SUBCHAPTER B-MANAGEMENT AND USE OF 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. At 64 FR 2858, Jan. 19, 1999, effective Dec. 31, 1998, the effective date was further extended to Dec. 31, 1999. At 64 FR 60349, Nov. 5, 1999, the effective date was further extended to Dec. 31, 2000. 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 8101-11.100 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; resentative 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). § 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 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. |