requirement. Furthermore, you 
should to the extent possible, use electronic form products and 
services that are based on open standards. However, the use of 
proprietary products is permitted, provided that the end user is not 
required to purchase a specific product or subscription to use the 
electronic Standard or Optional form.


Sec. 102-194.40  For what Standard or Optional forms should an 
electronic version not be made available?

    All forms should include an electronic version unless it is not 
practicable to do so. Areas where it may not be practicable include 
where the form has construction features for specialized use (e.g., 
labels), to prevent unauthorized use or could otherwise risk a security 
violation, (e.g., classification cover sheets), or require unusual 
production costs (e.g., specialized paper or envelopes). Such forms can 
be made available as an electronic form only if the originating agency 
approves an exception to do so. (See the Standard and Optional Forms 
Procedural Handbook for procedures and a list of these forms).


Sec. 102-194.45  Who should I contact about Standard and Optional 
forms?

    For Standard and Optional forms, you should contact the:

Standard and Optional Forms Management Office General Services 
Administration (Forms-XR)
1800 F Street, NW.; Room 7126
Washington, DC 20405-0002
(202) 501-0581

PART 102-195--INTERAGENCY REPORTS MANAGEMENT PROGRAM

Sec.
102-195.5  What is the Interagency Reports Management Program and 
what is its purpose?
102-195.10  What is an interagency report?
102-195.15  What must an agency do to implement the Interagency 
Reports Management Program?
102-195.20  Are any interagency reports exempt from this program?

    Authority: 40 U.S.C. 486(c).


Sec. 102-195.5  What is the Interagency Reports Management Program and 
what is its purpose?

    The Interagency Reports Management Program managed by GSA ensures 
that interagency reports and recordkeeping requirements are necessary, 
cost-effective, and comply with applicable laws and regulations.


Sec. 102-195.10  What is an interagency report?

    An interagency report is a repetitive reporting requirement imposed 
by an agency on one or more other agencies.


Sec. 102-195.15  What must an agency do to implement the Interagency 
Reports Management Program?

    To implement the Interagency Reports Management Program an agency 
must:
    (a) Annually review all interagency reporting requirements imposed 
on other agencies to assure that they remain necessary.
    (b) Consistent with law and regulation, seek information that other 
agencies have already obtained from the public rather than asking the 
public to provide the information again.
    (c) Every three years beginning November 1, 2001, provide the 
following information to GSA for each interagency report that will 
require the responding agencies as a whole to take more than 100 hours 
complying with it:
    (1) Title.
    (2) Purpose.
    (3) Estimate of the reporting costs for the life of the report or 
for three years, whichever is sooner.
    (4) An estimate of the time you will need to collect this 
information; e.g., six months or six years.
    (5) The name, telephone number, and e-mail address for the point of 
contact for each interagency report.
    (6) Whether the report can be provided electronically, and if not, 
when such submissions will be allowed.
    (d) Provide supporting documentation for cost estimates for review 
by GSA and responding agencies, if requested.
    (e) Notify GSA and responding agencies when an interagency report 
is no longer needed.
    (f) Provide responding agencies an opportunity to comment on any 
new or proposed revision to an interagency reporting requirement.
    (g) Send information asked for in paragraphs (c), (d) and (e) of 
this section, along with any unresolved comments from responding 
agencies concerning an interagency reporting requirement in accordance 
with paragraph (f) of this section to:

General Services Administration
Strategic IT Issues Division (MKB)

[[Page 48361]]

1800 F Street, NW.
Washington, DC 20405


Sec. 102-195.20  Are any interagency reports exempt from this program?

    Yes, the following interagency reports are exempt from the 
Interagency Reports Management Program:
    (a) Legislative branch reports;
    (b) Office of Management and Budget (OMB) and other Executive 
Office of the President reports;
    (c) Judicial branch reports required by court order or decree; and
    (d) Reporting requirements for security of classified information. 
However, interagency reporting requirements for nonsensitive or 
unclassified sensitive information are not exempt, even if the 
information is later given a security classification by the requesting 
agency.

    Dated: September 10, 2001.
Stephen A. Perry,
Administrator of General Services.
[FR Doc. 01-23356 Filed 9-19-01; 8:45 am]
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