records management programs participate in the agency's strategic planning process and in the determination of the agency's information needs and FIP resources requirements;

(g) Ensure that individuals with disabilities can produce information and data, and have access to information and data, comparable to the information and data, and access, respectively, of other individuals;

(h) Ensure that individuals responsible for information management have proven records and information management competencies through a combination of IRM training, work experience, and IRM related certification programs;

(i) Ensure that the agency's records can be accessed quickly and reliably;

(j) Keep the agency's mailing, copying, and filing costs at a minimum, consistent with program requirements;

(k) Control the creation of correspondence to ensure that the agency creates timely, responsive correspondence that is properly coordinated and consistent in tone, style, and presentation;

(1) Control the creation and distribution of agency directives to eliminate duplicative, conflicting, or confusing instructions to agency personnel, and

§201-7.000 Scope of part.

This part prescribes policies and procedures regarding information planning by Federal agencies.

§201-7.001 General.

(a) Information needs are the foundation on which agencies determine their information processing requirements. An agency cannot determine its requirements for FIP resources unless it adequately plans for and understands its information requirements.

(b) The Paperwork Reduction Act (44 U.S.C. Chapter 35) OMB Circular No. A11, and No. A-130, and the Computer Security Act of 1987 (Public Law 100-235, 101 Stat. 1724 (40 U.S.C. 759 note)) require agencies to conduct various information resources management (IRM) planning activities. OMB Circular No. A-130 (appendix IV) states that executive agencies must plan for how they will process and transmit information, how they will use it, what provisions they will make for access to it, whether and how they will disseminate it, how they will store it, and finally, how they will dispose of the information.

(c) The General Services Administration (GSA) and the National Archives and Records Administration (NARA) help agencies with their IRM planning by issuing handbooks and other guidance documents. Comprehensive IRM strategic, program, and information planning services are available, on a cost-reimbursable basis, through GSA's Office of Technical Assistance.

[55 FR 53394, Dec. 28, 1990, as amended at 61 FR 14, Jan. 2, 1996]

$201-7.002 Policies.

Federal agencies shall establish strategic planning processes to

(a) Plan for the creation, collection, processing, transmission, use, storage, dissemination, and disposition of information;

(b) Ensure that program officials and information resources management officials (including records managers) participate in the development and annual revision of a 5-year plan for meeting the agency's information technology needs; and

(c) Ensure that the agency's information needs are documented on a timely basis, for example when conducting a requirements analysis for FIP re

sources.

[55 FR 53394, Dec. 28, 1990, as amended at 61 FR 15, Jan. 2, 1996]

§201-7.003 Procedures.

To determine information requirements and to help determine requirements for FIP resources, agencies shall consider the following factors:

(a) Essential records and information required to support current and future program and mission needs.

(b) Available sources of information. (c) Public access requirements, including Freedom of Information Act requirements (5 U.S.C. 552).

(d) The need to provide information to and obtain information from other agencies.

(e) Information security (40 U.S.C. 759 Note) and Privacy Act requirements (5 U.S.C. 552a).

(f) Requirements to disseminate and store information and to carry out its authorized disposition.

(g) Information format, medium, quantity, integrity, and timeliness requirements.

(h) The integration of electronic records with other agency records. (See FIRMR Bulletin B-1.)

201-9.202-2 Interagency Reports Management Program.

AUTHORITY: 40 U.S.C. 486(c) and 751(f).

SOURCE: 55 FR 53394, Dec. 28, 1990, unless otherwise noted.

§201-9.000 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).

§201-9.001 General.

(a) Chapters 29 and 31 of title 44, 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 FIRMR subchapter B and in FIRMR

bulletins, 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 201-9.1-Agency
Programs

§201-9.100 Scope of subpart.

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

§201-9.101 General.

Section 3102 of title 44 of the U.S.C. requires each Federal agency to establish an active and continuing records management program.

$201-9.102 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.

§201-9.103 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 imple

menting 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 cancelled;

(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 FIRMR Bulletin B-4, 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 (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 201-9.2-GSA
Governmentwide Programs

$201-9.200 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.

[55 FR 53394, Dec. 28, 1990; 56 FR 4948, Feb. 7, 1991]

§201-9.201 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.

§201-9.202-1 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) FIRMR Bulletin B-3 contains 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) Request 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).

[60 FR 55661, Nov. 2, 1995]

(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) FIRMR Bulletin B-2 contains 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 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, Acquisition Reviews Division (KAA), 18th & 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.

[55 FR 53394, Dec. 28, 1990, as amended at 59 FR 61282, Nov. 30, 1994; 60 FR 7715, Feb. 9, 1995]