(c) Compliance with the provisions of the Federal Records Act of 1950 and with the regulations issued thereunder. § 101-11.102-3 Creation of records. Adequate records management controls over the creation of agency records shall be instituted to insure that important policies and decisions are adequately recorded; that routine operational paper work is kept to a minimum; and that the accumulation of unnecessary files is prevented. Effective techniques to be applied in this area include the application of systems for the control of correspondence, forms, directives and issuances, and reports; the minimizing of duplicate files; and the disposal without filing of transitory material that has no value for record purposes. § 101-11.102-4 Organization, nance, and use of records. mainte Provision shall be made for the continued analysis and improvement of such matters as mail handling and routing, record classification and indexing systems, the use of filing equipment and supplies, the reproduction and transportation of records, and work production standards relating thereto, to insure that records are maintained economically and efficiently and in such a manner that their maximum usefulness is attained. § 101-11.102-5 Disposition of records. Provision shall be made to insure that records of continuing value are preserved but that records no longer of current use to an agency are promptly disposed of or retired. Effective techniques for accomplishing these ends are the development of records control schedules; the transfer of records to records centers and to the National Archives; the microfilming of appropriate records; and the disposal of valueless records. § 101-11.102-6 Liaison offices. Responsibility for the development of the records management program shall be specifically assigned to an office or offices within each Federal agency. The office to which the major responsibility is assigned shall be reported for liaison purposes to the National Archives and Records Service. Section 505 (c) of the Federal Records Act of 1950 (44 U.S.C. 395 (c)) authorizes the Administrator of General Services to inspect or survey, personally or by deputy, the records of any Federal agency, as well as to make surveys of records management and records disposal practices in such agencies. § 101-11.103-2 Evaluation by National Archives and Records Service. Agency programs for controlling the creation, maintenance, and use of current records; for the selective retention of records of continuing value; and for the disposal of noncurrent records will be inspected periodically by the National Archives and Records Service. The objectives of these inspections are to: (a) Determine agency compliance with the provisions of the Records Disposal Act and the Federal Records Act of 1950. (b) Determine agency observance of the regulations set forth in this Subpart 101.11.1. (c) Evaluate the effectiveness of agency records management programs. § 101-11.103-3 Agency internal evalu ation. Each agency should periodically inspect their records management programs within the agency, with the frequency and depth permitted by the agency's resources. These inspections should have objectives similar to those listed in § 101-11.103-2, and should be designed to complement the inspections performed by the National Archives and Records Service. Criteria for agency self-inspection are available from the National Archives and Records Service. (a) Sections 505 and 506 of the Federal Records Act of 1950 (44 U.S.C. 395, 396) place upon the Administrator of General Services and the heads of Federal agencies responsibility for the development and implementation of standards and programs for the economical and efficient management of Federal rec will operate within the framework of the overall agency plan. (2) Issue a directive(s) establishing program objectives, responsibilities, and authorities. A copy of each directive issued (and subsequent amendments or supplements) should be readily available for inspection by the National Archives and Records Service, GSA. § 101-11.202 Adequate and proper documentation. ties. Statutory responsibili (a) Section 505(a) of the Federal Records Act of 1950 (44 U.S.C. 395(a)) vests in the Administrator of General Services responsibility for developing and issuing standards to improve the management of records. ords. Specifically, the Act requires that § 101-11.202–1 General provisions. (b) Section 506(a) of the Federal Records Act of 1950 (44 U.S.C. 396(a)) requires that the head of each Federal agency "shall cause to be made and preserved records containing adequate and proper documentation of the organization, functions, policies, decisions, procedures, and essential transactions of the agency and designed to furnish the information necessary to protect the legal and financial rights of the Government and of persons directly affected by the agency's activities." § 101-11.202-2 ards. Documentation stand To insure that adequate and proper records are made and preserved in the Federal Government, the following documentation standards will apply in each Federal agency: (a) The record of the transaction of public business by any Federal official or employee is to be complete to the extent required (1) to facilitate informed action by the incumbents and their successors in office; (2) to make possible a proper scrutiny by the Congress, other duly authorized agencies of the Government, and other persons properly and directly concerned, of the manner in which public business has been discharged; and (3) to protect the financial, legal, and other rights of the Government and of persons affected by the Government's actions. (b) With particular regard to the formulation and execution of basic Government policy, Federal officials are respon sible for incorporating in the records of their agencies all essential information on their major actions. Significant decisions and commitments reached orally (person to person, by telephone, or in conference) should be reduced to writing and included in the record. Minutes should be taken at important board, committee, and staff meetings, and these, together with a copy of the agenda and all documents considered at or resulting from such meetings, should be made a part of the record. (c) The programs, policies, and procedures of Federal agencies are to be adequately documented in appropriate directives. A record copy of each such directive (including those superseded) will be maintained as a part of the official files. ence, reports, forms, and directives are General requirements. Positive action is to be taken to prevent the making of unnecessary records. Existing and proposed office procedures are to be subject to continuing examination by agency management with a view to determining their effect on record making. Where justified, such procedures will be revised, consolidated, or eliminated so as to keep record making to a necessary minimum. In addition, the detailed program requirements for correspondence, reports, forms, and directives management set forth in the following sections of this subpart are to be observed. § 101-11.204 [Reserved] § 101-11.205 [Reserved] (d) Papers of a private or nonofficial character which pertain only to an individual's personal affairs that are kept in the office of a Federal official will be clearly designated by him as nonofficial and will at all times be filed separately § 101-11.206-1 Correspondence from the official records of his office. In cases where matters requiring the transaction of official business are received in private personal correspondence, the portion of such correspondence that pertains to official business will be extracted and made a part of the official files (see § 101-11.406-6). § 101-11.203 Creating records tial for current business. § 101-11.203-1 ties. essen Statutory responsibili (a) Section 505(a) of the Federal Records Act of 1950 (44 U.S.C. 395 (a)), vests in the Administrator of General Services responsibility for developing and issuing standards to improve the management of records and for promoting the efficient utilization of space, equipment, and supplies needed for records. (b) Section 506(b) of the Federal Records Act of 1950 (44 U.S.C. 396 (b) requires that the head of each Federal agency "shall establish and maintain an active, continuing program for the economical and efficient management of the records of the agency. Such program shall, among other things, provide for (1) effective controls over the creation *** of records in the conduct of current business Correspond Correspondence—agency program responsibilities. agement function. man The objectives of correspondence management are to limit correspondence to essential requirements, to improve the quality of necessary correspondence, and to provide for its creation in an economical and efficient manner. § 101-11.206–2 fined. Correspondence de Correspondence is a generic term including letters, form letters, telegrams. memorandums, endorsements, summary sheets, postal cards, memo routing slips. and other written communications. $101-11.206-3 Program requirements. (a) Each Federal agency, in providing for effective controls over the creation of records, is expected to establish an appropriate program for the management of agency correspondence (§ 10111.201-1). The program will: (1) Prescribe the types of correspondence to be used in official agency communications. (2) Establish and implement agency standards concerning the number and kind of copies required, their distribution and purpose. (3) Implement the correspondence standards set forth in the U.S. Government Correspondence Manual and in pertinent GSA Records Management Handbooks, with such modifications as may be necessary for specialized agency practices. (4) Implement the Government-wide standards issued by GSA for the procurement and use of letterheads, manifold paper, memorandum forms, and envelopes. (5) Review, on a continuing basis, agency correspondence practices and procedures to find opportunities for improvement and simplification. (b) Standards, guides, and instructions developed for the agency correspondence management program are to be in published form, designed for easy reference and revision. They should be readily available to those who write, review, sign, type, and file correspondence. § 101-11.206-4 Program implementa tion. The following actions are generally basic to a correspondence management program: (a) Prepare only necessary spondence and essential copies. corre (b) Use form letters to the maximum extent possible following the standards, guides, and principles set forth in the GSA Records Management Handbook, Form Letters. (c) Employ guide letters and paragraphs where practical, following the standards, guides, and principles set forth in the GSA Records Management Handbook, Guide Letters. (d) Originate letters that are carefully planned, easily read and understood, and responsive to the needs of the recipient by applying the standards, guides, and principles set forth in the GSA Records Management Handbook, Plain Letters. (e) Prepare correspondence that is consistent in style and format, neat and attractive in appearance, and editorially correct by applying the standards, guides, and principles set forth in the U.S. Government Correspondence Manual. (f) Develop and implement procedures that expedite the clearance and handling of correspondence. (g) Provide for periodic spotchecks of agency correspondence to determine compliance with standards. Reports-agency pro § 101-11.207 § 101-11.207–1 The reports management function. The primary objectives of reports management are to provide agency management officials with needed information at times and places, and in the format most useful to them, and to furnish this information as economically and efficiently as possible. The reports management function is also concerned with the review, approval, and clearance with the Bureau of the Budget of reporting plans and forms, as required by the Federal Reports Act (Bureau of the Budget Circular No. A-40, Revised, May 25, 1962). § 101-11.207-2 Reports defined. (a) A report is data or information, generally summarized, transmitted for use in determining policy; planning, controlling, and evaluating operations and performance; and preparing other reports. The data or information may be in narrative, statistical, graphic, or other form. (b) Most reports of an agency can be classified as belonging to one of several well defined families or groups of reports. Each group of related reports is generally the product of an information system serving a specific administrative or operational area, such as personnel, budget, or procurement. Consequently, the analysis of reports on a systems basis provides the best means of establishing reports relationships and evaluating information need and adequacy. (c) Certain categories of reports normally are exempted from review and clearance in an agency reports management program. These usually include: inspection and audit reports; security classified documents; copies of operating documents such as individual supply and procurement transactions; and information presentations such as research findings, technical summaries, special studies, and surveys. Reports to be exempted should be determined by an analysis of agency information requirements. (d) Reports to and from other agencies, as well as those for internal management, are included in agency review and clearance procedures. § 101-11.207-3 Program requirements. (a) Each Federal agency, in providing for effective controls over the creation of records, is expected to establish an appropriate program for the management of agency reports (§ 101-11.201-1). The program will: (1) Establish and implement standards and procedures for the identification of management information needed for planning and control. (2) Establish and implement standards and procedures for the design of management information systems. (3) Establish and implement standards and procedures for the initiation, identification, review, approval, preparation, and distribution of agency reports. (4) Provide essential management information concerning the number and types of reports in use and, for reports which require a significant amount of manpower, the estimated cost of obtaining, using, and maintaining them. (5) Provide for the periodic review of approved reports for need, adequacy, design, and economy of preparation and use. (b) Standards, guides, and instructions developed for the reports management program are to be published, designed for easy reference and revision. They should be readily available to reports originators and users. § 101-11.207-4 Program implementa tion. The following actions are generally basic to a reports management program: (a) Establish and maintain an inventory of reports for each agency management information system. (b) Determine, from the inventory of agency reports, whether information available is adequate for management purposes. (c) Determine the kinds of management information systems that best serve management. (d) Analyze all reports inventoried and all reports submitted for approval in the future to determine that: (1) The information is adequate, necessary, meaningful, and useful. (2) The information is obtained from the best available source and in the simplest manner. (3) The estimated cost of gathering the information does not exceed its management value. (e) Require that each request for a new or revised report explain how the report will be used. (f) Require that each report be supported by a directive setting forth instructions for preparation and submission. § 101-11.208 Forms-agency program responsibilities. § 101-11.208-1 The forms management function. The objectives of forms management are to increase the usefulness of forms through proper design and accurate using procedures; to reduce costs incident to filling in, using, and filing forms; and to achieve savings in designing, printing. storing, and distributing forms. § 101-11.208-2 Forms defined. A form is any document, including letters, post cards, and memorandums, printed or otherwise reproduced with space for filling in information, descriptive material, or addresses. Certain printed items without fill-in space, such as contract provisions, instruction sheets. notices, tags, labels, and posters, may be considered as forms when it is advantageous to identify and control them as forms for purposes of reference, printing. stocking, distribution, and use with other forms. § 101-11.208-3 Program requirements. (a) Each Federal agency, in providing for effective controls over the creation of records, is expected to establish an appropriate program for the management of agency forms (§ 101–11.201−1). The program will: (1) Establish and implement standards and procedures for the submission. review, approval, and identification of agency forms. (2) Implement the forms analysis and design standards set forth in pertinent GSA Records Management Handbooks. (3) Establish and implement standards for the reproduction, stocking, and distribution of approved blank forms. (4) Provide essential management information concerning the number, types. and the reproduction and stocking costs of forms in use. |