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possible cost. Mail managers will coordinate with agency printing specialists about the mailing portion of contracted printing jobs prior to entering into a printing agreement.

(n) Establishing and publishing the facility's mail delivery and pickup times, based on need for service, established through the study of mail volumes and service requirements. The facility mail manager's goal is to provide service to the facility at the lowest possible cost. Consistency in mail pickup and delivery can help achieve the goal.

(0) Maintaining close liaison with agency correspondence managers and providing guidance on correspondence management decisions such as the development and design of mailing materials including: Business Reply Mail, letterhead, mailing labels, and envelope design.

(p) Notifying facility personnel that personal incoming, internal, and outgoing mail may not be processed in agency facilities. An exception may be granted at a facility for personnel living on the facility, personnel stationed outside the United States, or other situations where agency/facility personnel would otherwise suffer hardship.

Subpart 101-9.3-Reporting

§ 101-9.301 Agency mail manager information.

Agencies will provide GSA with the name, title, mailing address, voice and fax telephone number (if applicable) of the designated agency mail manager (see §101-9.201), and must update the information as necessary. This information will be submitted to GSA as follows: General Services Administration, Attn: Mail Management Branch (FBXM), Room 815, Washington, DC 20406-0001.

§ 101-9.302 Agency mail program data.

(a) Agencies will maintain data, on mail volumes and postage expenditures. This data will conform with the requirements of §101-9.201(c)(4) of this part. Maintaining this information is critical for agencies to accurately manage their mail programs and to

gauge the impacts of rates and classification changes.

(b) Agencies are encouraged to submit narratives, at the end of each fiscal year, on cost savings achieved through more efficient mail management, especially worksharing efforts. The narratives should highlight specific cost savings achieved as a result of mail consolidation, presorting, barcoding, use of a more cost-effective class of mail, etc. In addition, the narrative should specify whether discounts in mail presorting and barcoding are gained through contracts with vendors or through in-house worksharing efforts. Submit narratives to the GSA address in § 101-9.301.

Subpart 101-9.4-GSA Responsibilities and Services

GSA provides agency support in the following areas: arranging for extensions of service from the U.S. Postal Service (i.e., enhancements of services based on specialized requirements as defined by the Domestic Mail Manual); establishing liaisons with U.S. Postal Service at the national level; providing support in developing procedures with mail delivery vendors; providing assistance in developing and implementing worksharing programs; providing assistance in developing policy and guidance in mail management and mail operations; providing onsite assistance visits; assisting with mail center layout and design specifications; and providing training in mail program management and effective mail operations.

Subpart 101-9.5-U.S. Postal Service Assistance

The U.S. Postal Service provides agency support in the following areas: supplies required for mail processing such as bags, tags, trays, hampers, priority envelopes, etc.; guidance on mail processing through national account representatives and other U.S. Postal Service personnel assigned to assist customers; training such as Postal Customer Councils and U.S. Postal Forums; and brochures, booklets, pamphlets, video tapes, posters, and other

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EFFECTIVE DATE NOTE: At 61 FR 41001, Aug. 7, 1996, subchapter B, consisting of part 10111, was added, effective Aug. 8, 1996 through Dec. 31, 1997. At 62 FR 58922, Oct. 31, 1997, the effective date was extended to Dec. 31, 1998.


Subpart 101-11.0-General Provisions


101-11.0 Scope of part.



Subpart 101-11.1-Agency Programs


Scope of subpart.



101-11.102 Policy.

101-11.103 Procedures.

Subpart 101-11.2-GSA Governmentwide Programs

101-11.200 Scope of subpart



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).

SOURCE: 61 FR 41001, Aug. 7, 1996, unless otherwise noted.

Subpart 101-11.0 General Provisions

§ 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).

§ 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

§ 101-11.100 Scope of subpart.

This subpart prescribes policies and procedures for establishing and maintaining an agency records management program.

§ 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.

§ 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.

§ 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 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 fillin, 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:

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(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).

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