PROJECT FOR IMPROVING FEDERAL REPORTING AND REDUCING RELATED PAPERWORK

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP74-00390R000300140009-1
• Release Decision: RIPPUB
• Original Classification: K
• Document Page Count: 127
• Document Creation Date: December 12, 2016
• Document Release Date: September 25, 2001
• Sequence Number: 9
• Publication Date: September 9, 1970
• Content Type: REPORT

STATINTL
Approved For Release 201~1p/rld90ST~Qt~4,sRI~P_@@ii@QR000
5 SAP 1970 GENERAL SERVICES ADMINISTRATI
DATEr September 9, 1970
REPLY TO
.ATTN OF.
National Archives and Records Service
Washington, D.C. 20408
Project for Improving Federal Reporting and
Reducing Related Paperwork
Department and Agency Project Directors
This draft of a "Reports Management" handbook is being sent you well
in advance of its formal publication because so many of you indicated
you could use it now as you plan your own project to improve reporting
and reduce related paperwork.
Based on departmental and agency progress statements, it has become
apparent that your projects are collectively forcing a comprehensive
review of reports extending into all areas of the Executive Branch.
Moreover, the projects are expected to trigger the establishment of
continuing reports management programs at departments and agencies
previously lacking in this area of management.
The introduction of the Federal Assistance Review (FAR) Program, which
is concerned with simplifying Federal grant-in-aid programs, was one
of the occasions during which the President declared his concern with
needless paperwork. He said "cut out every step possible, and where
a step cannot be eliminated, then streamline it." The accomplishments
to-date under the FAR effort are considered indicative of the potential
for simplification and streamlining that may be achieved in the reporting
and related paperwork area.
We would like to go to press with the "Reports Management" handbook as
soon as we can. Therefore, any changes which you believe would improve
the book should reach me by October 23, using the National Archives and
Records Service address above.
Study Project Director
HERBERT E. ANGEL
Enclosure
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 Approved For Release 2001/11/01 : CIA-RDP74-00390R00P M1kOWitY EDITION
RECORDS MANAGEMENT HANDBOOK
REPORTS
MANAGEMENT
1970
GENERAL SERVICES ADMINISTRATION
NATIONAL ARCHIVES AND RECORDS SERVICE
OFFICE OF RECORDS MANAGEMENT
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This is a temporary draft with limited distribu-
tion. Your comments and suggestions are invited.
Please send them to:
National Archives and Records Service, GSA
Office of Records Management
Paperwork Standards and Automation
Division, NRP
Washington, DC 20408
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TABLE OF CONTENTS
FOREWORD
CHAPTER 1 The Role of Reports in Management 1
Importance of Reports to Managers--------------- 1
The Reports Problem----------------------------- 2
Reports Management as an Answer----------------- 5
Benefits---------------------------------------- 7
CHAPTER 2 Establishing a Reports Management Program 9
Functions andProcesses 10
Organizational Considerations------------------- 12
Implementing Directive-------------------------- 13
Reports Inventory------------------------------- 13
Reports Control Symbols------------------------- 18
CHAPTER 3 Continuing Reports Program Operations 23
Basis for Review-------------------------------- 23
Reports Clearance------------------------------- 24
Continuous Evaluation--------------------------- 26
Periodic Reviews-------------------------------- 27
Reports Management Records---------------------- 32
Documentation of Accomplishments---------------- 34
(CHAPTER 4 Reports Analysis 39
Determining Need-------------------------------- 39
Detailed Analysis------------------------------- 40
Writing Directives------------------------------ 55
Designing the Form------------------------------ 58
ADP versus Manual Reporting--------------------- 59
CHAPTER 5 Costing Reports 61
Explanation of "Individual" Report-------------- 61
Obtaining Cost Information---------------------- 62
Costing Techniques------------------------------ 63
Expressing the Cost----------------------------- 65
Cost of Initiating a Report--------------------- 66
Cost of Maintaining a Report-------------------- 66
Cost of Using a Report-------------------------- 67
Cost of Providing Specialized Assistance-------- 68
Costs Included in an Agency Reporting System---- 69
Study Options----------------------------------- 69
Reading Cost------------------------------------ 70
"Broad-Brush" Estimates------------------------- 70
Obtaining the Most Accurate Estimate------------ 72
CHAPTER 6 External Reporting 77
Public eporting-------------------------------- 78
Intergovernmental Reporting--------------------- 81
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TABLE OF CONTENTS (CONT'D)
APPENDICES
APPENDIX A
APPENDIX B
APPENDIX C
APPENDIX D
APPENDIX E
FPM Regulation 101-11.207
"Reports -- Agency Program Responsibilities"
Model Reports Management Directive 89
"Reports Management Program"
Circular No. A-40 (OMB), May 25, 1962 97
"Clearance of plans and report forms under the
Federal Reports Act"
Circular No. A-40 (OMB), Transmittal Memorandum 107
No. 1, February 12, 1968
"Clearance of plans and report forms under the
Federal Reports Act"
Circular No. A-39 (0MB), April 24, 1967 L09
"Providing of statistical information to
intergovernmental organizations"
APPENDIX F Circular No. A-44 (OMB), Transmittal Memorandum 114
No. 1, June 17, 1970
"Government-wide study to improve Federal
reporting and reduce related paperwork"
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FO1 ?LORD
Managers of Government operations rely heavily upon the information
reported by their organizations. These facts are used at all levels
for the purpose of measuring performance, planning programs, and
making sound decisions. The more reliable and better organized the
reporting system delivering the facts, the more timely, useful,
and accurate is the information conveyed.
Cost studies made in many Government organizations have revealed
how marginal is the value of many reports, therefore, the need for
more effective management of reporting. This reports management
handbook has been prepared to meet that need. It is a compila-
tion of the best features of reports management systems of many
Federal organizations. Special credit is given to the Department
of Agriculture since its "Reports Management Handbook" was used
extensively in preparing this publication. Many other Federal
agency manuals have contributed choice portions as well.
The handbook has been designed to provide guidance to departments
and agencies in improving the management of reports. Its aim is
the development, installation, and operation of a system to
challenge the gathering of low value information and to make all
reports surviving the challenge more responsive to the manager's
needs. The suggestions, methods, and techniques outlined in this
handbook can be applied in varying degrees at all organizational
levels. However, they will surely need modification to meet policy,
organizational and procedural requirements of the organization to
which applied. i
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Chapter 1
THE ROLE OF REPORTS IN MANAGEMENT
Fundamentally, the Government manager is concerned with the
accomplishment of the organizational mission, and the
accomplishment of that mission in the most effective and
efficient manner. Management translates these concerns into
decisions on such matters as service to the public, internal
administration, and public relations.
IMPOQIMCE OF REPQSU IQ MMA(LR5
Decision-making needs inevitably lead managers to require
information from whomever can and will supply it. In this
context information is as much an asset to them as manpower,
funds, facilities, or systems.
One of the most common forms of information gathering is
reports. Through reports, management seeks information
which will enable it to:
. evaluate and improve performance by measurement of
results in terms of quantity, quality, speed, or cost;
. follow the progress of decentralized operations;
. provide factual measurement of conditions rather than
relying on opinions, guesses and fragmentary verification;
. indicate deficiencies and need for corrective action;
measure program progress with respect to objectives;
determine program values as they relate to mission;
1
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. recognize trends, problems, and other factors which
affect program direction and execution.
The flow of needed information upward is important in the job
of every employee because of the way they are cued in to
program and activity managers. No matter how far down on the
organizational ladder a manager's interests and responsibilities
may be, his informational needs usually are quite urgent and
critical.
THE REPORTS PR_ J,EM
Managers complain that they spend a considerable part of each
work day reading reports. Recognizing that a manager's time
is valuable, it is essential that the information reported to
him be of such a nature that he can quickly grasp its implica-
tions, and promptly act on its worth. It is well known that
the decisions the manager makes and the actions he takes are
directly related to the quality and completeness of the in-
formation provided. Poor quality and incomplete reports
create waste and inefficiency. Obsolete reports are useless.
Late reports can delay corrective measures.
Collecting too much information -- just because it is avail-
able -- is as bad as not collecting enough. Besides creating
uncertainty as to what actually is needed, this practice:
. makes all information appear equally important;
gives the impression of over control;
. tends to push decision-making to higher levels;
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. limits managerial freedom at'lower levels;
. creates unnecessary workloads at all levels;
. increases program costs.
a. Cost of Reporting
Reports cost money. Reporting systems cost money. Analysis
of the cost in reporting agencies, where cost figures are
available, indicate that at least three hundred to five
hundred dollars per year is being spent per employee on
management reporting.
b. Need for Guidance
Most managers are too busy to give thorough analysis to
their information needs. They operate from what they
already know, what information normally comes across their
desks, or what they learn through discussion. They may
not know precisely what information would do them most
good, what they might be able to get, or where to go for
the information needed.
c. Need for Special Attention
Essentially all significant areas of information other
than management reporting are being managed. For example,
work processing has its managers in those offices
responsible for getting work done. The work itself may
almost automatically govern the information requirements
of the operation. Something quite similar might be said
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for the area of public service, scientific, and technical
But who is "minding the store" for management reporting?
It is easy to impose information requirements on others
without considering the cost. Sometimes the requirements
are imposed without awareness of existing sources, or
without obtaining the information actually needed. It is
also easy to forget to put a stop to the reporting
requirement long after it has served its original purpose.
Management reporting systems usually involve a network of
information flow. That network usually flows upward
through several echelons of the organization ladder but
with subsystems reaching out laterally at every level.
Hence, responsibility for such systems and their updating
can easily become foggy or get lost.
d. Need for Cost-Effectiveness Appraisals
In most agencies, few reports have their price tag attached.
They should. Doubtless many reporting systems would be
discontinued or drastically overhauled if their true
costs were appreciated.
Yet, the answer does not rest in the dictum that "the cost
of reporting must be reduced." This means little, or may
even be harmful, unless each report is compared with its
benefits by some reasonable and objective means. Still,
the costing problem is not a simple one by any means.
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Costs are often difficult to determine. In any event,
Appraisal remains a subjective judgment.
REPORTS MANAGEMENT AS AN ANSWER
A score or more Federal agencies have found the best solution
to their reports problem to be management over the initiation
of reports so as to determine costs, benefits and use. This
calls for an evaluation process aimed at keeping reports to
a minimum of essentials, yet assuring adequate and meaningful
coverage of all measurable activities. The basic objectives
of a reports management program are shown in figure 1.
FPM Regulation 101-11.207 sets forth agency requirements
for establishing "an appropriate program for the management
of agency reports." (See Appendix A.) Some people think
that procedures cited in this regulation intrude upon the
authority or responsibility of management, that they permit
outsiders to decide whether or not they need the information
they seek. This is not so. Approval of reports remains a
management decision. Reports management is intended to help,
rather than to hamper or control the flow of information.
Reports management procedures assure management that all
those involved in developing a report have fully analyzed
and documented their views, and that the report represents
their best thinking. Management can then decide whether an
actual need for the information exists.
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Basic Objectives of Program
1. Provide management officials with the information
needed for informed managerial decision-making.
2. Furnish needed information at times and places, and
in the format most useful to managers.
3. Gather this information as economically and
efficiently as possible.
4. Prevent the collection of marginal value information
or information that does not measure up on the cost-
effectiveness scale.
Figure 1
An effective reports management program also can make several
positive contributions toward improving an organization's
information flow:
First, it makes management aware of the many problems
created by inadequate information reporting systems and
poor reports design.
second, it provides a means for regulating information
that is directed to management's attention by identifying
the real informational needs of management.
Third, it helps reduce costly data accumulations.
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Fourth, it helps staffs gather meaningful and currently
needed information through improved reporting techniques.
Fifth, it provides the machinery for improving needed
reports and eliminating unessential ones.
BENEFITS
It takes time and effort to manage information. But it is
worth it. Information is so essential in all managerial
actions that if the information or the system that provides
it is weak, or if it lacks the positive direction that is
accorded other management responsibilities, total programs
may suffer.
Better informed management means better administration over
financial and other resources. Better and more timely informa-
tion means better services and operations.
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Chapter 2
ESTABLISHING A REPORTS MANAGE ENT PROGRAM
The need for managing reports, and the objectives of such a
program, were reviewed in Chapter 1 and summarized in figure
1. These objectives give first attention to seeing that
management gets the information needed at the lowest cost.
This is quite different from the traditional reports control
program of the 1.950's which sometimes seemed primarily
intent on reducing the number of reports. A good reporting
program will likely result in a reduction. in reporting but
much more significant benefits may be expected from better
information for managerial decision making.
The objectives also imply that heavy emphasis should he given
to the design of procedures and systems for collecting the in-
formation. To be meaningful, this cannot be performed routinely
as a part of the reports clearance process. It requires
constant attention and revision as new reporting systems corm
into being, as changes take place in work processing procedures,
or as new automation techniques and equipment are developed.
Almost any significant changes affecting the organization,
functions, or procedures of an agency should result in changes
to some reporting systems.
Reduction in reporting would not he the primary objective of a
reports management program. However, special attention would be
given to determining the cost-effectiveness of management reports.
9
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FUNCTIONS AND PROCESSES f
Six primary functions involved in reports management have been
identified in successful Federal Programs. It is important
to recognize that not all of these functions are necessarily
carried out by every reports management office. However,
each function should be performed somewhere within the organi-
zation. Under each of these functions listed below are some
of the most significant processes or means of carrying out the
function.
1. Program Promotion and Development
a. Develop and issue regulations, standards, and guides.
b. Further the use of standards and guides through
workshops, symposiums, circulars and other media.
c. Encourage and assist in the establishment of an
effective management reporting program at all levels.
2. Information Requirements
a. Assist managers in determining their management
reporting needs.
b. Relate information needs to sources and systems.
3. System Design
a. Design new or improved manual reporting systems.
b. Design new or improved data-processing systems.
c. Prepare specifications for data-processing reporting
systems necessary for instructing the programming staff.
d. Review proposed systems for collecting management
reporting data.
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e. Develop a master, long-range plan for the inte-
gration of management reporting systems.
4. Processing
a. Compile reports using automated data processing.
b. Compile reports using manual processing methods.
c. Maintain an automated data bank.
d. Distribute completed reports to users.
5. Interpretation and. Presentation
a. Provide management with key information extracted
from reports, including off-target or unusual
developments.
b. Present information summaries, interpretative analysis
of reported data, graphics, or other means that will
help management comprehension.
6. Review and Monitor Reports
a. Review proposed reports for effectiveness, identi-
fication, cost, adequacy of instructions and directives.
b. Review all existing reports in an organizational com-
ponent for cost-effectiveness, adequacy, design, and
economy of preparation and use.
c. Maintain an inventory of reports, with supporting
historical files.
d. Maintain control registers and prepare reports catalogs.
e. Review the justification of proposed reports required of
the public and provide liaison with the Office of
Management and Budget.
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These six functions and their related processes should be
considered in assigning responsibilities for the reports manage-
ment program. The actual assignments will vary with agency
missions, location within the hierarchical structure, decentra-
lization, agency traditions, and other management considerations.
ORGANIZATIONAL CONSI1ERATIOPTS
A number of other assumptions and management principles have a
bearing on where the functions should be placed. These are:
1. Most large scale management reporting systems today are
of such complexity that they need to be designed by
teams composed of individuals with skills that comple-
ment each other.
2. The design of any management reporting system should
take into account the automation potential.
3. The direction today is toward greater integration of
management reporting systems. This trend is enhanced
by automation. It is also becoming increasingly dif-
ficult to separate management reporting from other infor-
mation systems as the systems become more sophisticated.
4. Management reporting should be dynamic and not static.
It is important that such systems are not "locked in"
by machine restraints. The everchanging needs of users
must control the system; the machines or systems must
not be permitted to determine what will be offered the
users.
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5. The reports management program should not detract
from the responsibility and authority of a manager
at any level.
The functions should be placed where they will result in a
minimum overlap and duplication while achieving a maximum in
manpower utilization, coordination, and effectiveness.
IMPLEMENTING DIRECTIVE
After determining the functions and processes to be assigned to
a reports management office, it is important to issue an appro-
priate directive setting forth the purpose of the program,
governing policies, objectives, definitions of terms, and
responsibilities. Appendix B contains a "model" reports manage-
ment directive.
REPOTS INVENTORY
Usually the first task undertaken by a newly established reports
management office is the development of a reports inventory. The
inventory will identify reports and provide basic records on
which to build an effective program.
It is suggested that each major office issue a reports inventory
call and announce a briefing meeting of those who will take part.
Those who attend the meetings should be furnished inventory forms
(see figure 2), catalog forms (see figure 3), and any other
items needed for the inventory.
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INSTRUCTIONS: Complete for each report required Attach:
and for each report issued or published by your office. (1) Sample report,
Don't include those required by higher levels. (2) Blank forms used, if any,
Send original and copy to your reports management officer. (3) Copy of dlrectiva at instructions, and,
(4) Any additional descriptive material.
1. REQUIRING OFFICE (Division, (kaneh, e1c.) I 2. REQUIRING OFFICE PERSON TO CONTACT (Name, location, phone,
etc.)
Sb. SOURCES USED DY PREPARING OFFICES (Farms
recants, oft.)
9.
wilt IM.
USE THIS
SPACE IF
REPORT IS
ONE YOU
REQUIRE
FROM
OTHERS
- OR
10.
ISSUED
USE. THIS
SPACE IF
REPORT IS
ISSUED OR
PUBLISHED
BY YOUR
OFFICE
MAN HOURS
TO
PREPARE
AND USE
Sta. ONE-TIME PREPARATION HOURS ttb. ANNUAL PREPARATION HRS. Ile. NNUAL MRS.
ONE OFFICE NO. OFFICES TOTAL HOURS TIMES PER YEAR TOTAL AND ANALYZE
-- ----------
:.
YES
NO
i"
YES
NO
YES
NO
e. IS THIS REPORT
h.IS DATA REST VON
0. COMBINING WITH
STILL NEEDED?
D
THE PURPOSE?
M
P
OTHERS?
A
b. IS EVERY ITEM
T
1. IS COMPARATIVE
R
p. MAKING EASIER TO
N
STILL NEEDED?
A
DATA NEEDED?
0
COMPLETE?
E
c. 19 THE REPORT
f. IS REPORT CLEAR AND
E
q. USING A FORM IF NOT
E
NEEDED AS OFTEN?
EASY TO USE?
USED?
D
R
d. IS EVERY COPY
I
It. ARE INSTRUCTIONS
E
r. STOPPING NEGATIVE
STILL NEEDED?
N
OBSOLETE?
P
REPORTS?
S
0
_E_
e. IS THER ANOTHER
T
1. ARE THEY CLEARCON
R
s. USING SUMMARY?
SOURCE?
R
CITE, COMPLETE?
T
U
USING SAMPLING?
f. IS IT WORTH ITS
C
M. ARE ILLUSTRATIONS
B
Y. REPORTING BY
VAL.
PROBABLE COST?
T
NEEDED?
Y
EXCEPTION?
UE
I
q. DOES THE DUE DATE
0
n. DO THEY GIVE
V. CHANGING SOURCE?
DATE
GIVE ENOUGH TIME?
H
ENOUGH "HON"?
W. CHANGING SEQUENCE?
NUAL HRS. TO
PREPARE & USE
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A separate inventory form is prepared for each report required
and for each report issued or published by the office. For a
required report, item 10 on the form is omitted. For an issued
report, item 9 is omitted. The man-hour figures for item 11
should be estimated and arrived at solely from information
immediately available to the requiring office. Descriptive
materials (forms, directives, etc.) are to be attached.
If there is no symbol for the report being inventoried, one
will be assigned by the reports management office.
Requiring officials and reports management offices, as appro-
priate, appraise each report inventoried by applying the check-
list in the lower section of the inventory form. These initial
appraisals offer real opportunities to improve reports at the
outset of the program, and to identify those areas where future
studies should be undertaken. From their own experience and
familiarity with reports, requiring offices should quickly
recognize problems and opportunities as the checklist is applied.
This is the type of review expected, not a comprehensive in depth
study. Future in depth studies should be made on the basis of
information gained from the inventory of the total reporting.
Upon completion of the appraisal phase of the inventory by the
requiring office the inventory package is forwarded to the activity's
reports management office. This package should consist of the
reports inventory form, in duplicate, for each report inventoried,
with a copy of each supporting attachment and two copies of the
reports catalog form reflecting the complete listing of all
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When inventory packages from requiring offices are received
by the reports management office it:
a. Reviews the material for completeness and to spot
opportunities for additional reporting improvements,
b. Assigns reports symbols or reviews for their proper
assignment,
c. Acknowledges receipt of the material by returning to
the requiring office one copy of each inventory and
catalog form, and
d. Establishes case files for each report.
Each reports management office should publish a reports
catalog after completing the inventory. Reports should be
listed in groups by function or organization.
All reports inventoried at the requiring level should be re-
viewed in sufficient detail to explore every possibility for
improvement. The review is best conducted jointly by the
requiring office and the reports management office.
A systematic and thorough review of reports, one functional
activity at a time, is advocated. Chapter 3 provides guidance
for this review, which for each report should include:
. The views of the preparing and using offices on the
value and use of each report. Also an estimate of the
annual man-hours and significant material costs expended
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 Approved For Release 2001/11/01 : CIA-RDP74-00390R000300140009-1
on the report. These data should he obtained on a
sampling basis.
Projections of man-hour figures and material costs
into annual report cost estimates.
Applying to each report the Evaluation Checklist and
G uide. (Figure 4.)
Organization-wide assistance is necessary to identify the most
beneficial areas of reports improvement. All personnel should
be apprised of the review and the opportunity it presents for
improving and reducing reports with which these personnel
are involved. Publicity programs should urge employees and
officials to submit (see Chapter 3), information concerning
problems and any ideas for improvement.
Flyers, bulletin boards, activity newspapers, newsletters,
and other appropriate media can be used to publicize the
review, giving recognition to offices taking effective
action, emphasize final results, and to emphasize phases of
particular concern to the organization.
REPORTS CONTROL SYMOLS
Each report in the inventory should be given a reports symbol.
Such symbols quickly identify approved reports; they provide
a means for tying directives, records, and files to the report
they are associated with; and they furnish an easy way to
refer to a report in conversation or written communication.
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 TD-97-
(7-63)
ApproMgWAY 'IMA ~ &-RDP74-00390
INSTRUCTIONS: Check either column (b) or (c).
QUESTION-
SATISFAC-
PROPOSED CHANGES
If questionable, show changes in column (d)
ABLE
TORY
(Attach Additional Sheets, if Needed)
(a)
(b)
(c)
(d)
I. THE REPORT AS A WHdLE
Who uses it? How?
What is its purpose?
Should it be continued?
2. USE OF EACH ITEM.
Is every item used?
Any missing items to be added?
3. USE OF EACH COPY.
Are all copies used to good, advantage?
4. FUNCTIONAL RELATIONSHIP.
Is the information within the scope of the office functions?
5. MISAPPLICATION.
Does the report try to solve a problem which should be
solved by other means?
6. STAND-BY DATA.
Is the data obtained for "just-in-case" use?
7. ANOTHER AVAILABLE SOURCE.
Is the data available in another report or office?
6. BY PRODUCT.
Is it possible to get the data by some other process?
9. DIRECT USE OF RECORDS.
Could actual records or "fast copy" of record be used
instead of a report?
10. SAMPLING.
Would a sampling of a few offices give
reliable data?
11. EXCEPTION REPORTING.
Would it be appropriate to report conditions only when
other than normal?
12. COMBINATION.
Could this report be combined with another report?
13. NON-RELATED MATERI AL.
Are non-related subjects included in the same report?
14. ADEQUACY AND SUITABILITY.
Is scope or content tailored to meet needs?
15. VALUE VS. COST.
Is the report worth its cost?
16. REPORTING PERIODS.
Are reporting periods properly stated?
17. FREQUENCY.
Is the present frequency suitable, excessive, or
inadequate?
18. DUE DATE.
Is the due date specifically stated?
19. PREPARING OFFICE WORKLOAD.
Has this been considered?
Can due dates be changed to avoid peak workloads?
Fig19e 4 AD-367
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 AD-367 REVIEW DATE
(7.63) REPOK ( 1#a KMbT1 2) CIA-RDP74 00390R000300140009-1
REPORT TITLE
INSTRUCTIONS: Check either column (b) or (c).
If questionable, show changes in column W.
(a)
QUESTION-
ABLE
(b)
SATISFAC- PROPOSED CHANGES
TORY (Attach Additional Sheets, if Needed)
(c) (d)
20. REPORT TITLE.
Is it the same as, or listed in the directive?
21. PURPOSE OF REPORT.
Is it clearly stated?
22. REPORTING INSTRUCTIONS.
Are reporting instructions clear and adequate?
23. INTEGRATED REPORTING.
Are data needs of other levels tied in?
24. FEEDER REPORTS.
Are procedures for feeder reports provided to assure
uniformity and simplicity?
25, REPORTING UNITS.
Are reporting units shown?
Are there too many, too -few?
26. NEGATIVE REPORTS.
Are negative reports required? What use is made of them?
27. NUMBER OF COPIES.
Are number of copies specified?
28. ROUTING.
Are correct mailing addresses given?
29. NARRATIVE OR FORM
Is the best format for this report used?
30. ARRANGEMENT AND SIZE.
Are items sequenced to source? Is spacing adequate?
Are item captions clear? Is size adequate & practical?
31. STANDARDIZATION.
Do all offices use the same form or format?
32. SUMMARY INFORMATION.
Would a summary of information rather than statistics or
a narrative be better?
33. CUMULATIVE DATA.
Can data be maintained on a cumulative basis to eliminate
last-minute workloads?
34. COMPARISONS.
Are comparisons made against goals, past performance,
or current performance of others?
35. GRAPHICS
Are graphics used to good advantage?
36. AUTHENTICATION.
Are verifying or approving officials' signatures used only
when necessary?
37. DATA SOURCES.
Are records from which reports are to be prepared
identified?
38. ARRANGEMENT OF RECORDS.
Should records be rearranged to simplify reporting?
39. REPORT SYMBOL.
Is it shown after title of report?
40. STYLE OF PRESENTATION
Does the overall report provide clarity and simplicity?
20
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 Approved For Release 2001/11/01 : CIA-RDP74-00390R000300140009-1
They also help identify the office that requires the informa-
tion and aid in its distribution.
A good method of composing the reports control symbol is to
indicate first the code of the report initiating office.
Second would be the functional classification; and third
would be the reports sequence number. For example.
Reports Initiated by: Reports Symbols
Administrative Office AO - A - 001 (A for administration)
Secretary's Office SE - E - 001 (E for managing executive)
Symbols derived in this manner will permit assignment in
different offices without duplication and without loss of
control.
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 Approved For Release 2001/11/01 : CIA-RDP74-0039OR000300140009-1
Chapter 3
CONTINUING REPORTS PROGRAM OPERATIONS
The reports management program provides for reviews of reports
at all levels. These reviews, which are meant to constitute
a challenge, are essential for an effective program. An
important part of this program is one of continuous self-
evaluation. Managers and operating officials at all levels
should challenge the need for individual reports received
in their offices.
BASIS FOR REVIEW
Each proposal to establish a new reporting requirement, or
revise an existing one, should be jointly reviewed by the
originator and someone well up in the program hierarchy.
Consideration might well be given to pretesting the require-
ment when warranted. It is also well to reevaluate new and
revised reporting requirements within a reasonable time after
the submission of the first report.
Particular emphasis should be on the value received in
relation to the cost of the report and the ease of securing
data requirements.
Reports of marginal value can be stopped in seven basic ways:
? By elimination in their entirety
? By combining related reports
. Reporting by exception
23
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By reducing frequency
* By omitting details deemed marginal. in value
. By cutting distribution to those with a 'heed to know"
By using sampling techniques (reducing the number of
respondents)
Experience has shown some of the ways to reduce the costs of
an individual report are by improving burdensom procedures:
Lack of clarity or completeness of the reporting directive.
Too much narration when a simple report form would suffice.
Written negative reports.
Use of transmittal letters.
Federal agencies have varied their challenging procedures in
several ways. Usually they do so by a review prior to establish-
ing a report; a continuous evaluation to assess the current
need for the information; and a periodic review to determine
whether or not each report is fulfilling its purpose, needs to be
brought up to date, or whether it should be eliminated.
REPORTS-CLEARANCE
.
The best review is that which preceeds the establishment of a
report. A form used by the Internal Revenue Service for this
purpose is shown as figure S. Probably the most important item
on the form is the one entitled "Purpose and Need." This item
describes the type of information proposed to be collected, why
it is needed, and where it fits in with or supplements other
reports in a program area. Other items on the form that manage-
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 Approved FcRERGESM #llEIAlRW CE CIA-RDP74-0039OR0004d09Td009-1
Instructions - Prepare and send in duplicate (2) to the Central Reports Management
Officer.
Attach - (1) Draft of report instructions (This form may be used also to
(2) Draft of report or forms if required document postreviews in regions
(3) Any related material that have adopted this system.)
(other)
TOTAL
PREPARATION MANHOURS
ANNUAL HOURS
TOTAL ANNUAL
ORGANIZATIONAL
ELEMENT
ONE TIME ANNUAL
TO PROCESS&
MANHOUR
ANALYZE
WORKLOAD
O
NE OFFICE X NO. OFFICES =
TOTAL HRS. X
TIMESPER YR.- TOTAL + _
NATIONAL OFFICE
REGIONAL OFFICE
DISTRICT OFFICE
SERVICE CENTER
BRANCH OFFICE
TYPE "A" OFFICE
POST OF DUTY
---
ANNUAL MACHINE COSTS (EAM OR ADPE)
ANNUAL PRINTING COSTS (Published reports only)
16.
NUMBER OF
ORIGINAL REPORT SENT TO -
COPIES
Di
ib
i
-- -
str
ut
on
- -
of copies
COPIES TO -
17.
ORIGINATING OFFICE (Division, Branch, etc.)
PERSON TO CONTACT
ROOM
EXT.
Re
uirin
g
q
office Info-
SIGNATURE OF REQUIRING OFFICIAL
TITLE EXT.
mation
REPORTS MANAGEMENT OFFICER'S COMMENTS
SIGNATURE
18.
REMARKS
For Use of
Central Re-
DATE CLEARED OR POSTREVIEWED
CLEARED OR POSTREVIEWED BY (Name of analyst)
ports M
anag
e-
ment Officer
U.S. TREASURY DEPARTMENT - INTERNAL REVENUE SERVICE Figure 5
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FORM 2951 (REV. 7-62)
 Approved For Release 2001/11/01 : CIA-RDP74-00390R000300140009-1
ment should concern itself with are the number and types of
preparing and using offices, and the frequency of the report.
These represent workload.
The initial reports clearance should insure:
. That the proposed report represents a valid need for
information;
? That it requires only that information needed to ad-
vance the purpose for which the report was designed;
. That the report has been thoroughly reviewed, and that
the procedures and forms for collecting, reporting, and
using the information are efficient and economical; and
? That the additional workload imposed by the report, and
its costs are justified.
CONTINUOIJS EVALUATI0t
All too often people look at a report only from the standpoint
of the end product. Deciding whether or not information is
needed is the responsibility of top management. But the degree
of detail that goes into the report and how to obtain and process
that information can be another matter - one more often than not
determined below top management. It is in these details that
reports frequently become burdensome, costly, and out of date.
For this reason, a continuous evaluation of all reports is
essential to make sure that needed information is being received
in its most useable form, and to purge useless or out-of-date
information from the system as quickly as possible. These are
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 A ie are s?wriere e people/ee ow top maanagement ccanOcontrloute1
the most.
The Reports Evaluation checklist used in evaluating reports
(see figure 4, page 18) is intended to stimulate thought on
the many potential pitfalls of reporting. Use the checklist
when developing a new report or evaluating an old one.
PERIODIC REVIEWS
Basically there are two ways to conduct periodic reviews:
(1) analysis of total information requirements as they relate
to a program system; (2) procedural review of individual
reports. Both types of review are valuable and practical.
Total Information Requirements Analysis. In analyzing the
informational requirements of a system, we are actually
asking the question, "What information does management need
to manage a particular program?" In this context, we are
going beyond the mere review of reports. We are analyzing
the program and the informational system that supports it.
The objective is to find out what kind of information is
needed at each level of management, and how best to provide
and use it. Then, after completing this phase of the survey,
individual reports are reviewed in detail to detect voids,
make improvements, or to eliminate collection of unnecessary
information. To do this one agency recommends the following:
1. "Identify the organization's total program objective or
objectives. (Do not include such supporting responsi-
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bilities as the management of manpower, money,
material, or other resources as part of the objective
unless these constitute the prime mission of the
organization.)
2. "Break the total objective into identifiable operating
programs (major functions, subfunctions, etc.) by
organizational level. Define the objective(s) of
each of these operating programs at each level. Show
the relationship of each to the total objective.
3. "Analyze the work done at each organization level.
Identify organizational elements working in the same
or closely related functional areas. Divide each
function into small enough units to keep it manageable,
but at the same time, make the area inclusive enough
to reflect a whole function, or a separately identifi-
able piece of the whole.
4. "Select people for a review panel who are familiar with
the objectives of each function. Use program specialists
who work directly on the program being analyzed as
advisers rather than as regular panel members. See that
the services of reports, directives, forms, and other
systems analysis staffs are made available to this group.
5. "Find out what information the program manager at each
level of organization needs and actually uses to manage
his program. If possible, have him list the information
in order of importance.
6. "Find out what information the next higher program
manager expects from his subordinate managers.
7. "Identify actions that occur within the function at each
organizational level.
8. "Identify decisions within the function that should be
made at each organizational level.
9. "Identify, by function, the planning and operating
responsibilities at each organizational level.
10. "Identify the functional controls needed and exercised
by each level.
11. "Identify information, either in form of reports or
guidance, needed to carry out decision making, planning,
operating and controlling responsibilities.
12. "Identify specific reports that support each requirement.
(Recognize that lower level officials will probably have
to collect data in greater detail to meet higher management's
28
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 Approved For Release 2001/11/01 : CIA-RDP74-0039OR000300140009-1
informational needs, or to control the pro ram the
way higher management wants it controlled.)
13. "Analyze how the information presented in the reports
fits into the total program system. Do this by category
of information for the entire report (what it is, why
it is needed, how it is used, and who uses it) rather
than by segments of the report.
14. "Then, using sample copies of the reports, the report
clearance forms, the checklist, and the information you
have gathered to this point, give the operating official
an opportunity to validate each report he is responsible
for. Start from the top-down.
a. Identify, with the operating official, the specific
information used to satisfy higher management's needs.
b. Separate this from the information that directly
supports the operating official's transactions. Find
out whether all of these transactions are necessary
to fulfill higher management's desires. i1w do they
contribute to the program? Mow do they contribute
to the operating officials' actions, decisions,
planning, control, etc.? When was the last time
these transactions were used as a basis for a
management decision either at this or a higher
level? Could lower organizational levels perform
any of these actions, thereby reducing the infor-
mational needs at this level?
c. Now, identify reported data that is used for other
purposes. Are these necessary to support the pro-
gram system? I-low are they used?
15. "After you have determined that the type of information
collected. is necessary to fulfill the needs of the pro-
gram at each level., review the specific data for ways
to increase its usefulness.
16. "If appropriate, solicit recommendations from lower
reporting levels on ways to improve reports that they
consider burdensome. Be careful in reviewing their
recommendations. Lower levels might not know the full
intent of a report or how it is used.
17. "Complete the analysis of all reports in the functional
area before recommending improvements. Make sure that
all of the information in the reports collectively
support the program's total information needs. Check
your conclusions against the requirements the manager
said he needed to manage his program."
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Procedural Review. As the name implies, in a procedural review
you look at individual reporting procedures, and at the reports
themselves, rather than. at the informational system that they
are part of. This is a housecleaning type of review that
culminates in improving or eliminating individual reports.
It is often the only type of review needed, particularly when
the program's informational system is known to be sound.
The review usually starts at the specific direction of a higher
authority. Everyone is asked to analyze all of the reports they
are involved in. To organize this kind of review:
1. Place the responsibility for monitoring it in one
office in the agency.
2. Establish focal. points in other offices at an appropriate
level of organization.
3. Set specific schedules for completing various phases
of the program. (Completion dates should extend. no
longer than necessary; otherwise interest in the effort
will deteriorate.)
4. Establish progress reports. Identify the types of infor-
mation management wants reports during and after the
review.
5. If possible, establish special incentives, or relate
accomplishments to an existing incentive program.
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6. Firm up a method for conducting the review. This is
usually done by evaluating reports received by or
originated in an office. Identify organizational
elements working on the same or closely related functions.
Divide the functions into small enough work units to
be manageable. Separate the reports by category:
a. Functionally Within the Office. This will point up
any overlapping or duplicative information in reports.
b. Those Required by the Office. These are reports the
office has control over. These are the ones that can
he changed without difficulty.
c. Those Submitted to Other Offices or Agencies. These
are reports on which the office may only recommend
changes or improvements.
7. Then, using sample copies of the report, and the evalua-
tion checklist, make or recommend changes that will
improve tie reports. Where possible, eliminate those
that contribute little to the program that they were
designed to support.
Obviously, there are several ways to combine the desired features
of an informational requirements analysis and a procedural review.
Recognize the potential benefits provided by each and select the
method best suited to your agency's needs.
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 RFp(3 ?r'19 C ox,,qp lease 2001/11/01: CIA-RDP74-00390R000300140009-1
Case Files. An individual report case file is a basic working
tool for a reports management office and should be available
from the beginning. As new reports are established and ex-
isting reports are inventoried and appraised, an individual
report case folder should be set-Lip. The file should be as
complete as possible.
For internal reports, the case file should contain:
A copy of the document proposing the report,
. An individual reports inventory form or
. A report clearance request,
. The directive or other reporting instructions,
. The approved report form or forms,
. A copy of the evaluation made on the report, and
All pertinent worksheets, correspondence, memos,
and notes for the record.
For external reports, the case files should contain:
All information concerning the report and its
application at the agency or activity level,
. A copy of the implementing directive (or a cross
reference as to its location),
. A copy of the form, and
All correspondence, memos and notes for the record.
File Card Record. A card or other type of form or record (see
figure 6) is sometimes used as a convenient tool in identifying
32
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 Approved For Release 2001/11/01 : CIA-RDP74-0039OR000300140009-1
Record of Reports Control Actions
REPORTS CONTROL SYMBOT,_ Reportitle.______-__ ]Form Number
DATE: Initiated Discontinued ___ tRQ EN } Period covered or "As of" Date
Directives Ont time
Daily
Weekly
-- -~
Monthly Due Date
Quarterly
Semi-Annual
Annually
As Required This Report is a Feeder for
Other (Specify) (Give symbols)
Distribution of Copies of this Report
Foeder3 for this Report are
(Cive symbols)
Refer questions to
REPORTS CONTROL-SYMBOL - [Report Title
This Report Supersedes
(Give symbols)
This Report Superseded by
(Give symbols)
Form Number
------------------------ --
Figure 6
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 Approved For Release 2001/11/01 : CIA-RDP74-00390R000300140009-1
reports, reporting directives and forms. It also provides
for other information about the report such as frequency, due
date, and preparing office. This card record is also useful
in preparing lists of reports by organizational segments.
A record of the status and actions taken on reports clearance
request received is desirable. This document is useful in
establishing work priorities in the reports management office
and as a ready reference to answer "status" inquiries. Often
a similar file is arranged by function.
Reports_Catalog. It is useful to prepare and maintain a reports
catalog. This is a listing of all reports to be prepared by
each organizational segment. The list not only acts as a
reminder to the preparing offices but is a useful device for
cross-checking by the reports management offices as to current
requirements. The listing should show as a minimum: the
reports control symbol, title, form number, frequency, due date,
requiring directive, and preparing agency. See figure 3, page
To effectively measure progress, and to plan and coordinate the
reports program at each level, those responsible for the program
will need periodic reports of accomplishment. A form similar
to Form 3030 of the Internal Revenue Service (see figure 7) may
be used. This report is usually prepared semi-annually.
The report format has been designed to be self-balancing. Part
I provides for an opening recurring reports inventory, the
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application of inventory transactions during the report period,
and ending recurring reports inventory. Part II deals with
one-time reporting activities during the report period. Specific
instructions for each report item are given on the reverse of
the form.
3S
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 CIA-RDP74-00390R0003001040ig9iylnboI NO-D:M1-1
TO
REPORTS PROGRAM
ACCOMPLISHMENTS
(See reverse for INSTRUCTIONS)
REPORT PERIOD
ENDING
SERVICE CENTER
REGIONAL OFFICE
NUMBER
ANNUM,
MAN-HOURS
NUMBER
ANNUAL
ANNUAL
ANNUAL
(a)
MAN-HOURS
NUMBER
MAN-HOURS
NUMBER
MAN-HOUR
(c)
(d)
(e)
(fl
(9
S
(h)
1. Reports in inventory beginning
of report period (Item 12 of
g"revious report)
4. Adjustments to reports
inventory
5. Adjustments to reports
inventory (Manhours only)
10. Adjustments to reports
inventory (Manhours only)
11. Net change to inventory (+ or -
sum of ADDITIONS minus sum of
DELETIONS)
12. Reports in inventory end o re-
port period (Item I plus or minus
-._item 17)
13. Proposals for new or revised re-
ports improved or withdrawn 1
14. Total program benefits
(Sum of 6, 7, 8, and 13)
15. Reports required or published
this report period
16. Report proposals improved or
withdrawn 1
PART II. ONE-TIME REPORTS
REMARKS (Include any significant developments with respect to the Reports Program and shay savings which are other than man-hours, e.g.; equip
ment rental, printing costs, etc.)
I/ GIVE BRIEF DETAILS OF SIGNIFICANT SAVINGS SHOWN IN "REMARKS"
U. S. TREASURY DEPARTMENT - INTE L R E UE SE` ~,
ApproveaNpor erease 1/I11/Qi_?a QIA-RD, ,4-0039OR00030&'b400> (RD}f1)f EV.7-68)
 INSTRUCTIONS
PREPARING OFFICES - Regions will report program accomplish- TRANSMITTAL - District office and Service Center reports are due in
ments to the National Office on this form. District offices and Service the regional office by the 15th workday of June and December; regional
Centers will also use this form to report feeder information to the region- office reports are due in the National Office by the 1st workday after the
al office. close of the report period.
GENERAL
This form is designed to be self-balancing. All actions taken during the report period will be reflected under the appropriate item, culminating in a
new recurring reports inventory..
ITEM 1 ._ Total recurring reports and their related man-hours in inven-
tory at end of last report period.
ITEM 2 - Newly established recurring reports and their related man-
hours added to inventory during the report period.
ITEM 3 - Show a memorandum entry within the brackets ror the number
of existing recurring reports modified which resulted in an addition of
man-hours during the report period. This figure will not be included in
totals. Man-hours added as a result of modifications will be shown and
included in man-hour totals.
ITEM 4 - Recurring reports and their related man-hours added to in-
ventory during the report period as a result of adjustments made to in-
ventory figures used last report period.'
ITEM 5 - Man-hours only added to inventory during the report period as
a result of adjustments made to inventory figures used last report
period.1
ITEM 6 - Recurring reports and their related man-hours deleted from in-
ventory during the report period as a result of Reports Program Activity.
Reports which terminate on a predetermined date will be shown under
this item. Reports which were eliminated as a result of consolidation
action will not be shown under this item.
ITEM 7 - Show a memorandum entry within the brackets for number of
existing recurring reports modified which resulted in a deletion of man-
hours during the report period. This figure will not be included in totals.
Man-hours eliminated as a result of the modification will be shown and
included in man-hour totals.
ITEM s - Recurring reports and their related man-hours eliminated as a
result of consolidation action. Show only the net elimination of reports
and man-hours, i.e., the difference between the original number of reports
and man-hours, and the new number of reports and man-hours remaining or
established as a result of the consolidation.
ITEM 9 - Recurring reports and their related man-hours deleted from in-
ventory during the report period as a result of adjustments made to in-
ventory figures used last report period.1
ITEM 10 - Man-hours only deleted from inventory during the report
period as a result of adjustments made to inventory figures used last re-
port period.1
ITEM 11 - Calculate the net change to the recurring reports inventory
during this report period by subtracting the sum of items 6 through 10
from the sum of items 2 through 5, except for bracketed entries. Show the
result as a plus or minus factor.
ITEM 12 - Total recurring reports and their related man-hours in inven-
tory at end of this report period.
ITEM 13 - New or revised recurring report proposals improved or with-
drawn during the report period as a result of Reports Program analysis
and review. Annual man-hour benefits resulting from improvement or
withdrawal of the proposal will be estimated and shown.
ITEM 14 - Calculate the total Reports Program benefits for the report
period by adding together items number 6, 7, 8, and 13, except for
bracketed entry.
ITEM 15 - Total one-time reports required or published during the re-
port period.
ITEM 16 - One-time reports proposals improved or withdrawn during the
report period as a result of Reports Program analysis and review. Man-
hour benefits resulting from improvement or withdrawal of the proposal
will be estimated and shown.
IExamples of adjustments are changes made in the reports inventory data due to mathematical errors discovered in man-
hour figures, revision of original man-hour estimates, elimination of reports which should not have been included in the
Reports Program, or addition of reports which should have been included in the recurring reports inventory.
0009-1 FORM 3030 (REV. 7-68)
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FPORTS ANALYSIS
Many of the communications problems in Government today can
be traced to poor or nonexistent reports. Reports must be
systematic, automated when feasible, based on solid need,
capable of providing a basis for measuring performance, for
making and revising policy, and for executing the mission of
the organization requiring the reports.
Many reports, however, do not turn out as well as originally
planned. The information is not always presented in its most
usable form. Some information collected soon proves to be
uneeded. The environment at the reporting level is not
always as anticipated, and respondents have difficulty
collecting and properly presenting the data. So the data as
received does not give the kind of information management
needs for decision planning or controlling programs. In
reality, there are few reports that cannot be improved
through analysis.
DETERMININGNEED
The first step in reports analysis is to establish need for
a new report or the continued use of an existing report. To
establish need, or justify continued use, the report should:
Provide no information the user doesn't have
functional authority to utilize.
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y.
? Duplicate few other data requirements.
? Fulfill a valid need of those who will review and
evaluate its content measured against the expense
of collecting and using it.
Be secured at the lowest possible cost.
DETAILED AI YS I S
If the need is established, the report is ready for detailed
analysis. If the report or any part of the report is found
to be unsatisfactory, positive recommendations .for changes
should be made to the requiring officials before the
directive for a new report is issued or a report symbol is
assigned. Specific findings and recommendations on existing
reports or their relationships to other reports or reporting
systems should be made to the requiring officials so that
appropriate action can be taken.
The following basic aids should be used whenever they facilitate
the comprehensive review and analysis of the report.
Case Files of Individual Reports. The case file on each
report is a main reference source. Its contents should be
reviewed in any study to improve reporting.
Reports Clearance Form (figure 5 ). As used in a clearance
or post review procedure, or as a part of the case file, this
form provides basic facts needed in considering a report for
possible improvement.
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RECURRING DATA
ANALYSIS CHART
MT 1(20)00-11 (11-11-66) IR Manual
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Re v~Jata An_Ysis`art figure 8 ) . This form may
be used to list report items for each of several reports.
Listed in this way, repetitive items become apparent. This
form is particularly useful in exploring opportunities to
combine related reports in a functional area, or to integrate
reports in a vertical reporting system.
Reports 2Evaluation Checklist (figure 4 ). his form
provides a series of guides for step-by-step reports improve-
ment from two points of view -- that of the office which uses
the report and that of the office which prepares it. This
form is intended as an informal worksheet (a pencil copy
should suffice) to encourage free and conscientious thought
regarding each point. Because of the significance of the
many points itemized in this checklist, each item deserves
our special attention in fact gathering and analysis.
1. Determine the Need
1. Use of the Report as a Whole. Who uses the report, and how?
Who established the report? Does he still use it? When
was the last time he saw it? Is all of the information
reported actually and actively used as a basis for actions?
For plans or decisions? Who performs these functions?
When was the last time specific plans or decisions were
made as a result of the report? Was all of the reported
data needed for these purposes? What would happen if
the report were discontinued? Could the control phase of
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program g g
2. Use of Each Item in the Report. Is each item used? Apply
this simple test: Get a completed report. If it is
submitted on a form, check the entries that you use
regularly. If it is submitted in narrative, underline
the key items. Now ask yourself what you do with the
information. After you are satisfied that you need this
information, identify the items that you don't use. As
you question each item, consider whether there are any
missing items, columns, instructions, etc. If these were
added, would they increase the utility of the report?
Careful examination can often eliminate several individual
items and cut dawn preparation and reading time.
3. Use Each Copy of the Report. flow many copies are
distributed? How many of these are actually used to a
good purpose? Should any office be removed from the
distribution? Should distribution be broadened to
eliminate the need for other reports? Would it be
feasible to distinguish between "action" and "information"
copies? When was the last time you checked the accuracy
of the distribution list?
4. Functional Relationship. Is the report within the scope
of each of the receiving offices' functions? Do these
offices have the authority to change or recommend a
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change in the program if such action is needed? What
are their interests and responsibilities today?
Functions and interests change. What was once a pressing
need, may now be a passing interest; or worse, no interest.
5. Misapplication. Does the report attempt to solve problems
that in fact call for administrative or other action? It
may be possible that reports are being required when more
direct supervision at other levels would do a better job.
Would more specific instructions in the program directives
make this report unnecessary?
6. Standby Data. Is any data obtained only for standby or
"just-in-case" use? How often has it been used? When
was it last used? Was the need at the time critical?
When it was used, was the information up to date? Did
it answer all the questions, or did you have to get
additional information? Is it worth what it costs to
receive and maintain this data "just-in-case" the need
arises? Would a one-time situation report serve the
purpose?
7. Another Available Source. Is another source of information
readily available that will satisfy this reporting require-
ment? Perhaps in other records or in a report received
by another office. If another office has the data available,
but in a different form, can you use it as it is? If you
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can't use it in its existing form, can it be modified
to provide mutually acceptable information?
8. By.-Product. Can routine office procedures at the source
of needed information be modified to provide you with a
by-product data as a part of their normal work process?
Can the information be extracted from an existing work
package at your level by modifying existing forms,
recordkeeping or accounting systems (manual or mechanized)?
If this were done, would it eliminate this report?
9. Direct Use of Records. If information is transcribed
from a record, could you use the record (or a copy)
instead of establishing a separate report? Would using
records which can be photographed or otherwise "fast
copied" at the source eliminate transcribing to a
report? Some examples of reporting by photographic
process are:
Visible record panels
Production control boards, graphs or charts
Microform records
10. Sampling. Would a sample of a few offices or persons be
sufficient to provide the data? If the sampling method
is being used now, are the present respondents representa-
tive enough to give accurate data when projected to cover
the whole?
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11. Exception Reporting. Would exception reporting be
adequate? Using this method, reports are made only when
conditions are other than normal. The expected norm
should he defined, and potential abnormalities (when a
report might be submitted) highlighted. Instructions
covering exception reports should describe danger
signals and events which could require decisions by higher
levels. Exception reports can be associated with a
project (one time or recurring) that has fairly well
defined starting and closing dates, or with a well
established program of indefinite duration.
12. Combination. Can the report he combined with another
report? When two or more reports with similar subject
material or data are combined, it takes less work to
do the job. Here is a simple way to determine whether
combining reports is feasible: Put a check mark next
to items common to each report. Now decide whether the
unchecked items are essential or "nice-to-have." Go
over the report with other offices directly concerned
to get their ideas for additions or deletions. Add the
needed items to make the combined report.
13. Nonrelated Material. Does the report contain nonrelated
information that should be in separate reports? Before
changing the report, consider the effect on work patterns
at the source of the information.
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14. Adequacy and Suitability. Is the scope or content of the
report adequate, too broad, or too narrow for its
intended purpose? Does the data match the specific needs
of the using offices?
15. Value Versus Cost. What is the value of reported data?
Is it known? What is the cost? Has it been considered?
Does the cost of the report exceed the value? Can
the data be obtained, or the informational needs met,
in a less costly manner?
II. Verify the Timing
16. Frequency
a. Is the frequency of the report prescribed in the
directive and on the form? For example, monthly,
quarterly, annually, etc. Does the directive tell
when the first report is due?
b. Does the frequency fit the needs of principal users?
Would a different frequency fit the needs better or
as well? For example, in a new program, quarterly
submission the first year, semiannually the second
year and annually thereafter? When actual needs
permit lowering the frequency, the cost of a report
goes down.
17. Reporting Periods. Are reporting, periods prof-eriy stated?
Is the number of work days per month significant? For
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examp Ic , when weekly reports are sur. nari zcd monthly,
do you have to adjust reporting periods to determine
actual work days? Does the report consider work days
as opposed to calendar (lays?
18. Due Date. Fes the directive indicate the date when the
report is to he received at its destination? Use
,;tatemcnt such as "The report must be received by
(specific date) ," or "received not later than
workdays after the close of the reporting period." Due
dates should take into account the most distant preparing
offices and the ,method of transmission, i..e. airmail,
wire cornr?uni cation , etc.
19. Preparing Office Workload. Is there adequate preparation
fire? Rener:,ber, reporting workloads are heaviest at mid-
month, ends of months, and ends of quarters. Have you
considered the preparing office's workload? Are your
deadlines realistic? If not, they should he adjusted.
.TII. Review Style of Presentation
REPORTING DIRECTIVES
?0. Report Title. If the directive concerns only the report,
is the title of the report the same as the subject of
the directive? rake the title as brief and descriptive
as Possible.
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21. Purpose of the Report. Is the purpose clearly stated so
that the preparing offices will understand what use is
made of the data and can apply the instructions
intelligently?
22. Reporting Instructions. Are reporting instructions clear
enough to he understood? Do they tell what to do and how
to do it? Are complex reports clarified by including
a completed sample form or format (John Doe forms) in
the directive? This insures uniformity in reporting.
23. Integrated Reporting. Are data needs of other levels
tied in? Has the pyramid principle been applied?
For instance, detailed data become less significant
at higher organizational levels. Reporting instructions
should include the data requirements for each organiza-
tional level. Be as specific as you can.
24. Feeder Reports. Do procedures for feeder reports assure
maximum uniformity and simplicity? What is the extent of
feeder reporting? Is it used economically? e.g. when
establishing a feeder report to satisfy a report of
another agency, just ask for information that is not
available in your own office or agency files. Consider
all sources in your immediate headquarters. Would there
be an advantage to by-pass intermediate levels and furnish
lower level data directly to the level requiring the report?
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25. Reporting Units. Are the units which are required to
prepare the report identified? Are the designated
reporting units the ones in the best position to furnish
the information? Are there more or fewer reporting units
than needed? Will the present number of reporting units
be sufficient for data comparison?
26. Negative Reports. Are negative reports required? What
use is made of them? Should they be stopped? Make
your directive explicit concerning the submission or
nonsubmission of negative reports.
27. Number of Copies. Are the number of copies to be prepared
and distributed specified?
28. Routing. Is the correct address of each recipient
indicated? Is a desired method of transmission such as
regular mail, airmail, telegram, etc., spelled out?
REPORTING FORMS
29. Narrative or Form
a. Is the report submitted on a form, in a prescribed
format, or in narrative? Is the present format
suitable for the way the report is used? Is it
easy to prepare? If the report is in narrative style,
would a form be better? If the report were changed
to a form, would it lose its original effectiveness?
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b. Do users have to hunt through the text of a narrative
report to find the information they need? Does the
report contain information which is repeated in
successive reports? Is this repetitive information
of special interest to the users? Could report
preparation be simplified by substituting a. codeword,
symbol, or number (with adequate definition) for
repetitive narrative passages. Narrative reports
are expensive. They require research, creative
writing, and time of high salaried employees.
Identify any questionable areas and review them with
the forms design staff.
30. Arrangement and Size
a. FIZZ-in-Reports. Is the text of questionnaire fill-
in-reports arranged to permit easy fill in and use?
Arrange text so that fill-ins come at the left margin,
or a separate line, or so that all fill-in items are
grouped in one area on. the form.
b. Spacing. Is there adequate space for filling in each
item? Is the spacing suitable for the type machine
used to prepare the report? If handwriting is optional,
is enough space provided?
c. Sequencing. Are items on the report form arranged
in the same sequence as the data source? Are items
sequenced to the user's needs? Do these parallel
each other? Are items sequenced to the next form
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to which the data will be transcribed? This is
especially important when data is transferred from a
report to columns on a punch card.
d. Preprinting. Are recurring items of data preprinted
on the report form wherever possible?
e. Captions. Are adequate instructions included on the
report form? Are they placed where they will be
seen and read first? If instructions are on the back
of the form or in a separate document, state this in
the heading of the form. Are captions clear and
descriptive? Can any of them be misunderstood? Are
boxes, lines, signals, type, etc., used effectively
to emphasize captions?
f. Size. Is the size of the form adequate, practical,
and easy to read? Will it fit in standard files or
binders?
31. Standardization. Do all offices submitting the report
use the same form or standard format?
32. Summary Information. Does the form or format require a
complete and time-consuming review by all users to get
at essential data? Would selective or summary highlighting
of significant elements be better? As a substitute? As
a supplement?
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33. Cumulative Data. Can statistical data e maintained on
a cumulative basis at the source to eliminate last
minute workloads? Would a brief journal or daily tally
eliminate backtracking over the period when reporting
time comes? If so, provide a recording or tally form
to aid preparing offices.
34. Comparisons. Can comparisons of data be readily made?
have production or performance goals been set so there is
something to compare data against? Are the most meaning-
ful comparative bases used: Established standards? Past
performance? Time-span? Trends? Financial or production
goals? Correlation with other schedules, programs, and.
events? Reporting forms that include comparative data
are more useful than those that simply provide raw,
unrelated data or statistics.
35. Graphics. Would graphics speed the comprehension of data?
Are graphics used to good advantage? Illustrations?
Charts? (raphs? Symbols?
36. Authentication. Are, the signatures of verifying and
approving officials required only when absolutely
necessary? Are they at the right level of authority?
Do those which are used contribute needed authority?
T'nes each approval. add to the information's reliability?
Don't collect signatures for prestige.
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REPORTING RECORDS AND FILES
37. Data Sources. Have you specifies? the records from which
reported data is to be extracted? When source records
do not exist, or cannot he specified, does the directive
prescribe how to develop the information for the report?
38. Arrangement of Records. Are files or other sources
maintained so that data can be easily extracted? Should
the records he rearranged in the same data sequence
as the report form or format? If there is a good reason
why the records are maintained as they are, can the
form be adjusted to match the data sequence of the
records? Will this arrangement fit the report users
needs? Can you match file headings with report headings
or vice versa?
39. Report Control Symbol. Is the report control symbol
shown in a conspicuous place on the report? Does
the agency prescribe a standard location for the symbol?
Where the report title is the subject of the directive,
consider including the symbol in the directive title.
Another good location is in the paragraph heading, or
at the end of the paragraph that prescribes the report.
Consider placing the report control symbol on forms
and records associated with the report. This ties the
report, forms, directive, and related files together.
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X40. Style of Presentation.
a. Will the report attract and satisfy its intended
users? Who are they? Are they executives? Tech-
nicians? The general public? The treatment of
information is different in each case. Is the
tone, and presence or absence of detailed statistics
appropriate to the users' levels of responsibility
and knowledge?
b. Where statistics are used, are they used meaningfully?
Do they provide technicians a running account of
facts, and, at the same time, provide executives
summary information?
c. Can users interpret the information quickly and easily?
Or does the mass of data obscure real meaning? Does
the complete report provide maximum simplicity and
utility for the intended users?
WRITING THE DIRECTIVE
After it has been determined exactly what the report re-
quiring office really needs to know, whether the informa-
tion can be obtained without undue effort and cost, and that
a proposed reporting requirement is fully justifiable it
becomes important to develop a requiring directive and form
that will contribute to the successful collection of the
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desired information. Instructions prepared in concise, clear
and complete detail are basic elements of a good report. A
well designed reporting directive and report form (or format)
should give a clear picture of who is to report what, when
and how it is to be reported; to whom it is to be reported,
and why.
Directives for recurring reports should generally appear in
permanent publications such as agency policy and procedure
manuals. The directive should be organized so as to be
most convenient both to those who prepare the report, an
those who use it.
The following provides guidance as to items that should be
included in a reports directive:
iluxpose of; Report. The purpose should be clearly stated so
that the preparing offices will understand what use is to
be made of the data and be able to apply the instructions
intelligently. The statement should be explicit.
Report Title. The title of the report should be the subject
of the proposed directive if it is wholly concerned with the
report. The title should be brief and generally descriptive
of the substance of the information reported.
ilort_Sol. The report symbol should be shown as part of
the title of the report, appearing immediately following the
title. Where the report title is the subject of the directive,
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the symbol should be shown with the title, otherwise the
title and symbol should be shown as the caption of the
paragraph which prescribes the report.
Format. The directive should specify whether the report
will be on a form, memorandum, machine tabulation, telegram,
etc.
Data Sources. Records from which reports are to be prepared
should be completely identified. When source records or
feeder reports are not already in existence, the directive
should prescribe the manner in which the information for
the report should be developed.
Preparing Instructions. Adequate instructions for making
line and column entries on the report should be provided.
Complex reports should be clarified by the inclusion of a
completed sample report format. Report instructions should
be in sufficient detail to insure uniformity in reporting
and clear enough to be readily understood.
Preparing Offices. The specific offices required to prepare
the report should be shown.
Frequency. The frequency of the report should be prescribed,
for example, monthly, quarterly, annually, etc. On every
new report there should be a statement of the "beginning"
period for the report, for example, report ABC to be sub-
mitted beginning January, 1971.
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Number of Copies. The number of copies to be prepared and
distributed should be specified.
Routing. The correct mailing address of each recipient should
be indicated. Also, where applicable, the method of trans-
mission such as regular mail, airmail, telegram, etc., should
be spelled out.
Due Date. The directive should indicate the date by which
the report is to be received at its prescribed destination.
Due dates should take into account the distant preparing
offices. Generally, due dates should be stated using the
phrase, "by not later than workdays after close of the
reporting period."
Negative Reports. The directive should be explicit with
respect to submission or nonsubmission of negative reports.
DESIGNING 1NE FORM
A report form is usually the basic tool in the collection and
transmission of reporting information. The way it is designed
can effect the ease with which information is collected, the
accuracy of the information, the efficiency with which the
information is extracted, and the clarity of understanding of
the information conveyed.
A well designed form can often eliminate or reduce the need
for detailed instructions in the report. Forms and directives
must fully support each other.
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Forms design concepts and techniques have been developed.
which can more than double the efficiency of many reporting
forms. A separate handbook on "Forms. Design" (GSA Records
Management handbook) gives many valuable tips that should
not be overlooked by anyone developing a reporting form.
If a form is prescribed for Government-wide use, it should
be a "standard form." If it is used by 2 or more agencies
on a nonmandatory basis, it should be an "optional form."
In either case it must be cleared through the National Archives
and Records Service, GSA, using Standard Form 152. This
procedure is prescribed by Federal. Property Management Regula-
tion 101-11.8.
If the form requires information from a person outside of
your agency, refer to guidance given in Chapter 6 of this
handbook dealing with "External Reporting." Special
clearance processes may be necessary.
ADP VERSUS L REPORTING
There is a place in management reporting for both the automatic
data processing (ADP), and the manual type of reporting. ADP
provides certain advantages over manual or employee prepared
reports. Once the information is captured by APP on tapes or
punched cards, it can be manipulated and computed at high
speeds. Printouts are easily prepared according to set
formats and the data can he stored in "memory units" in a
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readily reproducible and readible form. Assuming that the
data has been correctly transmitted to the computer, by
manual key punching or optical scanning techniques, the
potential error rate is greatly reduced over similar reports
prepared manually. On the other hand manual reporting
costs are frequently much less than ADP costs, when the equip-
ment procurement costs are tabulated. For small organiza-
tions, manual report preparation is usually more effective
and possibly more timely, dependent upon the availability of
machines. It is suggested, when in doubt, that both reporting
techniques be evaluated.
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Chapter 5
(STING REPORTS
Anyone attempting to determine the cost of reports may view
the problem from two extremes. On the one hand, he may see
all agency reporting and related work as a whole. He may
emphasize the cost of various staff services, often over-
looked. On the other hand, he may see the problem from the
point of view of the smallest unit of work involved in preparing,
transmitting, or using an individual report. Ile may emphasize
the cost of entering figures on a worksheet, the cost of
preparing a series of management charts, the cost of rewriting
or retyping a narrative, and so forth. Actually, an awareness
of all cost areas is essential, because all are significant.
The total cost of either an agency's entire reporting system
or a single report is the cost of initiating it, maintaining
it, using it, and providing specialized assistance or service.
EXPLANATION OF `INDIVIDUAL" REPORT
The individual report is often called a "unit reporting system."
This "system" usually includes many layers of report prepara-
tion, compilation, and refinement as the information moves
from the source to the user. In this chapter, the terms "report,"
"individual report," and "unit reporting system" are synonymous.
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In most Federal offices, the word "report" usually means
either "management reporting," which denotes information for
guiding agency operations, or "public reporting," which denotes
information derived from private citizens or organizations.
However, "report" is also used to describe individual operating
documents or scientific and technical papers. As used here,
the individual report (or unit reporting system) relates only
to management or public reporting. It does not include
operating documents or scientific and technical papers.
OBTAINING COST I FOR"1ATION
If you can obtain the cost information you need from existing
records or from those who already have knowledge of the cost,
so much the better. If cost information exists, you need
only find it and compare it with the report cost factors in
figure 9 of this chapter and your own costing objectives.
Two of the best sources of information on the cost of a report
are the office that initiated the requirement and the agency's
reports management office.
The best source of information is probably the office that
requires the report. Someone on the staff will usually know
the report from "A to Z." He may have developed the reporting
requirements, designed the system, and authored the implementing
directive. If not, he will know who did.
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If you have to develop the cost yourself, you can get help
on methods and shortcuts from the nearest reports specialist.
Lost agencies have at least one. If yours does not, you can
telephone another agency in the area for the help you need.
An important source of indirect cost information is the
agency directive which imposes the reporting requirement.
It should provide clues to the work involved, reporting
offices, frequency of reporting, and other pertinent facts.
The best course is usually to find the shortest route to a
reasonable, if not perfect, estimate of the actual cost. In
doing so, however, you should be sure to investigate all of
the important cost areas and account for all significant
costs. Consult the list of cost factors in figure 9 of this
chapter to ensure that no significant costs are overlooked.
Reports analysts have used many techniques to cost agency
reports in the past. But whatever the costing technique, the
great variety of reports and reporting methods confounds any
attempt to find one approach that will serve all purposes.
In each case, the scope of the cost study must be clearly
defined and all cost factors taken into account.
You will have to ask yourself: Who does what, when, where,
and how? How many offices prepare this report? What do they
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actually do? Who keeps the records? Where does the informa-
tion come from in the first place? f low many levels of reporting
are there? Do some offices compile reports? Mat do they do?
flow much time does it take? flow many people get involved?
Who receives these reports? How many people read these
reports? flow long does it take?
The easiest way to develop the cost of a report is to first
describe it in terms of work performed and locations in-
volved. The description should include the number of annual
repetitions based on the frequency of reporting (daily,
weekly, monthly, etc.). The description should identify all
significant cost factors, including any peculiar to the
reporting system under study.
The reports analyst will usually compute the total cost of
preparing the report in one office, one time. fie will then
multiply this figure by the total number of reporting offices.
He will in turn multiply by the number of yearly submissions
of the report. This gives the total cost of preparation for
a period of one year. The analyst must also take into
account the cost of any feeder reports and any records involved.
He may or may not add the transmitting costs, the reading
costs, the analyzing and interpreting costs, etc., depending
on the scope of his study. If he is seeking total costs,
however, he must account for these other important cost areas.
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Cost estimates based on actual situations provide the clearest
and most accurate picture. Get estimates from those who
actually do the work. Obtain information from one or two
offices or activities of each type, and project the figures
to include all offices and activities involved. Obtain dollar
costs for machine-time, printing, special equipment, and
other materials from those who do the purchasing.
Consider all report locations and all basic types of report
work. Only when you know the dimensions of the entire
reporting system can you estimate its cost realistically.
EXPRESS THE COST
The cost of the individual report is measured or estimated
primarily in man-hours for all work involved at all locations
over a period of one year. If applicable, you should include
the man-hour and other costs incurred by other agencies and
the general public.
As more and more mechanization of reports takes place, a
trend towards some standard presentation of cost information
has developed. In following this standard, you should express
the cost in man-hours and related dollars; machine-hours and
related dollars; other costs in dollars; and total cost in
dollars, as of a given date.
Measure man-time in man-hours, days, or years. Convert to
dollars using specific grades or rates where known, or averages
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if you cannot easily determine the actual grades or rates.
Measure machine-time in machine hours. Convert to dollars
using an appropriate average hourly cost. Measure space in
square feet, and convert square feet to dollars, using an
average cost per square foot for the type of space in use.
Measure equipment, supplies, printing, or other materials in
dollars.
COST OF INITIATING A REPORT
The cost of a report includes more than the cost of keeping
the records, preparing, transmitting, and using the reports.
Even before the report enters the agency reporting system,
it involves muds work. This part of the cost usually gets
little if any attention.
When compared to the high cost of continues a report, the
cost of initiating a report may not seem great. But in the
aggregate, Federal offices spend a great deal of time and
money in creating and installing new reporting systems.
These costs should get the attention they deserve. They
include such things as developing reporting requirements,
designing the reporting system, writing and issuing instruc-
tions, establishing source records, and installing the system.
MST._QF_INTAININSz...A REPORT
Some of the same work required to initiate a report continues
as a means of keeping it up to date. Methods and procedures
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change. Information requirements change. These changes
require revision of instructions and other activity. Some-
times the requiring office has one or more employees who spend
their full time in revising requirements, redesigning systems,
and rewriting instructions.
Each report submission involves many types of work.and related
costs. These may include both manual and. mechanized procedures
for collecting data; recording information at the source; and
preparing feeder reports, summary reports, briefings, publica-
tions, and. so forth.
The prime sources of maintenance cost information are the
various organizations that perform the work and those
responsible for purchasing equipment or services. The cost
to other agencies or the public, if applicable, should be
developed by sampling and projecting to determine a reasonable
overall estimate.
COST USING A SPORT
The using cost includes not only the cost of recording informa-
tion at the receiving office from each report presentation,
but many other costs as well. It includes the time it takes
to read and analyze the report, to select useful data, and to
interpret the information so that it can be understood. It
includes the time of executives spent in reviewing the reports
they receive. It includes time spent in conferences and manage-
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ment information centers discussing information reported.
It includes time spent to obtain clarifying information,
including telephoning and letterwriting.
Some reports require little attention at the receiving end,
while others require a great deal. The more digging and
analysis required, the higher the using cost.
Agencies often print and distribute 500 to 600 copies of
reports containing 50 to 100 pages. Sometimes each copy is
passed to several staff members for reading, analysis,
and written comments. These costs should be included, too.
In addition, some offices publish documents after important
conferences to announce decisions made and responsibilities
fixed. These documents also represent a part of the using cost.
Reports-receiving offices and users can best provide informa-
tion on the cost of using a reporting system.
COST OF PROVIDING SPECIALIZED ASSISTANCE
Many types of staff services enter the cost picture directly
or indirectly, on a large or small scale. These services
include the assistance provided by analysts in a reports
management office, a management information office, or an
operations research activity. If you are costing a reporting
system which in itself includes a management information
officer or staff, you should include these costs. Other
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specialized assistance, more or less indirect, includes the
time spent by accountants, budget officers, economist statisti-
cians, and manpower utilization analysts.
STS INCLUDED IN AN AGENCY REPORTING SYSTEM
The cost of an agency's reporting system includes the cost
of all individual unit reporting systems plus the cost of
the various staff services related to management and public
reporting. For example, in costing the agency reporting
system, you should include the entire cost of the agency
reports management office. The first step, though, is to
list and describe all that is involved, to be sure that no
costs are overlooked.
STUDY OPTIONS
There are several approaches to costing an entire reporting
system. It is sometimes desirable to develop first the cost
of a subsystem or family of individual reports within the
whole system. It is sometimes desirable to develop cost in-
formation with respect to an entire class of reports, like
narrative reports, or statistical reports, or published
reports. You may also approach costing by types of work
involved; for example, a measure of the total cost of
reading reports.
Which is the best approach to costing? YOu must decide for
yourself, according to the scope of the study and the circumstances
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in your own agency. In many cases, the type of cost informa-
tion already available in an agency dictates the most
logical approach.
Reading cost per page will depend on the type of report.
Clear reports of fairly simple information require about 4
minutes reading time per page on the average. But a report
requiring intensive study may require as much as 15 minutes or
more per page. This variation suggests that a sampling of
users is the best guide to developing a reasonably accurate
estimate of this or any other using cost. One agency estimated
that one group of reports involved a reading cost amounting
to 2,750,000 pages per year at 4 minutes per page.
`1EROAD-BRUSH" ESTIMATES
One broad-brush technique for costing agency management
reporting consists of nothing more than finding the total
number of agency employees and multiplying this figure
by $400. Tests have shown that the cost of agency management
reporting amounts to from $300 to $500 per year per employee,
on a Government-wide average. In larger agencies the cost
per employee will be lower than in smaller agencies.
The average cost of a report will vary from agency to agency
and from level to level within the same agency. These varia-
tions depend on the number of people involved. The higher the
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level at which a reporting requirement is imposed, the higher
the cost of reporting. One agency found that 87 percent of
its reporting cost came from reporting requirements at the
national level, 6 percent at the regional level and 7 percent
at. the local level.
One large agency determines the cost of many reports on the
basis of an average cost per man-year. At one time, this
agency used as its average a cost of $8150 per man-year. For
example, a report involving 268 man-years was estimated. to,
cost $2,194,920. Before determining average cost, the
agency carefully considered the typical grade levels of those
involved in most agency reporting.
Some organizations estimate the cost of the agency reporting
system in terms of man-time per line entry, based on an
average of 15 minutes of man-time per line for initiation,
maintenance, use, and so forth. (Lines of highly summarized
data will average much more than 15 minutes per line.) This
technique involves multiplying the number of submissions each
year, times the number of participating offices, times the
average number of line entries, times 15 minutes per line.
A few organizations estimate the cost of writing narrative
reports at about $20 per page. Some per-page costs will run
as high as $100 per page for collecting information, keeping
records, dictating or hand-drafting, typing, transmitting,
duplicating, delivery, reading, compildtion, filing, and
reference.
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OBTAIPJI JG 11E t1ClST ACCURATE ESTIMATE
Although the "broad-brush" techniques offer the fastest
approach to cost estimates, they have limited reliability.
The most accurate cost information will be based on a clear
understanding of the scope of the report system, research,
interviews, samplings, and first-hand knowledge of the work
involved. the first step to a sound cost estimate is always
to identify the elements of cost, the factors of cost, and
the characteristics of the report system tinder study.
JEC' Z.QE REPORTS COST FACTORS
The factors below are a basic guide to costing either an
individual report or an agency reporting system as a
whole. The person conducting the cost study should
determine which of the factors apply. Ile should add any
factors peculiar to the specific report, costing situa-
tion, or agency.
INITIATING THE REPORTING SYSTEM
1. Developing reporting requirements, including the
specification of information needed, the time of
need, the form of communication best suited, and the
information to be excluded.
Figure 9
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2. Designing the reporting system, including the composi-
tion of the report format (forms, charts, tables,
narrative outlines, etc.), the investigation of
methods used in other reporting systems, and the
determination of any equipment requirements.
3. Writingand issuing all necessary instructions, in-
cluding the development, writing, and issuance of the
implementing directive and other instructions.
4. Establishing source records, including the establish-
ment of complete records or parts of source records,
manual or mechanical, solely for the collection or
preparation of information for the reporting system.
5. Installing the reporting system, including training
assistance; answering technical questions; demon-
strating; testing; considering modifications
recommended; and working out modifications.
MAINTAINING THE REPORTING SYSTEM
6. Updating, the reporting system, including modification
of reporting requirements, system design, related
forms or charts, and written instructions.
I. Collecting data for the system, including preparation
of forms, questionnaires, etc.
Figure 9 (cont' d)
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8. Updating source records, including posting and filing
source records, manually or mechanically; punching or I
notching cards; typing records; and other types of
recordkeeping activity.
9. Preparing reports in the system, including compila-
tion or transcription of data from records, forms,
and other reports; calculation of quantities, ratios,
and averages; posting of data to worksheets; develop-
ment and preparation of narrative, statistical, form,
chart, or photographic information required for oral
or written reports; summarizing, refining, inter-
preting, and restructuring information to clarify its
meaning; and writing evaluations or recommendations
as an aid to the decision process.
10. Transmitting reports or data in the reporting system,
including significant mailing, routing, and logging;
transmission of data over Federal data networks; and
publishing of reports.
USING THE REPORTING _MM
11. Recording infoTma.tion at the receiving level, in-
cluding selection of data from reports received and
preparation or updating or records in the receiving
office.
Figure 9 (cont' (1)
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12. Reading, reviewing, analyzing, and discussing informa-
tion contained in reports received by officials,
supervisors, specialists, and. other agency employees;
participating in briefing sessions, as in a manage-
ment information center.
13. Preparing followup documents, including recording of
names of participants, matters discussed, and decisions
reached; writing, typing, correcting, and distributing
the official document to those responsible for action.
PROVIDING SPECIALIZED ASSISTANCE
14. Furnishing directly related staff service, including
the activities of a management information staff, a
reports management staff, or an internal or external
consultant staff used before and during the develop-
ment of a reporting system.
15. Furnishing indirectly related staff service,
including guidance obtained from the budget office;
accounting office; economists, statisticians, and
mathematicians; the planning, programming, and
budgeting system staff; manpower utilization
specialists; operations research specialists;
systems analysts; work measurement specialists.
Figure 9 (cont'd)
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Chapter 6
EXTERNAL REPORTING
Many agencies collect information from the public, either as a
part of an administrative program, or for general informational
purposes. This generally useful information, supplied by the
public, is used in many ways. A great deal of it goes into
statistical and economic analyses, which are published for the
public as well as for Government use. Some of it provides data
which guides agencies in carrying out their program responsibilities.
Special summaries of public reported information are often released
as a service to the broad economic interests of the Nation.
Guidelines for the collection of information from public sources
outside a Federal Agency are covered by the Office of Management
and Budget, Circular No. A-40 revised May 25, 1962 (Appendix C),
and Transmittal Memorandum No. 1, dated February 12, 1968
(Appendix U). That circular, issued under the authority of the
Federal Reports Act of 1942, provides for the Office of Management
and Budget to review and clear plans and report forms used by
Federal agencies in the collection of information from ten or
more non-Federal employees.
Some departments and agencies receive official requests from
intergovernmental organizations for statistical information.
Executive Order No. 10033 of February 8, 1949 provides for
determinations as to what statistical information will be
furnished to intergovernmental organizations, and as to which
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Federal executive agency or agencies will collect or make
available such information. The Office of Management and
Budget, Circular No. A-39 revised April 24, 1967 (Appendix E)
outlines the procedures to be followed in handling such
requests.
Interagency reporting is also discussed in this chapter,
for it is a form of external reporting when viewed from
the eyes of the supplying agency.
PUBLIC REPORTING
Agency Responsibilities. The sponsoring agency (or its
contractors) proposing to collect information from the public,
either as a part of an administrative program or for general
information purposes, must file with the Office of Management
and Budget, unless exempted, a request for clearance of
its proposal. This request, which is made on "Standard Form 83"
is accompanied by a draft of the form or plan used to collect
the information, together with instructions and related
materials. A supporting statement must accompany each request.
Internal Review Process. The responsible official should
satisfy himself as to the validity of the reporting require-
ment using the analysis techniques discussed earlier in this
handbook. Consideration will be given of the burden which
would be imposed on the respondent and whether the questions
are answerable from his records or knowledge. Special attention
is given to questions which may involve the issue of invasion
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of privacy or which would reflect adversely on the respondent. If
the data requested are of a confidential nature, consideration will
be given to the appropriateness of the pledge to the respondent
to maintain confidentiality, and the legal or administrative
procedure to be followed for carrying out such a pledge.
The Reporting Burden. The Congress is ever concerned about
agencies requiring information from the public -- its political
aspects, its recordkeeping requirements, and the invasion of privacy
involved. It is particularly concerned about duplication in
Federal reporting programs and about the costs of reporting imposed
on the public by Federal agencies. It was to reduce this burden
that the Congress passed the Federal Reports Act of 1942. Sub-
sequently, there were the Olson "Paperwork Jungle" hearings and
the Smathers small business hearings, along with the Second Hoover
Commission views on the public's burden. The extent of the
recordkeeping requirements involved can be found in the special
annual issue of the Federal Register listing how long required
documentation must be kept. There have been constant complaints
that agency instructions in this area are vague and indefinite.
Office of Management and Budget Clearance. Before information on
any scale can be obtained from the public, the approval of the
Office of Management and Budget is required. As a result of
Attachment A to Transmittal Memorandum No. 1, of Circular A-44,
Revised, issued in June 1970, (Appendix F) OMB w'i., have to be
given stronger justifications than previously before approval
can be granted.
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The Office of Management and Budget has adopted the following
list of "Practices to be Avoided in the Preparation of Federal
Reporting Forms" in an effort to be responsive to Congressional
wishes.
1. "Avoid asking for data which are not readily available
to the respondent.
2. "Avoid asking for data which cannot be prepared by
standard accounting processes.
3. "Avoid reporting requirements which fail to take into
account the limitations of the records of 'small busi-
ness' respondents.
4. "Avoid reporting requirements which fail to allow for the
specialization or location of records of very large
business respondents.
5. "Avoid making requests for information retroactive to
periods too far in the past.
6. "Avoid asking for the listing of individual transactions.
7. "Avoid reports intended to determine whether a respondent
is in violation of a regulation or to induce a violator
to attest to his own violation.
8. "Avoid questionnaires which convey information to management
or which stimulate management to an awareness of a Govern-
ment agency, its policy or its requirements.
9. "Never let a questionnaire fall below the established
standards for physical makeup.
10. "Avoid the issuance of new reporting forms and new
reporting and recordkeeping requirements which are not
accompanied by a statement as to the intended purposes
and uses to which the data will be put.
11. "Avoid making request for information when Government
facilities and staff for processing such requests are
not available.
12. "Avoid attempting to meet the Government's need for
information by collaborating in the collection of data
by a business organization such as a trade association,
until, as is required by the Federal Reports Act, the
Bureau of the Budget has approved the questionnaire
which is being 'sponsored' by a Federal agency."
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Standards for Designing Public Reporting Forms. The Office
of Management and Budget has also established standards which
they consider essential when designing reporting forms that
request information from the public. These standards are in
addition to those previously discussed in connection with other
reporting forms.
1. Essential Items Required on All Reporting Forms
? Agency identification and return address.
? Bureau of the Budget report approval number.
? Identification of respondent.
Postal ZIP Code of originating agency.
2. Other Items to Include if Needed
. Authority or basis for collection.
Confidential clause.
INTERGOVERNMENTAL REPOP,TIN
Agency Responsibilities. A department or agency receiving a
request for statistical information from intergovernmental or-
ganizations is to be guided by the procedures contained in
Circular No. A-39 revised April 24, 1967 (Appendix E). An.
"intergovernmental organization" means any international
organization of which the United States is a member.
The Office of Management and Budget has determined, that
statistical information may be provided in response to official
intergovernmental requests, without further action under Circular
A-39 revised, whenever:
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The statistical. information requested is contained in
a published document, or
. The information is clearly informal in character and
does not call for data for publication, citation in
official documents, direct use in intergovernmental
conferences or negotiations, or other specific uses of
a formal character.
The department or establishment receiving such an official
request has been determined by the Office of Management and
Budget to be the agency which will make such information available.
Special provisions are made in this same circular pertaining
to requests of international financial institutions.
Processing of and reviewing requests for statistical information
from intergovernmental organizations is logically a responsi-
bility of the agency's reports management office. Precautions
should be taken by the reviewer to insure full agency compliance
with the requirements of Circular A-39. Included in that
responsibility is the furnishing of additional supporting
material pertinent to the requests, including, the citation of
any budgetary restrictions, requirements of military security
or confidentiality, or other limitations which would prevent
substantial clearance by the Office of Management and Budget. As
in the procedure for review of public reporting requests, the
request and proposed report involves a careful examination. This
includes consultation with the officials who will supply the
data requested. The inquiry includes a look at the work load
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involved, and any problems associated with the preparation
of the requested data and the appropriateness of release of
the information.
INTERAGENCY REPORTING
Interagency reporting is any reporting which is required by
one department or agency having statutory or administrative
authority to require reports from one or more other depart-
ments or agenices. For example, the Civil Service Commission
in administering the Federal Civil Service Program, requires
certain personnel reports from agencies. The General Services
Administration being responsible for common procurement services
and the use of public buildings collects information on those
subjects from departments and agencies.
While the information required and the reporting formats are
prescribed by the requiring agencies, they are usually developed
in consultation with the reporting departments and agencies.
Preparing agencies and departments are encouraged by report-
requiring agencies, to submit constructive suggestions or recom-
mendations for the improvement of interagency reports. Especially
useful are estimates of the cost of the report to the participating
agencies and whether the report supplies any management information
of value to the participating agency. Such suggestions and
recommendations should, of course, be forwarded through proper
administrative channels.
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The fact that an interagency report is Congressionally required
is not, ipso facto, evidence of need. The requirement may
be quite old and no one may have approached the Congressional
Committee involved to see to what extent times or views have
changed.
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FEDERAL PROPERTY MANAGEMENT REGULATIONS
Part 101-1.. Records Management
Subpart 101-11. 2 Creation of Records
101-11. 207 Reports - Agency Program Responsibilities.
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, sta-
tistical, graphic, or other form.
b. Most reports of an agency can be classified as belonging to one of several well de-
fined 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 relation-
ships 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 require-
ments.
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.
R, 'Each Federal agency, in providing for effective controls over the creation of
records, is expected to establish an appropriate program for the management of
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85.
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agency reports (101-11. 201-1). The program will:
1. Establish and implement standards and procedures for the identification of
nianagenient information needed for planning and control.
2. Establish and implement standards and procedures for the design of manage-
ment information systems.
11 1
3. Establish and implement standards and procedures for the initiation, identi-
fication, 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 man-
power, 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.
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 implementation.
The following actions are generally basic to a reports management program:
a. Establish and maintain an inventory of reports for each agency management infor-
mation 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 manage-
ment value.
e. Require that each request for a new or revised report explain how the report will be
used.
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f. Require that each report be supported by a directive setting forLli instructions for
preparation and submission.
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Appendix B
MODEL REPORTS MANAGEMENT DIRECTIVE
Subject: Reports Management Program
Purpose. Reports are essential to the management and operation of this agency. Reports
management is required to assure that reports and reporting systems are as effective,
efficient, and economical as possible. This directive sets forth policies, responsibilities,
and procedures for the management of reports.
Policy. Management and operating officials at all levels need dependable information to
measure the accomplishment of objectives, and for advance planning purposes to improve
the effectiveness of programs, policies and procedures. It is this agency's policy that
this information shall be obtained through a systematically planned and administered manage-
ment reporting program that will assure: (1) adequacy, accuracy, timeliness, and usefulness
of the collected data, and (2) maximum efficiency and economy in collecting and disseminating
data.
Role of Reports in Management. Reports are an important means of communication in the
management process. Appropriate reported information is an important management tool
not only for managers of specific activities but for overall management as well. Reports
also serve as a primary source of information for planning and directing future programs.
Objectives of The Reports Management Program. The reports management program is
designed to help each manager carry out his responsibilities, at the same time achieving
maximum economy, uniformity, and simplicity in reporting systems. Inherent in this
aim are the fpllowing specific objectiyes:
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Provide meaningful and useful information for management, clearly presented.
Develop reporting simplicity, including practical limits on data reported,
frequency, and distribution.
Insure maximum timeliness and realistic due dates.
- Provide reporting that compares progress with stated operating program objectives.
- Eliminate non-essential reports and information; combine and simplify reports
wherever possible.
- Integrate reporting systems where feasible.
- Mechanize or automate reports, as applicable and economical.
Develop clear and adequate reporting instructions and forms, and
- Establish periodic follow-up on individual reports and reporting systems to determine
need and adequacy.
Definitions.
General Terms
a. Information. 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.
b. Report. A report is data or information, generally summarized, transmitted
for use in determining policy; planning, controlling, and evaluating operations
and performances; and preparing other reports. The data or information may
by in narrative, statistical, graphic, or other form.
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c. Reporting System. The means through which a report or related reports,
including the procedures, methods of preparing, and transmitting, achieves
either a single end result or supports a complete information system, a
portion of such system, or an operation.
2. Specific Terms
a. Departmental or Agency Report. A report required by a department or agency
to be submitted by activities under its jurisdiction.
b. Interagency Reporting. Any reporting which is.-Qoquired by one executive
department or agency having statutory or administrative authority to require
reports from one or more other departments or agencies.
c. External Report. A report required by an organization from departments,
agencies, organizations, or individuals outside the control of the requesting
d.
organization.
Feeder Report.
A term used to identify reports required for the sole purpose
of providing information needed in the preparation of other reports.
e.
One-time Report.
A report prepared one time only by one or more respondents.
f.
Recurring Report.
A report which conveys essentially the same type of infor-
mation regularly at prescribed intervals; e. g. daily, weekly, monthly,
annually etc.
g. Public Reporting. Any reporting required by the Federal Government from state
and local governments, businesses, or individuals which is subject to the pro-
visions of the Federal Reports Act. This definition is limited to administra-
tive forms and inquiries filled out by the- public, and excludes statistical public
reporting requirements (A-44)
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h. Required Report. A report which a particular office or organization requires
from another office or organization. The report is an incoming report to the
requiring office.
i. Revised Report. A report which is changed in any respect; e. g. format,
content, definitions, instructions, reporting procedures, preparing offices or
organizations, frequency, scheduling or routing.
j. Situation Report. A recurring report, which is prepared on each occurrence,
recurrea^e, or non-occurrence of an event or situation of certain prescribed
characteristics; E e. "a forest fire," "upon occurrence of an accident" etc.
k. Reports Symbol. A set of authorized letter abbreviations and/or numbers,
plus a serial number, which identifies a report.
1. Due Date. The date a report is to arrive at its prescribed destination.
RESPONSIBILITIES
Overall Direction.
The head of this agency and his national office staff direct the overall program. With-
in the overall policy and programs, regional directors andheads of subordinate offices are
responsible for effective reports management programs within their respective organizations.
Reports Management Officers.
Common responsibilities at each of the three organizational levels, national, regional,
and subordinate offices will be assigned to one Reports Management Officer (RMO) and an
alternate. Each individual designated as an RMO will, through his office, conduct the functions
described below in collaboration with operating and staff officials:
- Survey reporting requirements and coordinate the development of data collection
and reporting systems.
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Provide reporting requt meat analysis services.
- Review new and revised reports and assign reports symbols as appropriate.
- Maintain a current inventory of all reports.
- Observe area reports activities to assure compliance with the policies contained
in this and related agency instructions, to achieve the objectives of the reports
management program.
- Administer the reports clearance procedures within his area.
- Effect only authorized new or revised reporting requirements and arrange the
discontinuance of unnecessary or rescinded reports.
- Establish evaluation procedures necessary to improve the quality of reports.
- Make constructive recommendations and suggestions concerning the preparation
and use of reports.
- Suggest improvements in reports and reporting instructions to improve quality.
- Maintain liaison with staff offices and other agencies to assure maximum economy
and effectiveness in his organization's reporting program.
Program and Operations Managers will:
- Analyze and evaluate reporting requirements.
- Identify data needs.
- Recommend reports and system improvements.
Agency Reports Management Officer as head of the National Reports Management Office will:
- Identify categories of information to be exempted from reports control procedures.
- Develop and promote techniques to Improve the effectiveness of reports management
programs and activities throughout the agency.
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- Provide agency standards and guidelines for the -rg .tion and use of reports.
- Advise and assist regional offices and field activities in establishing and admin-
istering effective reports management programs and systems.
- Direct and coordinate periodic reviews of agency headquarters and field reports.
- Evaluate progress and summarize results of staff office and field reports manage-
ment programs.
Regional Directors and Heads of Subordinate Offices, as appropriate will:
- Establish a reports management program within his area.
- Issue appropriate directives implementing agency reports management policies. and
objectives.
- Establish internal controls to assure conformity with agency standards and program
objectives.
- Set up adequate systems for reviewing and clearing proposed reports.
- Periodically, or as requested by agency headquarters, conduct a systematic review
of all reports submitted by or to the region or major subordinate office to determine
whether any should be modified or discontinued.
- Designate an individual to act as Reports Management Officer and notify national head-
quarters of the designation.
Operating A Program
This section of a Reports Management directive should contain or make reference to
the instructions for the operation of a program. It is recognized that the extent and scope of
such instructions will vary among Government organizations. Furthermore, departments or
agencies, depending on their respective policies on directive issuances, will either Include
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the instructions:-as a part of this directive or may choose to issue a separate internal hand-
book covering the detailed operating features of the program. To serve a general purpose,
the operating instructions have been included in the body of this handbook and provide suf-
ficient material to assist each department or agency in establishing its respective program.
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Appendix C
EXECUTIVE OFFICE OF THE PRESIDENT
BUREAU OF THE BUDGET
WASHINGTON 25, D.C.
MAY 25, 1962 CIRCULAR NO. A-40
Revised
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Clearance of plans and report forms under the Federal
Reports Act
This revision of Circular No. A-40 replaces Circular No. A-40, dated
October 24, 1951. Paragraph 2e(1) has been revised to refer more
specifically to-reporting requirements. Standard Form No. 83
has been revised so that it can be used both as a request for
clearance and as a notice of action. The provision for requesting
extension of clearance by letter has been eliminated from paragraph 6.
Other minor clarifying changes have also been made.
1. Authority. This Circular, promulgated under the authority of
sections 3, 5, and 6 of the Federal Reports Act of 1942, provides
for the review and clearance of plans and report forms used by
Federal agencies in the collection of information.
2. Definitions. The following definitions are to be used for the
purposes of this Circular:
a. The term "Act" means the Federal Reports Act of 1942. Section
5 of the Act reads as follows:
"No Federal agency shall conduct or sponsor the collection of
information, upon identical items, from ten or more persons
(other than Federal employees considered as such) unless, in
advance of adoption or revision of any plans or forms to be
used in such collection,
"(a) The agency shall have submitted to the Director
such plans or forms, together with copies of such pertinent
regulations and other related materials as the Director
shall specify; and
"(b) The Director shall have stated that he does not
disapprove the proposed collection of information."
(No. A-40)
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2
b. The term "Federal agency" means any executive department,
commission, independent establishment, corporation owned or con-
trolled by the United States, board, bureau, division, service, office,
authority, or administration in the executive branch of the Government,
provided, that it does not include the government of the District of
Columbia or of any territory or possession of the United States, or
any subdivision of such a government; the General Accounting Office;
the Internal Revenue Service, the Office of the Comptroller of the
Currency, the Bureau of the Public Debt, the Bureau of Accounts,
or the Division of Foreign Assets Control of the Treasury Department;
or any Federal bank supervisory agency to the extent that such
agency obtains reports and information from banks as provided or
authorized by law and in the proper performance of its supervisory
functions.
c. The term "Director" means the Director of the Bureau of the
Budget. The term "Assistant Director" means the Assistant Director
of the Bureau of the Budget for Statistical Standards or his
designated representative.
d. The term "report form" means any application form or other
administrative report form, questionnaire, telegraphic request, or
other similar device for the collection of information.
e. The term "plan" means:
(1) Any general or specific requirement for the reporting
of Information or the establishment or maintenance of records
(including systems of accounts and systems of classification) which
are to be used or be available for use in the collection of informa-
tion.
(2) Any requirement or instruction affecting the content,
preparation, return, or use of a plan or report form.
(3) Any contract or agreement which will result in the
collection of information on identical items by or for the contractor
from ten or more respondents.
f. The term "requirement" will be deemed to include a recommenda-
tion, order, regulation, or directive, but will not apply to the
imposition of a general duty to maintain such records, or submit
such reports, as may be thereafter or otherwise specifically prescribed
by appropriate authority.. Such a general requirement will, however,
state that specific recording or reporting requirements subsequently
prescribed will be "subject to the approval of the Bureau of the
Budget pursuant to the Federal Reports Act of 1912."
(No. A-40)
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g. The term "information" means facts or opinions obtained or
made available by the use of a plan or report form.
h. "Clearance" of a plan or report form means (1) a determination
that the information to be sought or provided is reasonably needed by
the Federal agency concerned, in the proper performance of its functions,
and (2) authorization to use the plan or report form in the collection
or recording of such information in the manner proposed, or on such
other conditions as the Assistant Director may prescribe, with an
approval number, notation, or other appropriate means to indicate
clearance. Such clearance will constitute a declaration by the
Director, in accordance with section 5 of the Act, that he does not
disapprove the collection of information in the manner proposed.
Unless the agency is otherwise notified, a withholding of clearance
will constitute a determination in pursuance of section 3(d) of the
Act that the collection of information in the manner proposed is
unnecessary.
i. The term "person" means any corporation, company, association,
firm, partnership, society, or joint-stock company, as well as an
individual, and any State or territorial government or branch thereof,
any political subdivision of any State or territory, or any branch
of any such political subdivision.
J. The term "respondent" means any person or any agency or
employee or instrumentality of the Federal Government, from which
information is obtained or requested on a plan or report form. The
term applies irrespective of whether the individual or organization
is located within or outside the United States.
k. Any plan or report form is deemed to be "used" by an agency
when its use is wholly or partly sponsored, controlled, or contracted
for by the agency. Among the types of sponsorship which are covered
are situations in which the plan or report form is developed or put
into use at the request of, order of, by virtue of a research grant
from, or under contract with, a Federal agency. In these circumstances,
a Federal agency will be regarded equally as sponsor with regard to
work done by contractors and subcontractors.
1. "Unnecessary duplication" is deemed to exist in the collection
of information if the duplicating activities involve either identical
information or similar information which is adequate for the intended
use.
3. Clearance requirements.
a. General requirements of clearance. No plan or report form (as
herein limited or described) is to be used or prescribed by a Federal
agency in the collection or recording of information without first
(No. A-40)
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4
obtaining clearance from the Assistant Director and inscribing thereon
an approval number or notation. Paragraphs 3, 4, 5 and 6 of this
Circular apply only to (1) plans and report forms which call for
information of an identical nature (or the recording thereof) from
ten or more persons other than Federal employees considered as such,
and (2) report forms which call for information of an identical
nature from agencies, employees, or instrumentalities of the Federal
Government, which is to be used for statistical compilations of
general public interest, including compilations showing the status
or implementation of Federal activities and programs.
b. Responsibility of agent sponsoring collection of information.
Whenever a Federal agency sponsors the use of a plan or report form
by research grantees, contractors, and other sponsored collectors of
information, including sponsoring a request for data to be obtained
by others, it will be the agency's duty:
(1) To inform the sponsored collector of information of
the requirements of this Circular;
(2) To insure that the submittal required by paragraph 4a
of this Circular is made; and
(3) To insure that the plan or report form is not used without
clearance.
c. Evidence of clearance for report forms. Clearance of a report
form will be evidenced by printing or inscribing on each copy so used,
in the upper right-hand corner of the first page, an approval number
assigned to it by the Assistant Director, in the following manner:
(1)'
When no time limit is assigned to the use of the report
Form Approved
Budget Bureau No.
00-ROO
(2)
When a time limit is assigned to the use of the report
Budget Bureau No. 00-ROO
Approval. Expires (date)
d. Evidence of clearance for plans. Clearance of plans for use in
the collection or recording of information will be evidenced by printing
or inscribing on each plan so used one of the following endorsements
or such other means as may be required by the Assistant Director:
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(1) "The...(record-keeping, reporting, or other requirements)
of this...(regulation or the like) have been approved by the Bureau of
the Budget in accordance with the Federal Reports Act of 1942."
(2) "This ... (record-keeping, reporting, or other requirement)
has been approved by the Bureau of the Budget in accordance with the
Federal Reports Act of 1942."
e. Termination of clearance and use. No plan or report form
subject to paragraph 3a is to be used after its expiration date
without resubmittal and prior clearance. Moreover, clearance of any
plan or report form subject to paragraph 3a may be withdrawn by the
Assistant Director, in which event the use of the plan or report form
will be discontinued.
4. Request fqr clearance for new plans and report forms.
a. Submittal for clearance. In order to obtain review and
clearance, the agency will submit two copies of the plan or report
form to the Assistant Director in time to allow for adequate review
and the adoption of any necessary alterations (including coordination
or integration with other plans and report forms) without delaying
the operating program to which the plan or report form relates. Such
submittal will be accompanied by the required number of copies of
Standard Form No. 83, appropriately filled out, and such other data
as the Assistant Director may require. Ordinarily, the submittal
will not need to be accompanied by a letter, as Standard Form No. 83
is itself a request for clearance. Standard and optional forms, which
are subject to the Federal Reports Act of 1942, shall be submitted
for clearance in accordance with the procedures outlined in Bureau
of the Budget Circular No. A-17. Standard Form No. 83 may be secured
from the Federal Supply Service, General Services Administration.
b. Other material to be submitted. In addition to the foregoing,
there will be submitted for examination or clearance such other material
pertaining to the collection, processing, tabulation, analysis, or
publication of information as may be required by the Assistant Director.
c. Consideration of practical utility. To minimize the reporting
burden on respondents, especially individuals and small business
enterprises, and to improve governmental efficiency, each Federal
agency will consider and determine, in connection with each plan or
report form submitted, whether the proposed plan or report form
exceeds the limits of reasonable need or practical utility, either
with respect to number of respondents, frequency of collection, or
number and difficulty of the items, and whether all of the items
of information to be furnished or recorded are essential to the central
purpose of such plan or report form. Clearance of plans and report
forms will be withheld whenever it appears to the Assistant Director
that this requirement has not been met.
(No. A-40)
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5. Request for clearance for revised plans and report forms. Before
a material revision or change is made in an approved plan or report
form or one for which clearance is required, or in the use thereof,
further clearance will be obtained from the Bureau of the Budget in
the manner prescribed in this Circular, by submitting pertinent
data or explanation on Standard Form No. 83. A material revision
or change in a plan or report form or the use thereof, necessitating
further clearance, will include any revision in (a) the kind or
amount of information sought, (b) the number or identity of
respondents, or (c) the time or frequency of reporting. It will
also include a transfer of the duty or function of collecting,
processing, or tabulating the information, either into, or out of,
or within a Federal agency.
6. Request for extension of clearance. If use of a plan or report
form beyond a pcheduled expiration date is desired, without material
revision or change, the request for an extension of clearance will
be made on Standard Form No. 83-
7. Use of exempt forms.
a. Granting of exemptions. Exemption from clearance may be
granted by the Assistant Director with respect to affidavits, oaths,
certifications, and other plans and report forms which do not call
for information of substantial volume or importance.
b. Advisory review. Any form or reporting requirement for which
clearance is not required by this Circular may be submitted to the
Assistant Director for advisory review and, when desired, assignment
of an approval number or other means of clearance. This provision
refers to:
(1) Plans and report forms used by an agency that are not
subject to this Circular, and those which are used in the collection
(or recording) of information from fewer than ten persons or in other
circumstances not covered by paragraph 3a.
(2) Forms and reporting requirements other than those
defined as report forms and plans.
c. Notation on exempt forms. In order to facilitate compliance
with forms and reporting requirements for which clearance is not
required by this Circular, or with respect to which exemption may have
been granted by the Assistant Director, the following notation may
be recorded, preferably in the upper right-hand corner of the first
page of the form:
Approval of Budget Bureau
not required
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d. Termination of exemption. The use of the foregoing notation
will be discontinued, and an approval number or other appropriate
means of clearance will be required, whenever it is determined by the
Assistant Director that the plan, report form, or other request for
data is within the purview of paragraph 3a of this Circular.
8. Deviation from terms of clearance. No deviation is to be made
in the use of any plan or report form, or any means of clearance,
from the terms and conditions on which clearance has been granted.
9. Notice of discontinuance. Whenever the use of a plan or report
form to which an approval number has been assigned is discontinued,
except by expiration of a time limit fixed in pursuance of paragraph
3c, the Assistant Director is to be notified by the responsible agency.
10. Records and reports. Each Federal agency will afford the Assistant
Director access to its records concerning the status and use of each
plan or report form, and make such improvements in such records
and reports as the Assistant Director prescribes.
11. Exercise of authority.
a. Delegation of Director's authority. The authority conferred
by the Act on the Director may be exercised by the Assistant Director
to the extent necessary or appropriate for the performance of any
function or duty prescribed by this Circular.
b. Determination of scope. The determination of the Assistant
Director as to whether any plan, report form, activity, or other
matter is within the scope of the Act or this Circular will be
controlling.
c. Waivers. Any provision of this Circular may be waived in
writing by the Assistant Director.
12. Relation to existing authority. This Circular will not be deemed
to limit or preclude exercise of the authority vested in the Bureau
of the Budget by Executive Order 8248, Executive Order 10033, Executive
Order 10253, or otherwise, to plan and promote the improvement,
ievelopment, and coordination of Federal and other statistical
services.
DAVID E. HELL
Director
.(No. A-4o )
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 STANDARD FORPAfp}=
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Bureau of the Budget
For Documents Requiring Approval Under Bureau of the Budget Circulars No. A-40 and A-11
REVERSE SIDE
83-104
Leave this space blank
NOTE: For clearance under Circular No. A-40, submit three copies, and under Circular No. A-17 four copier,
Leave this apace blank
of this request to the Bureau of the Budget. For each duplicate notice of action desired by the submitting
agency, an additional copy should be submitted, Attach Iwo copies of (1) the material submitted for
clearance, (2) the supporting statement described in inauvetions, and (3) any supplementary documents,
such as instructions, covering letters, summary of tabuluiion plans, etc.
1. NAME AND ADDRESS OF OFFICE TO WHICH NOTICE OF ACTION SHOULD BE SENT
P
2. CURRENT APPROVAL NO.
3. CURRENT EXPIRATION DATE
L
J
4. SUGGESTED EXP. DATE
5a. DEPARTMENT OR AGENCY SUBMITTING REQUEST
5b. BUREAU AND DIVISION ORIGINATING REQUEST
6. NAME OF PERSON WITH WHOM BUDGET BUREAU REVIEWER SHOULD CONFER
7. TELEPHONE CODE AND EXTENSION
8. TITLE OF FORM OR OTHER DOCUMENT SUBMITTED
9. FORM NO. (Agency, Standard or Optional)
10. RELATED FORMS, REQUIREMENTS, ETC. (Identify any to be replaced)
11. TYPE OF DOCUMENT SUBMITTED ("X" ONE) OTHER (Specify):
^ FORM ^ REPORTING OR RECORD.KEEPING REQUIREMENT ^
12. EDITION ("X" ONE)
^ NEW ^ REVISED ^ EXTENSION-NO CHANGE
13. FREQUENCY OF USE ("X" ONE)
^ ANNUAL 0 QUARTERLY ^ MONTHLY ^ WEEKLY ^ ON OCCASION _^ SINGLE TIME
^ OTHER (Specify) ___-------- --------- _______________________
14. REPORTING METHOD ("X" ONE)
^ MAIL ^ PERSONAL INTERVIEW
^ OTHER (Specify) --------------------------------------
15. ACTUAL OR ESTIMATED COVERAGE: 16. SUPPORTING STATEMENT ("X" ONE)
NUMBER ^ NEW STATEMENT ATTACHED
IF SAMPLE SURVEY, NUMBER IN UNIVERSE ^PREVIOUS STATEMENT APPLICABLE
17. SIGNATURE AND TITLE OF APPROVING OFFICIAL FOR ORIGINATING OFFICE --
18. DATE SIGNED v
19. SIGNATURE AND TITLE OF OFFICIAL SUBMITTING REQUEST TO BUREAU OF THE BUDGET
20. DATE SIGNED
(To be completed by Bureau of the Budget)
In accordance with the provisions of Bureau of the Budget Circulars No. A-40 and A-17, the action indicated below has
been taken with respect to the above request. In the case of 1 or 2 below, the information appearing in the box must ap-
pear in the upper right corner of the document. In the case of 3, it must appear somewhere in the document. For a
standard or optional form, the form number and edition date shown in 4 must appear on the form, preferably in the upper
left corner, with the name of the promulgating agency and reference to its directive governing use of the form. After re-
production of form or document, send two copies to this office.
1. ^ Approved.
FORM APPROVED.
UD ET BUREAU
The reporting and/or record-keeping requirements contained
herein have been approved by the Bureau of the Budget in
accordance with the Federal Reports Act of 1942.
STANDARD FORM NO. ______.______ DATE --------------------------------
OPTIONAL FORM NO --------------- DATE -------------------------------
EXCEPTION TO STANDARD FORM NO. ________________ DATE --------------
5. ^ Disapproved or other action. (See "Remarks")
Remarks :
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INSTRUCTIONS FOR COMPLETING STANDARD FORM 83
Documents Requiring Approval. This form is to be used for re-
questing clearance of all documents requiring approval under
Bureau of the Budget Circular No. A-40 (Revised), Clearance
of Plans and Report Forms under the Federal Reports Act,
and Circular No. A--17 (Revised), Clearance of Standard and
Optional Forms. The term "document" refers to report forms
and to orders, regulations or other directives which include
requirements to submit reports or to maintain records. It also
refers to any supplementary documents, such as instructions,
covering letters, tabulation plans, etc. Contracts or agree-
roonts under which a Federal agency sponsors the collection of
information, and the forms, plans or requirements growing out
of such contracts or agreements, are also subject to clearance.
Item 1-Enter name and address of office responsible for final
clearance of request within the department or agency and
for transmittal to the Bureau of the Budget. The notice
of action will be returned to the address shown.
Item 2-For a request for approval of a revision or an exten-
sion, enter the current Budget Bureau approval number.
For new requests, leave blank.
Item 3-Enter the expiration date last assigned, if any.
Item 4-The originating office should suggest an expiration
date for the approval being requested. Documents that
have been in use for some time and for which early revisions
are not contemplated, may he approved for periods up to fi
years. Single-time forms are approved for periods suffi-
ciently long to permit the collection of the information.
Items 5a and Sb--Enter name of department or agency, and the
bureau and division or other corresponding office originat-
ing the request and responsible for developing the forms,
plans, regulations, etc.
Item 6-The person who is familiar with the document being
cleared and who can answer questions about it.
Item 7-The code and extension or other telephone number of
the person named in item 6.
Item 8-The title which appears on the form or document in
sufficient detail to be easily identified. If it has no title,
enter a descriptive phrase.
Item 9-The number or other symbol assigned to the form or
document by the agency. If a revision of standard or op-
tional form, enter the number assigned by the Bureau of
the Budget. For new standard or optional form, leave
blank.
Item 10-Enter either the Budget Bureau approval number,
the agency number, or the title of any related forms or
documents, e.g., forms of agency collecting similar infor-
mation for a different period of time or from a different
group of respondents. Any of these forms which are to
be replaced by the form covered by the request for clearance
must be identified.
A supporting statement must accompany each request for clear-
ance unless the request is for extension of approval without
change, in whichcase the last previous statement will be con-
sidered applicable if so indicated in item 16. The supporting
statement should include the following:
A. Justification of form or other document (or revision thereof)
in its relation to operating or research programs
1. Describe the situation or problem which makes the col-
lection of the information necessary and indicate by whom
and how the data will be used. If the request covers a re-
vision of an existing form or document, it is necessary only
to identify the changes to be made and state the reasons
for making them. In such cases, attach two copies of the
form or document now in use in addition to the required
copies of the revised form.
2. Explain the relationship of the forms or documents
covered by this request to any listed under item 10.
3. If the data are to be collected on a regularly repetitive
basis, explain the need for the frequency of collection
planned.
Justification of method used in selecting and contacting those
to be covered
1. For statistical surveys, identify the type of individuals
or organizations to be covered, describe the plan used in
selecting them, and .justify the method to be used in con-
tacting them. This should include plans for pretesting
forms or requirements before actual use and for following
up in cases where replies are not received. (See Bureau
of the Budget Circular No. A-46, Exhibit A, Standards for
Item 11--The term "form" includes any application form or
other administrative report form, questionnaire, schedule,
telegraphic request, or other similar device for the collec-
tion of information. "Reporting or record-keeping re-
quirements" refers to any order, regulation, or other di-
rective containing' requirements to submit reports or main-
tain records. Contracts or agreements under which a
Federal agency is sponsoring the collection of information
should be entered tinder "other."
Item 12-Check "new" if the form or document has never been
submitted for eji-arance before. Check "revised" if any
substantive changoos are being made in an approved form
currently in use. All such changes are subject to approval
as soon as they are made even if the current approval has
not expired. Chock "extension" if no changes are being
made or if they are of a very minor nature, such as changes
in dates.
Item 13-Check "annual," "monthly," etc., for regularly repeti-
tive forms; "on occasion" for forms used if, as, and when
required (such as most application and registration
forms) ; and "single time" for forms which are nonrepeti-
tive or of nonconti ruing use.
Item 14--Check the appropriate box to indicate whether the in-
formation is being; obtained by mailing a form to the re-
spondent or by n Bans of a face-to-face interview. If other
means are to be rived, check "other" and specify.
Item 15--For applications and other administrative forms, esti-
mate the numbet (exclusive of duplicate originals) to be
used in a stated time period, e.g., 3,000 per year, 20 per
month, etc. In the case of statistical surveys, give the
number to be contacted. If it is a sample survey, also re-
port the total number in the universe from which the
sample was selected.
Item 16-- Indicate whither a supporting statement is attached
or that the previpnis statement submitted is still applicable.
(See instructions for supporting statement, below.)
Items 17 and 18--The.;e spaces are provided for the signature
and title of the person in the originating office who normally
approves forms and survey plans, and the date signed.
Items 19 and 20--Thi-:;e spaces are for the signature and title
of the person responsible for submitting the request for
clearance to the Bureau of the Budget, if this person is
different from the one signing in item 17. In agencies hav-
ing central clearance units, the person heading such unit
would sign here.
Notice of Action. This part of the form will be completed by
the Bureau of the Budget. When this section of the form has
been completed and signed, the number of copiesrequired by
the agency will be returned to the office designated in item 1.
STATEMENT
Brief description of plans for collection, tabulation and
publication
1. For single-time forms, indicate when the collection of
information will begin and end. Also provide any other
facts about the collection phase that are pertinent to a
proper evaluation ?af the project.
2. A summary of the tabulation plans should accompany
the request for clearance or be described briefly in the
supporting statement.
3. Indicate briefly the plans for publication, such as time,
type and content. If any data collected are not to be pub-
lished, give reasons. (See Standards for the Publication
of Statistical Data, Bureau of the Budget.)
Documentation of consultation with those supplying data,
users of the data, and others
1. Give names of individuals outside of the sponsoring
bureau with whom this material has been discussed, and
indicate agencies, organizations or companies which they
represent. Summarize any major problems on which
agreement could not be reached.
2. To allow proper consideration of the burden which
would be imposed on the respondent and to relate it to the
need for the information to be reported, supporting state-
ments for new or substantially revised forms or require-
ments should include any significant data that may be
available to the submitting agency on the expected burden
on those being asked to supply the information. These
may be data obtained through consultation with potential
respondents or estimates of average cost based on previous
experience. Cost in terms of manhours is preferred, and
Statistical Surveys.)
2. For application, registration, and other administrative
di-
thb source of the data should be indicated. Unless so di-
that will identify
use se them. . AWr8v iF61 e1rbSW utTi 1/o1 for the
that 106
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Appendix D
EXECUTIVE OFFICE OF THE PRESIDENT
BUREAU OF THE BUDGET
WASHINGTON, D.C. 20503
February 12, 1968
CIRCULAR NO. A-40
Revised
Transmittal Memorandum No. 1
TO THE BEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Clearance of plans and report forms under the Federal
Reports Act
1. Purpose. This Transmittal Memorandum amends paragraph 2.k. of
the Circular as revised May 25, 1962, to provide that the "Clearance
requirements" of paragraph 3 will apply to data collection by a con-
tractor, subcontractor, or grantee of a Federal agency only if the
specific purpose of the contract or grant is to secure for the Fed-
eral agency the data to be collected through a plan or report form,
and not if the purpose is to support research or other activities
to which the collection of the data is incidental.
2. Amendment. Paragraph 2.k. is amended to read as follows:
k. A plan or report form is deemed to be "used" by a Federal
agency if the agency itself employs the plan or form or if it spon-
sors the employment of the plan or form by others. A plan or re-
port form is deemed to be "sponsored" by a Federal agency if the
information requested through the plan or report form is collected
at the request of the agency by a contractor or subcontractor, a
grantee, or any other person. Whenever the purpose of a contract
or grant by a Federal agency is to secure information collected
through a plan or report form, the plan or report form will be deem-
ed to be sponsored by the agency even though no indication is given
to respondents that the information is being collected for the Fed-
eral Government.
A plan or report form used by a contractor, subcontractor, or
grantee of an agency will not be deemed to be sponsored by the agen-
cy if the contract or grant is made for the support of research or
for other general purposes and not for the specific purpose of ob-
taining the information which would be collected through the plan
or report form. A contractor, subcontractor, or grantee collecting
information from the public on his own initiative in connection with
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a research or other general-purpose project must not in any way rep-
resent that the information is being collected by or for the Federal
agency. The terms and conditions of contracts and grants should be
set forth in such a manner as to give contractors and grantees ad-
equate notice of this prohibition.
3. Effective date. The amendment is effective on the date of this
Transmittal Memorandum.
PriILLIP S. HUGHES
Acting Director
(No. A-40' )
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 Appendix E
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EXECUTIVE OFFICE OF THE PRESIDENT
BUREAU OF THE BUDGET
WASHINGTON, D.C. 20503
April 211., 1967 CIRCULAR NO.. A-39
Revised
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Providing of statistical information to intergovernmental
organizations
1. Purpose. This Circular outlines the. procedures to be followed by
all departments and establishments in dealing with official requests
from intergovernmental organizations for statistical information.
This revision replaces Circular No. A-39, dated April. l+, 1949. The
revision broadens the definition of "intergovernmental organization"
to include any international organization of which the United States
is a member; the list of specific organizations contained in Appendix I
of the 1949 Circular is therefore eliminated. The revision also modifies
the definition of "statistical information" and certain of the procedural
requirements previously specified.
2. Authority. This Circular is issued under the authority of Executive
Order No. 10033 of February 8, 1919. That Order provides for determina-
tions as to what statistical information will be provided to inter-
governmental organizations, and as to which Federal executive agency or
agencies will collect or make available such information.
3. Definitions. The following definitions will apply for purposes
of this Circular:
a. "Statistical information" means any kind of summary numerical
data other than technical data in engineering, physical, or biological
science fields.
b. "Intergovernmental organization" means any international
organization of which the United States is a member.
c. "Official request" means any statistical questionnaire, or
any other form of request or inquiry from an intergovernmental
organization calling for statistical information, including ad hoc
or single-time requests as well as repetitive or periodic requests.
d. "Assistant Director" means the Assistant Director for
Statistical Standards, Bureau of the Budget.
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4. Authority of Assistant Director. The Assistant Director is hereby
authorized to exercise, in accordance with the provisions of this
Circular, the authority which Executive Order No. 10033 confers upon
the Director of the Bureau of the Budget, and the authority conferred
on the Assistant Director by this Circular may be exercised by such
persons as he may designate. The Assistant Director may waive any
requirement of this Circular, except that requirements of paragraph 8
may be waived only with the concurrence of the National Advisory Council
on International Monetary and Financial Policies. The Assistant Director
may also revoke or modify any approval granted or determination made by
him under the Circular. In making determinations authorized under this
Circular, the Assistant Director is responsible for necessary consultation
and clearance with appropriate Federal executive agencies.
5. Processing of requests. Except as provided in paragraphs 6, 7, 8, and
9, any statistical information furnished to an intergovernmental organi-
zation by any department or establishment in response to an official
request will be furnished only pursuant to a prior determination by
the Assistant Director in accordance with the provisions of this
Circular, and such requests will be dealt with in the following manner:
a. Submittal of requests. Information concerning all such
requests will be submitted promptly to the Assistant Director including,
as appropriate, the identity of the organization making the request;
the nature of the information requested; the views, if any, of the
department or establishment on whether or how the request should be
answered; and identification of any statistics which the department
or establishment proposes to submit in response to the request (but
not necessarily the actual statistics).
Such information will ordinarily be submitted by letter or memorandum
to the Assistant Director, but may be submitted orally in special
circumstances or in the case of simple or routine requests.
b. Assistant Director's action regarding requests. The Assistant
Director will determine--with the concurrence of the Secretary of State--
what statistical information will be provided in response to such requests
and will determine which departments and establishments will supply the
information. Such determination may cover the continuing transmittal
of recurrent data (for example, the transmittal of monthly data as they
become available) and will continue in effect until otherwise determined
by the Assistant Director.
The Assistant Director will promptly inform the departments and
establishments concerned of his determination.
6. Advance determinations. It is hereby determined that statistical
information may be provided in response to official requests, without
further action under this Circular, whenever (a) the statistical
information requested is contained in a published document, or (b) the
request is clearly informal in character and does not call for data for
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publication, citation in official documents, direct use in intergovernmental
conferences or negotiations, or other specific uses of a formal character.
The department or establishment receiving such an official request is
hereby determined to be the agency which will make such information
available.
7. Existing arrangements for transmittal of recurrent data. Until
otherwise determined by the Assistant Director, existing arrangements
for the recurrent transmittal of statistical information to inter-
governmental organizations are hereby approved.
Any department or establishment having such an arrangement resulting
from an official request. received prior to the date of this revision
and not previously approved in accordance with the provisions of this
Circular will, within sixty days of the date hereof, notify the
Assistant Director in writing of the existence of such arrangement
and will subsequently submit such further information concerning
the arrangement as he may require.
8. Requests from the International Monetary Fund, the International
Bank for Reconstruction and Development, and other international
financial institutions.
a. Under the provisions of Executive Order No. 10033 and
Executive Order No. 11269, the National Advisory Council on International
Monetary and Financial Policies is responsible for determining--after
consultation with the Director of the Bureau of the Budget--what
information is essential in order that the United States Government may
comply with official requests for information received from the Inter-
national Monetary Fund, the International Bank for Reconstruction and
Development, and other intergovernmental organizations the policy
coordination of which is the responsibility of the National Advisory
Council.
b. The National Advisory Council has informed the Bureau of the
Budget that the definitions in paragraph 3, the advance determinations
effected by paragraph 6, and the procedures prescribed by paragraph 7
of this Circular will be equally applicable insofar as determinations
by the National Advisory Council are required by Executive Order
No. 10033. The Council has also informed the Bureau that all request
subject to this paragraph of this Circular will be dealt with in the
following manner:
(1) Any department or establishment which receiv,s official
request for information from an intergovernmental organizatio:..; referred
to in paragraph 8a will send promptly to the Counci' a s+ 'pm ,mt or
outline of the request, in duplicate, and may also su% .ie Council
its recommendations as to the response to be made
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(2) The National Advisory Council will determine, after
consultation with the Assistant Director, what information is essential
in order that the United States Government may comply with such request,
and will notify the department or establishment concerned.
(3) The Assistant Director will determine which department
or establishment will collect or make available such information.
Such department or establishment will consult with the Council as to
the manner and form in which the information will be collected and
prepared.
(4) After the information has been collected and prepared in
the manner and form prescribed by the Council, it will be submitted to
the Council for presentation to the intergovernmental organization
concerned.
9. Special arrangements. The Assistant Director may make special
arrangements in furtherance of the purposes of Executive Order
No. 10033 with any department or establishment or any interdepartmental
body to which has been assigned special responsibility relating to an
intergovernmental organization.
10. Channels for communication. Section 1 of Executive Order
No. 10033 provides that statistical information prepared in response
to official requests from intergovernmental organizations (except
the organizations referred to in paragraph 8) will be transmitted to
the requesting intergovernmental organizations through established
channels by the Secretary of State or by the Federal executive agency
authorized by the Secretary to transmit such information. The Bureau
of the Budget has been informed that the Department of State intends
to maintain established channels of communication for this purpose.
The Assistant Director will notify the affected departments and
establishments, in connection with his determinations under this
Circular, of any changes by the Department of State with respect to
channels of communication.
11. Material requested by Assistant Director. Each department or
establishment will furnish to the Assistant Director such additional
material pertaining to requests for information which are within the
purview of this Circular as he may from time to time require. The
department or establishment will notify the Assistant Director in
writing of any budgetary restrictions, requirements of military
security or confidentiality, or any other limitation which prevents
substantial compliance with a determination by the Assistant Director
under this Circular.
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12. Plans and report forms. A determination or approval by the
Assistant Director under this Circular with respect to any matter
involving the use of a plan or report form which is subject to
clearance by him under Circular No. A-40 does not include clearance
of the plan or report form unless the Assistant Director expressly
so states.
PHILLIP S. HUGHES
Acting Director
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EXECUTIVE OFFICE OF THE PRESIDENT
BUREAU OF THE BUDGET
WASHINGTON. D.C. 20503
June 17, 1970
CIRCULAR NO. A-44
Revised
Transmittal Memorandum No. 1
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS
SUBJECT: Government-wide study to improve Federal reporting and
reduce related paperwork
1. Pu ose. A major element of the Government-wide management improve-
ment program, as described in Bureau of the Budget Circular No. A-44,
Revised (February 16, 1970), paragraph 7, is the periodic selection of
common operational areas for Government-wide study. This Transmittal
Memorandum sets forth the policy and procedures to be followed by depart-
ments and agencies for conducting the first of these--a Government-wide
study to improve Federal reporting and reduce related paperwork. The
study will involve three types of reporting: public, interagency, and
internal reporting.
Attachment A describes in detail the responsibilities assigned and the
actions required in conducting the study. The Bureau of the Budget,
with the assistance of the General Services Administration, will provide
project direction and coordination for this study.
2. Coverage and effective date. This Transmittal Memorandum applies
to all departments and agencies and is effective immediately.
ROBERT P. MAYO
Director
Attachments
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11.4
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ATTACQOOA09-1
Circular No. A-44
Revised
Transmittal Memorandum No. 1
GOVERNMENT-WIDE STUDY TO IMPROVE REPORTING AND REDUCE RELATED PAPERWORK
1. Objectives of the study. The objectives of this study are to improve
reporting, reduce related paperwork, and eliminate unjustified reporting
requirements and associated reporting systems. The specific Government-
wide goals are:
A reduction of five million man-hours in the time expended
by the public in filling out administrative forms and
inquiries which are subject to clearance under the Federal
Reports Act (44 U.S.C. 3501-3511).
A $200 million reduction in funds expended by the executive
branch for reporting and related paperwork.
2. Definitions. For the purposes of this study, the following defini-
tions will be utilized:
a. Reporting system. All systems for the processing of documents
or transmissions of data which are used to set goals, fix priorities,
schedule operations, allocate resources, measure results, provide infor-
mation, and improve efficiency. Systems include all related reports,
forms, records, directives, instructions, and processing and collection
techniques, whether mechanical or manual.
b. Report. Any documents or transmission of data on a recurring,
regular, or periodic basis. Reports may be in narrative, tabular,
graphic, questionnaire, punched card, tape, or other forms.
c. Public reporting. Any reporting required by the Federal Govern-
ment from State and local governments, businesses, or individuals which
is subject to the provisions of the Federal Reports Act. This definition
is limited to administrative forms and inquiries filled out by the pub-
lic, and excludes statistical public reporting requirements.
d. Interagency reporting. Any reporting which is required by one
executive department or agency having statutory or administrative auth-
ority to require reports from one or more other departments and
agencies.
e. Internal reporting. Any reporting which is required by and
prepared within the same department or agency. Significant internal
reports are those which are utilized throughout or draw information
from a major organizational element of a department or agency, or
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2
those reports which are submitted by field activities and offices
to the headquarters of a department or agency.
f. Project Director. The top management official designated
by the head of each department or agency to be responsible for this
study within his department or agency.
g. Reports identification. The process whereby a department
or agency Project Director determines the individual reporting systems
and reports within the agency and establishes a base line of dollars
and man-hours associated with each. The base line information is
to be used in measuring cost effectiveness and projecting improvement
goals.
h. Reports justification. The process whereby a department or
agency Project Director reviews a reporting system and its component
parts, and finds that it provides necessary information and is operating
in a technically acceptable manner. Justification responsibility may
not be delegated.
i. Reports certification. The process whereby a department or
agency head certifies a reports justification as valid. Certification
responsibility may not be delegated below the Assistant Secretary level
or its equivalent.
J. Reports cancellation. The process whereby a department or
agency terminates a reporting system or some of its component parts.
3. Scope of the study. The study will include:
a. review of public, interagency, and significant internal
reporting requirements,
b. review of organization, functions, and resources utilized for
reporting systems and reports management and the recommendation of
improvements,
c. research and development studies to formulate future plans for
reporting systems and related paperwork, and
d. review of Government-wide statistical public reporting to eval-
uate requirements for economic and social statistics.
4. Responsibilities.
a. Departments and agencies. Each department and agency will:
(1) Identify the public, interagency, and significant internal
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reporting and related paperwork improvements in the management effective-
ness section of annual management improvement reports (See paragraph 3,
and Attachment A, Circular No. A-44 Revised, February 16, 1970).
b. Bureau of the Budget. The Bureau of the Budget will:
(1) Establish an Interagency Steering Group, consisting of top
level administrative personnel from the General Services Administration
and four other agencies to advise on the general direction for this
study. The Interagency Steering Group will appoint a task force to con-
duct a study of the adequacy of the organization, functions, and
resources for reporting systems and reports management in the
departments and agencies. The Steering Group will transmit the findings
and recommendations resulting from this study to`the Bureau of the Budget
by September 30, 1971.
(2) Issue, at the conclusion of the Steering Group study,
revised Government-wide guidelines for the organization, functions, and
resources for reporting systems and reports management.
(3) Initiate a study to develop alternatives to traditional
reporting and paperwork methods together with a research plan outlining
mechanisms to attain these goals through basic conceptual and/or tech-
nological innovations.
(4) Initiate a study to evaluate statistical public reporting
requirements. This study will evaluate statistical reporting require-
ments in the light of current needs for economic and social statistics
as a basis for decisions.
c. General Services Administration. The General Services Admin-
istration will serve as the chairing agency of the Interagency Steering
Group and will:
(1) Designate a Study Project Director who will monitor
project progress and coordinate project technical activities.
(2) Provide overall technical assistance through conferences,
visual aids, instructional material, and practical techniques (e.g.,
workshops, case studies, etc.), beginning with the conduct of a study
kickoff orientation session.
(3) Provide consultant services to departments and agencies,
as requested.
(4) Prepare study findings, recommendations, and achievements
for publication by the Bureau of the Budget in an "Executive Management
Bulletin".
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reporting systems for which it has responsibility, and determine the
current annual cost of these systems.
(2) Establish goals of the annual dollar and man-hour savings
to be achieved from a review of these reporting requirements during the
period of January 1, 1970, to June 30, 1971.
(3) Submit to the Bureau of the Budget the results of this
identification process and agency goals in the format specified in
Exhibit 1. This will be submitted as an attachment to the annual manage-
ment improvement report due on S~2tember 30, 1970, in accordance with
Circular No. A-44 Revised (February 16, 1970).
(4) Review the public, interagency, and significant internal
reporting systems for which it has responsibility to:
(a) eliminate unnecessary and uneconomical reports and
reporting systems,
(b) consolidate and shorten reports,
(c) reduce the number of report copies,
(d) simplify the collection of data and the processing
of reports,
submitted, and
(e) improve the quality and usefulness of the data being
(f) reduce reporting requirements.
(5) Justify and certify public, interagency, and significant
internal reporting systems for which it has responsibility. Reports
not required by statute which cannot be justified and certified will be
cancelled. Unnecessary statutory reporting requirements will be sub-
mitted together with proposed corrective legislation to the Bureau of
the Budget with the annual management improvement report due on
Se tember 30, 1971.
(6) Submit to the Bureau of the Budget the results, in terms
of actual achievement of goals, of the agency review and its justifica-
tion, certification,. or cancellation process. This will be submitted
in the format specified in Exhibit 1, as an attachment to the annual
management improvement report due on September 30, 1971. Agencies
participating in the Federal Assistance Review program shall include
in their estimates of man-hours and dollar savings those achieved under
that program.
(7) Submit information on continuing progress concerning
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5. Department and agency action.. Within ten working days following
issuance of this Transmittal Memorandum, the head of each
department and agency will designate a top management official as
Project Director to be responsible for this study within the department
or agency. Project Directors of Cabinet level departments and other
large agencies should appoint subordinate project directors for each
second level organization within such departments and agencies. Each
department or agency Project Director will:
a. Notify the Bureau-of the Budget (telephone [phone]) of his
selection and indicate his official title and telephone number.
b. Provide leadership and coordinate activities related to this
study within his department or agency, including the establishment
of a plan of action for conducting the study.
c. Direct the timely preparation of submissions required by this
Transmittal Memorandum in accordance with procedures specified in
Bureau of the Budget Circular No. A-44 Revised (February 16, 1970).
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Circular No. A-44
Revised
Transmittal Memorandum No. 1
Submittal on Government-wide Study to Improve
Federal Reporting and Reduce Related Paperwork
Reporting
Category
Public Reporting:
Number of reports
Cost of reporting
Base Period Savings Goal Actual Savings
(As of 1-1-70) (Due 9-30-70) (Due 9-30-71)
Interagency Reporting:
Number of reports
Cost of reporting $
Internal Reporting:
Number of reports
Cost of reporting $
Man-Hours)
(Man-Hours) (Man-Hours)
2/
1/ Attach listing of public reports showing by BOB report identification
number those public reports that have been justified and certified,
and those public reports that have been cancelled. Public report
cancellations will be effected in accordance with procedures specified
in Bureau of the Budget Circular No. A-40 (May 25, 1962), as amended
by Transmittal Memorandum No. 1 (February 12, 1968).
2/ Attach listing of unnecessary statutory reporting requirements and
draft of proposed corrective legislation.
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