USDA REPORTS MANAGEMENT HANDBOOK

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP75-00399R000100020012-2
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 61
• Document Creation Date: December 19, 2016
• Document Release Date: May 4, 2006
• Sequence Number: 12
• Publication Date: July 12, 1963
• Content Type: REGULATION

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Office of Plant and Operations
Records Management Division
On File Dept. of Adriculture Release Instructions Apply
P&O Handbook No. 1
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The objectives of reports management are to provide
management officials with needed information at times
and places, and in the forms most useful to them; and
to furnish this information as economically and effi-
ciently as possible.
This Handbook was designed to help USDA agencies
reach these objectives.
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Second Printing
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CONTENTS
Chapter 1 THE ROLE OF REPORTS IN MANAGEMENT
Problems common to most organizational infor-
mational systems. The values and advantages
of sound reporting in information systems.
Chapter 2 DEVELOPING AND IMPROVING REPORTS
Planning a report. Designing reporting forms.
Developing reporting directives. Evaluating
reports.
Chapter 3 REPORTS COST MONEY
Ways to reduce cost. Factors that contribute
to cost. Ways to estimate cost.
Chapter 4 REPORTS CONTROL PROCEDURES
Objectives of reports control. Reports control
procedures: clearance, periodic reviews,
central reports control records, reports con-
trol symbols and symbol system design, and
reports inventories. Types of reports excluded
from reports management processes.
Chapter 5 PUBLIC REPORTING
Gathering public data. Public reporting activi-
ties of the Statistical Reporting Service and
other USDA Agencies. Use of public reports.
The Federal Reports Act. Clearance proce-
dures. USDA's public image.
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THE ROLE OF
REPORTS IN MANAGEMENT
One of the major tasks of every organization is gathering infor-
mation so that managers at all levels can measure performance,
plan future programs, and make sound decisions. The difficulty
lies in determining what is needed from the wide range of
information available.
Collecting too much information - just because it is available -
is as bad as not collecting enough. Besides creating uncertainty
as to what actually is needed, this practice:
1. Makes all information appear equally important;
2. Gives the impression of over control;
3. Tends to push decision making to higher levels;
4. Limits managerial freedom at lower levels;
5. Creates unnecessary workloads at all levels;
6. Increases program costs.
All management entails planning, decisions, and controls. The
important questions are: What planning, what decisions, and
what controls? And where in the organization should these
functions be placed?
Sound management requires prompt answers to these questions.
Only then can we tell what information is needed and how and
when it should be supplied. This is the heart of every reports
management program. It is also the beginning of a sound
management information system.
The regulated flow of needed information is important in the job
of every employee. But it is particularly important to program
and activity managers. No matter how general a manager's
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interests and responsibilities may be, his informational needs
usually are quite specific. Few people realize how much time a
manager spends each day searching through information to find
what he needs. And although much of it is filtered out on the
way to him, the average manager:
1. Gets more information than he needs;
2. Gets more information than he has time to use;
3. Gets some information that would be dangerous to use;
4. Gets a considerable amount of information that he doesn't
know how to use, or that he receives too late to use; and he
5. Gets much information that he can't use because of poor
presentation, improper emphasis, insufficient or
excessive detail.
Nevertheless, employees everywhere go right on generating this
kind of information with the mistaken notion that management needs
it. Few will challenge the notion because they feel it isn't their
responsibility, or they think that "somewhere" "someone" might
use the information. Top managers are usually too busy to keep
track of all the information that flows through their organizations.
Consequently they do nothing about it. The result is considerable
waste and inefficiency.
It takes time and effort to manage information. But it is worth
it. Information is essential in all managerial actions. If the
information or the system that provides it is weak, or if it lacks
the positive direction that is accorded other management respon-
sibilities, total programs may suffer.
REPORTS AND INFORMATION SYSTEMS,
Reports, in one form or another, represent a major part of an
organization's information system. Although more systematized,
reports have as many ills as other forms of communication. We
continually hear of excessive reporting costs, unnecessary
reporting workloads, and reporting systems that are inefficient
because they do not provide the kind of information needed at the
times and places that it is needed.
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It is for these reasons that reports, and instructions for their
preparation and use, deserve our attention. It was for these
reasons that the Department established a reports management
program. (4 AR Chapter 8).
An effective reports management program can make several pos-
itive contributions toward improving an organization's information
flow:
First, it makes us 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.
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.
Reports cost money. Reporting systems cost money. But if
reporting systems are well designed and well managed, and if
they receive the support of management, they can improve the
quality of information and reduce overall costs of operation.
Reports management is not an end in itself. If it doesn't produce
the desired results, and provide the information managers need,
it isn't doing its job. The best reports management programs
result from close cooperation between an agency's reports
manager and its program specialists. Working together, they
are more likely to meet the complex reporting needs of the agency.
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DEVELOPING AND IMPROVING REPORTS
Unfortunately, many reports do not turn out as originally planned.
The information is not presented in its most useable form; some
information is collected that later proves to be unnecessary; the
environment at the reporting level is not as anticipated, and
respondents have difficulty collecting and presenting the data
properly. Or, the data received does not give the kind of infor-
mation management needs for decision, planning, or controlling
programs. In reality, there are few reports that cannot be
improved.
The time to make sure a report will do what it is supposed to do,
is when it is first developed. This is seldom easy. It involves a
painstaking examination of the report as a whole, each item of
information in the report, and the conditions under which the report
will be prepared and used.
Responsibility for this rests jointly with program managers and
operating officials who need the information, the writer of the
directive that establishes the report, the forms designer, and the
reports manager or other official that management has made
responsible for directing the reports management program. Each
member of this group has to know four things.
1. What program or activity the report supports and why the
information is needed;
2. How the report will be used and who will use it;
3. What kinds of information are needed to support the
program's objective; and
4. Who is best able to supply the information.
Program managers will normally supply the answers to these
questions, at least in general terms. The answers provide the
basic framework for the report.
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DEVELOPING THE REPORT
As a matter of practice, a program specialist will usually develop
the working draft of a proposed report. At this point, he has to
take the broad guidelines that were initially given him and put
meaning into them. He must explore and get answers to questions
regarding basic information-need, supporting data, information
sources, reporting frequency, the form or format in which the
information is needed, and the distribution and use of the report.
Only after this is done can a final decision on the value of the
report be made. The person who develops this information:
1. Must be familiar with the program that the report supports;
2. Must know how the report will fit into the total program
system;
3. Should be able to develop procedures that will be easily
understood by all who will have to use them, and that will
produce the desired information efficiently and economically.
FORMS AND DIRECTIVES
The forms and directives associated with a report are very impor-
tant. They usually contain the only guidance that reporting activi-
ties receive. Make sure these forms and directives fully support
each other. For a well designed form can often eliminate the need
for detailed instructions in the directive, and a well written directive
can simplify completion of a complex form,.
The Reporting Form. Most reports, and particularly those that contain
statistics, are submitted on preprinted forms. Basically, they
have two functions:
1. They provide an efficient vehicle to transmit data; and
2. They provide an orderly method of storing collected data
for use sometime later.
When designing a reporting form, keep both of these functions in
mind. Then ask yourself these questions:
1. How is the form going to be used? Who is going to use it?
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2. Is all the needed information asked for? Is more informa-
tion asked for than is actually needed?
3. Is there a relationship between this reporting form and
others in the program reporting system?
4. Is there duplication or overlap of information in these
forms? If so, can the forms be combined to eliminate the
need for any of them?
5. Is the sequence of items on the form keyed to the way the
users will use the information?
6. Are instructions for filling out the form clear?
7. Where is the form prepared? Are environmental conditions
a factor? For example, are they prepared outdoors, in
meat-packing plants, etc. ?
8. What equipment will be used to fill out the form? Has
adequate space been provided?
9. How many copies are prepared? What distribution will be
made? How will each copy be used? Can the number of
copies be reduced?
10. What is the best size form for the user? Should it be a
single sheet, padded, or a specialty form? (i.e. carbon
interleaved, snap out, pin feed, etc.)
11. Does the total physical make up of the form serve the
report's purpose? Is it easy to use?
Source Data Forms. Properly designed, the report form will help the
program manager manage his program. Because of this, he will
want to be sure it fills all his needs. But what about the fellow
who has to submit the report? His needs also have to be met.
He has to set up office procedures, train people, establish work
files, and collect and record the data to prepare the report. In
short, he has to develop work patterns for each report he submits.
If 20 offices submit the same report, potentially 20 different work
patterns might be set up. This can be reduced - if, when the
report is first developed, all source forms and worksheets needed
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to gather and. record the original data for the report, and instruc-
tions for their use, are standardized.
Reporting Directives. Obviously, many of these same principles also
apply to the reporting directive. Efficient work patterns call for
precise instructions. They make it easier to gather and prepare
the information asked for. The directive that establishes the
report should not only specify what information is needed and who
is to furnish it, but also how it is to be collected, and how it is to
be presented. If reporting directives spell out this WHAT, WHO
and HOW in easily understood language, you will get the informa-
tion you want..
Tie each new report to the existing program system. Write
instructions so that reporting agencies can use as many existing
program records and procedures as possible. If this is done,
separate information and new work methods need not be developed
to. satisfy the report. If it" can't be done, see if the original pro-
gram directives and record requirements can be changed to make
them compatible with the new requirement. Compatability among
all directives in a program series reduces *orkloads and facili-
tates reporting.
One other thing should be said about reporting instructions. Give
them clear identity. Put them. in their own separate text units,
with headings that will make them easy to find.
Although we primarily have been discussing new reports, these
same considerations apply to existing ones. At the end of this
chapter is a Reports Evaluation Checklist. It contains many
additional suggestions that will help improve the quality of your
reports.
Keep in mind that programs and work are in a constant state of
change. Some these changes may not have any effect on report-
ing. But someti es even a minor change will obsolete an existing
report. Or it may force a change in a reporting directive or form.
If so, the time to make the change is now. Don't let procedures
and files become cluttered with obsolete information. A report
and its directive are worth keeping only if they support a current
need.
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REPORTS EVALUATION CHECKLIST
Thoughtful use of Form AD-367, Reports Evaluation Checklist,
(See 4 AR, Chapter 8, Exhibit 4 attached as Appendix to this Hand-
book) will help you create better reports. The checklist highlights
points that you should consider. These points are discussed in
detail in the following text.
NOTE: For ease of cross-reference, each paragraph is numbered
to correspond with the number that appears on the Checklist.
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 the information reported
actually and actively used as a basis for actions, 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 the reported data needed for these purposes?
What would happen if the report were discontinued? Could the
control phase of the program be delegated to a lower organiza-
tional level?
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 sub-
mitted in narrative, underline the key items. Now ask your-
self 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 down preparation and reading time.
3. Use of Each Copy of the Report. How many copies are distrib-
uted? How many of these are actually used to 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 -hecked
the accuracy of the distribution list?
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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 change in the program if
such action is needed? What are their interests and respon-
sibilities today? Functions and interests change. What was
once a pressing need, may now be 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 or situation report serve the
purpose?
7. Another Available Source. Is another source of information
readily available that will satisfy this reporting requirement?
Perhaps in other records or in a report received by another
office. If another office has the data available, but in a differ-
ent form, can you use it as it is? If you 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 by-product
data as a part of their normal work process? Can the infor-
mation be extracted from an existing work package at your
level by modifying existing forms, record-keeping or account-
ing systems (manual or nechanized)? If this were done, would
it eliminate this report
9. Direct Use of Records. If information is transcribed from a
record, could you use t>--e record (or a copy) instead of estab-
lishing a separate repos t? Would using records which can be
photographed or otherwise !'fast copied" at the source eliminate
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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 representative enough
to give accurate data when projected to cover the whole?
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 be defined, and
potential abnormalities (when a report might by submitted)
highlighted. Instructions covering exception reports should
describe danger signals and events which could require deci-
sions 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 be 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 essen-
tial 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. Non-related Material. Does the report contain non-related
information that should be in separate reports? Before
changing the report, consider the effect on work patterns at
the source of the information.
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
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cost of the report exceed the value? Can the data be obtained,
or the informational needs met, in a less costly manner?
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 properly stated?
Is the number of work days per month significant? For
example, when weekly reports are summarized monthly, do
you have to adjust reporting periods to determine actual work
days? Does the report consider work days as opposed to
calendar days?
18. Due Date. Does the directive indicate the date when the report
is to be received at its destination? Use a statement 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 communication, etc.
19. Preparing Office Workload. Is there adequate preparation
time? Remember, reporting workloads are heaviest at mid-
month, ends of months, and ends of quarters. Have you
considered the preparing office's workload? Are your dead-
lines realistic? If not, they should be adjusted.
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'III. REVIW STYLE OF PRESENTATION
20. Report Title. If the directive concerns only the report, is the
title of the report the same as the subject of the directive?
Make the title as brief and descriptive as possible.
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 be 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 require-
ments for each organizational 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?
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 direc-
tive explicit concerning the submission or non-submission of
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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?
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?
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. Fill-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?
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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 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?
33. Cumulative Data. Can statistical data be maintained on a cumu-
lative 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 meaningful
comparative bases used: Established standards? Past per-
formance? 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
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data or statistics.
35. Graphics. Would graphics speed the comprehension of data?
Are graphics used to good advantage? Illustrations? Charts?
Graphs? 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 con-
tribute needed authority? Does each approval add to the
information's reliability? Don't collect signatures for prestige.
REPORTING RECORDS AND FILES
37. Data Sources. Have you specified the records from which
reported data is to be extracted? When source records do not
exist, or cannot be specified, does the directive prescribe
how to develop the information for the report?
38. Arrangement of Records. Are files or other sources main-
tained so that data can be easily extracted? Should the records
be rearranged in the same data sequence as the report form or
format? If there is a good reason why the records are main-
tained 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 pre-
scribe 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 pre-
scribes 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.
40. Style of Presentation
a. Will the report attract and satisfy its intended users? Who
are they? Are they executives? Technicians? The general
public? The treatment of information is different in each
case. Is-the tone, and presence or absence of detailed
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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?
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CHAPTER 3
COSTING REPORTS
All reports cost money. A true test of the worth of a report com-
pares the value of the information with the expense of collecting
and using it. Obviously, certain information is necessary to
manage a program, regardless of its cost. But even in these
cases, the amount of information needed is a matter of judgment,
and costs should be considered.
Often, cost alone determines whether a report is justified. If it is
obviously high and the information is of questionable value, costing
to prove the point is unnecessary. Costing is desirable when you
suspect the costs exceeds the report's value, and the decision of
whether or not to continue it rests on that point.
The most effective ways to reduce the cost of an individual report
1. Decrease its frequency;
2. Reduce the number of respondents;
3. Keep the distribution of the report down to those who
have a real need for the information; or
4. Eliminate "nice-to-have" information from an otherwise
valid report.
Time is the common denominator of reporting costs - either
employee-time or machine-time. Listed below are the more
important time factors that contribute to the cost of a report:
1. Time to design and procure the needed forms;
2. Time to prepare the directive that establishes the report;
3. Time to set up procedures and train personnel at each
reporting activity;
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4. Time to gather the information;
5. Time to maintain files supporting the report;
6. Time to compute the figures and compile the report;
7. Time to type the report;
8. Time to review the final copy;
9. Time for readers to extract, analyze, recast, use, and
file the information; and
10. Time used to process data through electronic computer
and related equipment.
ESTIMATING COSTS
There are several ways to estimate cost. Most are based on the
number of machine or man hours used. Whatever method is used,
first select those factors from the above list that contribute to the
report's cost.
Sampling Method. Identify a number of representative offices that will
prepare and use the report. Then, using selected cost factors:
Average the man
hours consumed Total number of Number of times
by these offices X offices preparing X report is submitted
in one reporting and using report. each year.
cycle.
Total annual
man hour cost.
(Estimate)
Actual Man Hour Costs. You can estimate man 1- your costs more accu-
rately by obtaining actual man hour figures from each activity
that prepares or uses the report during one reporting cycle.
Total these figures and multiply them by the number of times the
report is submitted annually.
Dollar Costs. Dollar values can also be estimated with reasonable
accuracy for these man hour costs. Select the average grade of
employees who prepare and use the report, and multiply the total
annual man hours by the average hourly wage rate.
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Automatic/Electronic Data Processing Costs. Using automatic or electronic
equipment to prepare or process data may create additional
reporting costs. On the other hand, this may be cheaper than
preparing or processing the information manually. These costs
are usually expressed (sometimes at established rates) as "machine-
time" charges, which are determined by prorating the:
1. Cost of purchase, rental, and maintenance of equipment;
2. Cost of writing the program for the particular job;
3. Cost of board-wiring, or other machine preparation;
4. Cost of transcribing information to tape or punch cards;
5. Cost of material used; and
6. Cost of special space requirements, air conditioning,
electrical installation, etc.
Add these charges to the man hour costs of the report.
Two other factors, although often less tangible, fall on the credit
side of reports processed by automated equipment. Compare these
against the time required to process the same information manually.
1. Value of having the information available earlier;
2. Value of man hour savings realized as a result of machine
processing.
Although none of these costing methods are precise, they do pro-
vide a reasonably accurate yardstick to compare the value of the
report with the cost of collecting and using it. Management can
then decide whether to continue, eliminate, or modify the reporting
requirement.
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CHAPTER 4
REPORTS CONTROL PROCEDURES
Some people think that reports control procedures intrude upon
their areas of responsibility, that they permit outsiders to decide
whether or not they need the information they seek. This is not
so. Approval of a report is a management decision. Reports
control is procedural. It is intended to help, rather than hamper
or control the flow of information. These 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.
Chapter 8 of Title 4 of the Administrative Regulations (attached
as an Appendix to this Handbook) contains basic Departmental
guidance concerning reports control procedures. The regulation
requires that agencies systematically appraise the value of each
of their reports. It requires an initial review and clearance
prior to establishing a report; a continuous evaluation to assess
the current need for the information; and a periodic review to
determine whether each report is fulfilling its purpose, needs to
be brought up to date, or whether it should be eliminated. The
purpose of these reviews is:
1. To provide management with currently needed information
at times and places, and in the forms most useful to it;
2. To combine and simplify reports wherever possible;
3. To reduce the frequency and distribution of reports to the
minimum required for sound operation;
4. To eliminate non-essential reports and information; and
5. To provide directives and forms that clearly tell employ-
ees how to prepare needed reports.
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INITIAL REPORTS CLEARANCE
Chapter 8, AR 4 provides a Reports Clearance Request form,
AD Form 368, for optional use by agencies. Probably the most
important item on the form is the one entitled "Purpose of the
Report. " This item tells management 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 management should concern itself with
are the number and types of preparing and using offices, and the
frequency of the report. These represent workload.
The individual responsible for clearing a report will vary from
one organization to another. In some cases, approval authority
is placed at the Deputy Administrator level. In others, a reports
manager may have this authority. Or it may be at some other
level in the organization's staff. Regardless of where the
authority is placed, with it goes the responsibility for determining:
1. That the proposed report represents a valid need for
information;
2. That it requires only that information needed to advance
the purpose for which the report was designed;
3. 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
4. That the additional workload imposed by the report, and
its costs are justified.
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.
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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
the areas where people below top management can contribute the
most.
The Reports Evaluation Checklist, AD Form 367, used in con-
junction with the discussion of each item (See Chapter 2), 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. It will help assure quality in all of your
reports.
PERIODIC REVIEWS
As indicated earlier, the primary purpose of periodic reviews is
to find out:
1. Whether reports are meeting management's information
needs;
2. Whether experience indicates these needs can be satisfied
in a simpler way; or
3. Whether there is continued need for the same, different,
or additional information.
Basically there are two ways to conduct periodic reviews:
(1) analysis .` total informational requirements as they relate to
a program system; (2) procedural review of individual reports.
Both types of review are valuable and practical. Periodic review
of individual reports is required by 4 AR 816.
Total Information Requirements Analysis. In analyzing the informational
requirements of a system, you are actually asking the question,
"What information does management need to manage a particular
program?" In this context, you are going beyond the mere
review of reports. You are analyzing the program and the in-
formational system that supports it. Your objective is to find
out what kind of information is needed at each level of manage-
ment, and how best to provide and use it. Then, after complet-
ing this phase of the survey, individual reports are reviewed in
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detail to detect voids, make improvements, or to eliminate
collection of unnecessary information. To do this:
1. Identify the organization's total program objective or
objectives. (Do not include such supporting responsi-
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 pro-
grams (major functions, subfunctions, etc.) by organiza-
tional 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 identifiable 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
organization level.
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8. Identify decisions within the function that should be made
at each organization level.
9. Identify, by function, the planning and operating responsi-
bilities at each organizational level.
10. Identify the functional controls needed and exercised by
each level.
11. Identify information, either in form of reports or guid-
ance, 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
informational needs, or to control the program 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 in-
formation used to satisfy higher management's needs.
b. Separate this from the information that directly sup-
ports the operating official's transactions. Find out
whether all of these transactions are necessary to
fulfill higher management's desires. How do they
contribute to the program? How do they contribute to
the operating officials' actions, decisions, planning,
control, etc. ? When was the last time these trans-
actions were used as a basis for a management
decision either at this or a higher level? Could lower
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organizational levels perform any of these actions,
thereby reducing the informational needs at this level?
c. Now, identify reported data that is used for other
purposes. Are these necessary to support the pro-
gram system? How are they used?
15. After you have determined that the type of information
collected is necessary to fulfill the needs of the program
at each level, review the specific data for ways to in-
crease 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 informational needs. Check your con-
clusions against the requirements the manager said he
needed to manage his program.
Procedural Review. As the name implies, in a procedural review you
look at individual reporting procedures, and at the reports them-
selves, 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.
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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 informa-
tion management wants reported during and after the
review.
5. If possible, establish special incentives, or relate accom-
plishments to an existing incentive program.
6. Firm up a method for conducting the review. This is
usually done by evaluating reports received by or origi-
nated in an office. Identify organizational elements
working on the same or closely related functions. Divide
the functions into small enough work units to be managea-
ble. 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
be changed without difficulty.
c. Those Submitted to Other Offices or Agencies. These
are reports on which the office may only recommend
changes or improvements.
Then, using sample copies of the report, and the evalua-
tion checklist, make or recommend changes that will
improve the 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 pro-
cedural review. Recognize the potential benefits provided by
each and select the method best suited to your agency's needs.
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CENTRAL REPORTS CONTROL RECORDS
Chapter 8 of Title 4 of the Administrative Regulations requires
that each staff office and agency maintain control records for all
reports that they receive or are required to submit. Properly
maintained, these records are a valuable reference library for
the entire organization. They identify:
1. The kinds of information available in the organization and
the form in which the information exists.
2. The office that has detailed knowledge of the information
in a particular report.
The central control records should include as a minimum:
1. A current inventory of all reports that are received in,
and those submitted by the agency.
2. A copy of the report clearance form for each report
originated in the agency with a copy of the directive that
established the report, and any forms associated with it.
3. A copy of the evaluation made on each report analyzed
during the periodic review process.
REPORTS CONTROL SYMBOLS
Experience has shown that using reports control symbols con-
tributes to efficient reports management. Specifically, they
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. They also
help identify the office that requires the information and aid in
its distribution.
Reports Control Symbol Systems Design. Design the symbol system around
a stable classification base to limit the need for future revision.
Use an organizational pattern, the organization's directives or
forms numbering system, or an independent subjective classifi-
cation system that reflects major functional assignments within
the organization.
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If a subjective classification system is used, each classification
must be defined to show the functions it includes. (A sample
subjective classification guide is included at the end of this
chapter.) For ease of identification, assign a simple alphabetic
or numeric symbol to each classification. Sub-numbers or
letters (or a combination of these) may be added, to further
identify the report with a function it pertains to.
Whichever system is used, precede the symbol with the author-
ized organization abbreviation; i. e. , USDA, SCS, AMS, etc.
Follow this with your approved symbol system.
EXAMPLES
Organizational Pattern.
USDA ....... Symbol prefix indicating reporting requirement
originated at the Department level.
OP ....... Symbol for the Office of Personnel.
C ....... Symbol for the Classification and Standards
Division. (Can be omitted)
2 ....... The sub-serial number for the specific report
in a series.
(USDA-OP-C2)
Subjective Classification System.
AMS ....... Symbol prefix indicating reporting requirement
originated in Agricultural Marketing Service.
CN ....... Symbol for a basic commodity classification
(Cotton)
or
FD ....... Symbol for a basic functional classification
(Food Distribution).
4 . . ..... Sub-serial number for the specific report
within the subject class.
(AMS-CN-4) or (AMS-FD-4)
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Directives System Pattern.
ASCS....... Symbol prefix indicating reporting requirement
originated in the Agricultural Stabilization and
Conservation Service.
1-DS ....... Number of the ASCS handbook which requires
the report.
5 ....... The sub-serial number for the specific report
in the governing handbook.
(ASCS 1-DS 5)
Any of these methods, or combinations of them, or other methods
of reports identification may be used which adequately provides
sequencing controls for reporting requirements.
A. Word of Caution. Build familiar features into your symbol system.
Don't make the system so general that it nullifies the potential
benefits of control symbols. Conversely, don't try to be so
specific and complex that the system appears unfamiliar and
impractical to those who have to use it.
REPORTS INVENTORIES
The reports inventory is a basic reference in the central reports
control records. It compiles in one document valuable informa-
tion concerning the total reporting activity of the organization.
It shows program managers and operating officials:
1. The type of information being used to control various
programs, why it is needed, and who uses it.
2. The degree of reporting coverage in a given program
area, and relationships between reports.
3. The informational interests and relationships of various
organizational units in specific programs.
Inventories can be compiled in many different ways. The impor-
tant thing is that the information be presented in a useful way,
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and not as a confusing list of unrelated subjects. A common
method is to list reports by their reports control symbols.
1. Organizational Listing. Identify and list each report
according to the office or agency that requires or submits
it. This type of arrangement is particularly useful where
functions are clearly fixed organizationally, or where
organization designations depict subjective functions.
Reports should be grouped by function (and sub-function if
needed) within the office or agency.
2. Subjective Listing. In this type of listing, identify the
function or program that the report supports. Be as
specific as possible. Arrange the functions in alphabet-
ical sequence (under main function and sub-function
headings if needed). List separately, reports the agency
receives and those it is required to submit.
3. Directive System Listing. List each report by directive
number in the sequence it occurs in the directives file.
INFORMATION EXEMPTED FROM
MANAGEMENT PROCESSES
Not all information collected by an agency should be brought
under the reports management program. Reports managers,
working with program managers and operating officials, should
analyze the organization's informational needs, and identify the
types of information that should be exempted. Normally the
following are exempt:
1. Correspondence or other written communication between
two organizations conducted in the course of daily busi-
ness when the problem can be satisfied through reference
to information immediately available in either organiza-
tion's records. NOTE: If the office furnishing the
information must collect it from the public, subordinate
organizational elements, or through research of files not
immediately available, the request constitutes a report
and is not exempt;
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2. Supply and procurement transactions that relate to:
individual shipping and receiving actions, requisitions,
vouchers, inspection, maintenance and reclamation or
disposal of materials;
3. Personnel documents of an individual employee that relate
to: recruiting, -placement, performance, welfare, train-
ing, pay, promotion, demotion, transfer, separation,
retirement, etc.
4. Annual and supplemental budget estimates, justifications,
and supporting information;
5. Formal reports, findings, or observations resulting from
surveys, studies, or investigations. This exemption
would include reports made by auditors, investigators,
management analysis units, etc. Reports requested from
others to support their findings would not be exempt;
6. Recurring compliance reports that are required in con-
nection with research administration under cooperative
agreements, contracts, and grants. This exemption does
not apply to Multi-use Project Reports.
7. Narrative reports relating wholly to Departmental or
agency public information programs;
8. Reports required for fund raising or, similar promotional
campaigns; and
9. Reports determined by a responsible official to be exempt
in the interest of administrative efficiency, economy,
propriety, or practicality.
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SUBJECTIVE CLASSIFICATION GUIDE
ESTABLISHING THE SUBJECTIVE CLASSIFICA-
TION GUIDE
Probably the most stable base for a subjective classification guide
is the organization's functional responsibilities as expressed in
Title 1 of the Administrative Regulations. As a matter of practice
these have been translated into functional statements in the internal
directives of the office or agency. Select a generic term for each
functional statement and define the term by relating specific homo-
geneous tasks to it. This term represents a subjective class.
In selecting the term to be used, consider the volume and com-
plexity of business that normally goes on in each of the tasks. If
the volume in one task is large or complex, you might well sub-
divide it into two subjective classes. Remember, each term select-
ed should be broad enough to reflect a specifically identifiable
function.
DEFINITIONS FOR SUBJECTIVE CLASSIFICATION
Administrative Management (Services). Reports relating to administrative
systems and procedures which are used by all or most all offices
in an organization. It includes such elements as: directives
systems; printing, reproduction, and related activities; forms
management and design; written communication practices (corre-
spondence, telegraphic messages, etc.); records management
and files; internal mail and messenger service; postal operations;
office space allocation and utilization; security matters (excluding
personnel security); reports management including data systems
and statistics, and other administrative practices not covered in
other series.
Budget. Reports relating to the preparation, analysis, justification,
and control of the budget for appropriated funds; funding of approved
programs and projects within applicable appropriations; analysis
of appropriations and expenditures in comparison with budgetary
estimates and objectives; and furnishing of budgetary advice and
guidance.
Commodities. Reports relating to agricultural products, dairy prod-
ucts, manufactured products, natural resources and their by-
products, when such commodities constitute an important and
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basic element of agency's activities.
Fiscal. Reports relating to fiscal operations and activities of the
agency, apart form those incident to budgetary activities. Includes
disbursements, collections, fund management, losses, acquisitions,
sales, donations and similar activities under fiscal control.
Inspection and Auditing. Reports relating to policies and procedures for
inspection and audit of functions and accounts, including the con-
duct of internal audits of accounts and records covering sales,
appropriated funds, real property, industrial audits and surveys
of accounts and records of contractors.
Legal. Reports relating to decisions, opinions, and policies con-
cerning the substantive and procedural laws and directives; legal
requirements, policies and procedures involved in administering
the Department and its activities in Washington and field offices.
Personnel. Reports relating to the administration of the civilian
personnel program, including recruitment, placement, position
classification, career development, employee-management rela-
tions, disciplinary actions and grievances;, leave, performance
evaluation, and incentive awards, legal and regulatory basis for
civilian pay entitlement; payroll procedures, including time and
attendance reporting.
Real Property Management. Reports relating to the acquisition, utilization,
retention, management, and disposal of real property, other than
contractor-operated facilities. The design and construction of
real property facilities, including the modification and minor
construction of buildings, pavements, and grounds; preparation
and use of definitive drawings and outline specifications; and the
implementation and management of construction programs.
Research. Reports relating to the production of scientific and tech-
nical studies and data to seek new basic knowledge from which
techniques can be devised; studies to establish the technical
adequacy and the qualitative characteristics of material based on
results of scientific studies; the furnishing of engineering services
and advice.
Supply. Reports relating to the general policies and procedures for
tprocurement, management, and control of supply operations,
including requisitioning, receiving, storage, warehousing,
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issuing, inventory management, property accounting, stock control
and related matters; redistribution of local excess and redistribution
or other disposition of excess personal property.
Transportation and Traffic Management. Reports relating to the transportation
planning, programming, and staff supervision of transportation
components; movement of personal property via rail, highway
transport, waterways, ship, and air transport; operation and con-
trol of equipment; administration, operation, and management of
motor vehicles and motor pools; selection, training, and licensing
of motor vehicle operators; hiring of motor vehicles; inventory
control and reporting, and maintenance cost reporting.
This sampling is obviously incomplete. Also the items are not
intended to represent standard definitions. Each general term
selected must reflect a function and the definition reflect the
function as it exists in the work patterns of the staff office or
agency.
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PUBLIC REPORTING
So far in this handbook, we have dealt primarily with the Depart-
ment's internal management reports--those prepared by USDA
agencies for administrative purposes. Because of its importance
to the Nation, there is another area of reporting which we should
discuss briefly: that involving information obtained by USDA
agencies from the public. By "public" we mean the 3. 5 million
farm operators, the suppliers of farm equipment and materials,
and the various handlers, dealers, and processors of agricultural
commodities.
The valuable information supplied by these sources is used in
many ways. A great deal of it goes into statistical and economic
analyses, which are published for public as well as 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 in the Nation.
Because of the volume and complexity of the public reporting en-
gaged in by the Department of Agriculture, we cannot describe it
all in this Handbook. However, we will describe the program of
the principal statistical agency of the Department, the Statistical
Reporting Service, and mention briefly some of the public report-
ing activities of other agencies of the Department. Anyone seeking
a more comprehensive treatment of public reporting activities of
the Department as well as other Federal agencies, should obtain
the Bureau of the Budget booklet "Statistical Services of the
United States Government. "
ACTIVITIES OF STATISTICAL REPORTING
SERVICE
The primary function of the Statistical Reporting Service is to
collect, compile, and publish for public and Governmental use
basic statistics on crop and livestock production.
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The information is collected through mailed questionnaires dis-
tributed to farmers, handlers, and processors throughout the
Nation, and through enumerative surveys conducted by field repre-
sentatives of SRS. Most of the information is first tabulated and
analyzed at State offices. These preliminary analyses are then
forwarded to the Crop Reporting Board of the Statistical Reporting
Service, in Washington, D. C. , where State information is assem-
bled and projected into National estimates.
These estimates are published periodically in statistical summary
form. They are distributed to using agencies in the Department,
elsewhere in the Government, and to private organizations and
individuals concerned with agriculture. The estimates are widely
used in making decisions concerning the production, handling,
pricing, and disposition of the farm output, and in planning farm
programs.
Kinds of Information Collected and Published. The Statistical Reporting Service
collects information on approximately 195 different agricultural
commodities. The agency publishes over 700 reports annually.
These reports include such information as:
1. Farmers' intentions to plant.
2. Acreage, yield, production, and value of field crops,
fruits, and vegetables.
3. Livestock and poultry inventories and their value.
4. Production of dairy products.
5. Meat, poultry, and egg production.
6. Prices received and paid by farmers.
7. Farm labor and wage rates.
8. Stocks of agricultural commodities and holdings in
cold storage.
ACTIVITIES OF OTHER USDA AGENCIES
Among other USDA agencies having major public reporting
responsibilities are:
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Agricultural Marketing Service. Collects and publishes market news reports
on supp y, de nand, movement, quality, and prices for major agri-
cultural commodities in principal markets and producing areas.
Economic Research Service. Conducts research and statistical studies
on farm population, prices and income, food consumption, mar-
keting margins, agricultural finance, farm costs and returns,
and agricultural productivity.
Farmer Cooperative Service. Collects and publishes statistics on farmers'
cooperatives: Number, memberships, and dollar volume of prod-
ucts handled by marketing, farm supply, and related cooperative
ventures.
Forest Service. Collects and publishes statistical information on volume
and quality of standing timber, rates of timber growth and mortal-
ity, volume of timber cut, costs and returns of growing timber,
market information on forest products, and administrative statistics
covering the national forests.
Administrative and Regulatory Agencies. Certain other agencies, such as
Agricultural Stabilization and Conservation Service, Farmers
Home Administration, Commodity Exchange Authority, and Rural
Electrification Administration collect data from the public for the
internal administration of their programs. Summary statistical
information from these reports is also of general interest to
various business groups and is published periodically.
USE OF USDA AGRICULTURAL REPORTS
The information furnished in the reports described above is used
as a basis for action by thousands of governmental and private
offices, agencies, commercial organizations, and individuals.
To name a few:
1. The President and his Council of Economic Advisers use
the information in relation to the several sectors of the
National economy (including agriculture) and recommend
policies and legislation that effect nearly everyone.
2. Members of Congress use the information to shape nearly
all legislation directly affecting agriculture, and much of
the legislation affecting the general public.
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3. Our agencies in the Department are big users. We use the
information to gauge the adequacy of production of food and
fiber for the Nation's requirements, to determine income
from agriculture, and to measure prices of farm products
in relation to prices of other commodities. We also use it
to determine parity prices which are basic to virtually all
price support and acreage control. programs, for the crop
insurance program, for planning and operating credit,
conservation, educational, and other programs.
4. The Department of State uses the information in negotiating
commercial agreements with foreign governments, in
overseas information programs, and in programs of
economic and technical aid to foreign countries. The
Department of Commerce uses it in certain business
advisory services and in planning and executing programs
that affect the general economy. The Interstate Commerce
Commission uses it to establish or revise transportation
rates for farm products. The Department of Health,
Education, and Welfare uses it in programs of vocational
education in agriculture, in administration of pure food
laws, and in social security and other programs affecting
farmers or farm laborers.
5. The information is very important to individual farmers.
They use it to work out planting, breeding, feeding, and
marketing programs.
6. Farmers' organizations, such as the American Farm
Bureau Federation, the Farmers Union, the National
Grange, use it to keep abreast of current agricultural
problems. Farmers' cooperatives use it to plan their
purchasing, sales, and marketing programs.
7. Processors, dealers, and handlers of agricultural prod-
ucts, and operators of warehouses and other storage
facilities have vital need for the information.
8. Industrial organizations, manufacturers, banks, merchants,
and mail-order houses, particularly those with farm cus-
tomers, use the information to plan their production, sales,
inventories, credit, and advertising programs.
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9. Railroads and other- transport services use it to determine
the number of cars and trucks needed to move the agri-
cultural products to processors and consumer areas.
THE FEDERAL REPORTS ACT
As you may surmise, there is a constant flow of information
between all-Federal agencies and the public. The Congress is
ever concerned about this reporting burden, its record keeping
requirements and attendant costs. It is particularly concerned
about duplication in Federal reporting programs and about 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.
Bureau of the Budget. The Bureau of the Budget is responsible for
implementing the provisions of this Act. They have issued Bureau
of the Budget Circular A-40 (Revised May 1962) which contains
the policies and clearance procedures for collecting information
from the public. They have also issued guidelines for planning
and conducting statistical surveys (Circular A-46, March 1952).
The Bureau has adopted a list of "Practices to be Avoided in the
Preparation of Federal Reporting Forms. " This list, developed
by the Bureau's industry advisory group, the Advisory:4ouncil
on Federal Reports, is quoted here:
1. "Avoid asking for data which are not readily available to
the respondent.
2. "Avoid asking for data which cannot be prepared by stand-
ard accounting processes.
3. "Avoid reporting requirements which fail to take into
account the limitations of the records of 'small business'
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.
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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 manage-
ment or which stimulate management to an awareness of a
Government agency, its policy or its requirements.
9. "Never let a questionnaire fall below the established stand-
ards for physical makeup.
10. "Avoid the issuance of new reporting forms and new report-
ing and recordkeeping requirements which are not accom-
panied by a statement as to the intended purposes and uses
to which the data will be put.
11. "Avoid making requests for information when Government
facilities and staff for processing such requests are not
available.
12. "Avoid attempting to meet the Government's need for in-
formation 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. "
Standards for Designing Reporting Forms. The Bureau of the Budget has also
established standards which they consider essential when designing
reporting forms that request information from the public.
1. Essential Items Required on All Reporting Forms
a. Agency identification and return address.
b. Instructions for return.
c. Form title.
d. Form number.
e. Bureau of the Budget report approval number.
-40-
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f. Identification of respondent.
g. Date line and period covered by report.
h. Postal ZIP Code of originating agency.
2. Other Items to Include if Needed
a. Authority or basis for collection.
b. Confidential clause.
c. Item number, column, and line designations and
instructions.
d. Units to be reported.
e. Footnotes.
f. Signature, certification, or oath.
SPECIAL CLEARANCE PROCEDURE
The Statistical Reporting Service is responsible for obtaining
Bureau of the Budget clearance for all Departmental reports that
request data from the public. Departmental clearance procedures
for these reports are contained.in 1 AR 559-5.66..
USDA'S PUBLIC IMAGE
The Department's public reporting programs bring us in close
and frequent contact with a large segment of the general public.
The public recognizes that this reporting represents time and,
in many instances, dollars. They may be less quick to recognize
the benefits that they receive from the reports that we publish.
The way we design reporting forms, conduct surveys, or carry
out our reporting responsibilities influences the attitudes of many
-- inside, as well as outside, the Department. Every employee
and every supervisory official who is responsible for any phase of
the collection, design, preparation, or use of reports in this
Department can - and should - work constantly to improve our
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reports, and to improve our Department's public image.
Congressman Arnold Olson said recently, "Government reports
can play havoc with the small businessman and can go so far as
to turn his profits into losses. There are serious side effects,
too. These good, honest people get the idea that the Government
is breathing down their necks and that the Federal Government in
Washington is almost an enemy, because of this heavy burden of
paperwork. These people want to obey the law, but it is becoming
increasingly difficult for them because so much reporting is
required. We simply cannot allow the causes of this type of feel-
ing to go unchecked. Nor do we intend to. "
-42-
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APPENDIX
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UNITED STATES DEPARTMENT OF AGRICULTURE
ADMINISTRATIVE REGULATIONS
CHAPTER 8 - REPORTS MANAGEMENT
SECTION 1 - GENERAL
;:800. PURPOSE. This chapter sets forth policies, responsibilities
and procedures for the management of retorts within the Depart-
ment.
801. POLICY. Management and operating officials at all levels
need dependable information to measure the accomplishment of
objectives, and to improve the effectiveness of programs, policies,
and procedures. It is Department policy that this information
shall be obtained through systematically planned and administered
systems that will assure (1) adequacy, aecuracy and usefulness
of collected data, and (2) maximum economy in collecting and
disseminating data.
802. ROLE OF REPORTS IN MANAGEMENT. Reports are an
important means of communication in the management process.
Although routinely considered a device to measure the progress
of programs for which the manager is responsible and to control
the activities of subordinates, they are also a primary source of
information for planning and directing future programs.
803. OBJECTIVES OF THE REPORTS MANAGEMENT PROGRAM.
The USDA reports management program is designed to help each
manager carry out his responsibilities, and at the same time
achieve maximum economy, uniformity, and simplicity in re-
porting systems. An effective reports management program
should:
a. Provide management with needed information at times
and places, and in the forms most useful to it.
b. Combine and simplify reports wherever possible.
c. Reduce frequency and distribution of reports to the
minimum required for sound operation.
d. Eliminate non-essential reports and information.
e. Provide employees with needed direction and means for
the preparation of required reports. j--~~
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5 804 TITLE 4 - PLANT AND OPERATIONS
804. DEFINITIONS. a. Report. The transmission of recorded
data or information between organizations, whether form, nar-
rative, tabular, graphic, questionnaire, punch card, tape, or
other medium, regardless of the method of processing, prep-
aration, or transmission.
b. Recurring Report. A report which requires repetitive prep-
aration in whole or in part.
c. One-Time Report. A report prepared on special request,
one-time only, by one or more activities.
d. Situation Report. A report prepared in connection with a
specific event or temporary situation. A situation report might
require repetitive submission during a stated period of time to
satisfy the single requirement. The total submission constitutes
one report.
e. USDA Report. A report required by a Departmental staff
office to be submitted by other staff offices and/or agencies.
f. Agency Report. A report required by an agency to be sub-,
mitted by an activity under its jurisdiction.
g. Interagency Report. A report required by one USDA agency
to be submitted by another USDA agency or its activities.
h. External Report. A report required by an agency outside
USDA to be submitted by the Department, or agencies of the
Department.
i. Feeder Report. An optional term used to identify reports
that are required for the sole purpose of providing information
needed in preparing other reports.
j. Due Date. The date a report is to arrive at its prescribed
destination.
k. Federal Reports Act of 1942 (57 Stat. 1078; 5 U. S. C. 139-139f).
The Federal statute requiring Federal agencies to obtain the approval
of the Bureau of the Budget before imposing reporting and record
keeping requirements on the public, (i. e. persons, industrial
organizations, State and local governments, etc.)
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CHAPTER 8 - REPORTS MANAGEMENT ? 804
Report Control Symbols (RCS). A.system of code-numbering
and/or lettering used to identify and catalog individual reports.
SECTION 2 - RESPONSIBILITIES
805. PROGRAM RESPONSIBILITY. The Office of Plant and
Operations will:
a. Develop and promote techniques to improve the effective-
ness of reports management programs and activities through-
out the Department.
b. Provide Departmental standards and guidelines for the
creation and use of reports.
c. Advise and assist staff offices and agencies in establishing
and administering effective reports management programs
and systems.
d. Direct and coordinate periodic reviews of USDA staff
office and agency reports.
e. Evaluate progress and summarize results of USDA staff
office and agency reports management programs.
806. DEPARTMENTAL STAFF OFFICE RESPONSIBILITY. The
head of each Departmental staff office will:
a. Establish internal controls and procedures necessary to
achieve the reports management program's objectives, in-
cluding adequate systems for reviewing, clearing and con-
trolling proposed reports.
b. Periodically, or as requested by the Director of Plant
and Operations, conduct a systematic review of USDA and
external reporting requirements to determine whether any
reports for which his office is responsible should be modified
or discontinued.
c. Maintain a current inventory of all reports required to be
submitted by and to his office (see sample inventory format
at Exhibit 1 & 2). =
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? 807 TITLE 4 - PLANT AND OPERATIONS
1.--807. AGENCY RESPONSIBILITY. The Administrator of each
agency will:
a. Establish a reports management: program within his agency.
b. Issue appropriate directives implementing Departmental
reports management policies and objectives throughout his
agency.
c. Establish internal controls to assure conformity with agency
standards and program objectives, including adequate systems
for reviewing, clearing and controlling proposed reports,
d. Periodically, or as requested by the Director of Plant
and Operations, conduct a systematic review of all reports
submitted by or to the agency to determine whether any should
be modified or discontinued.
e. Maintain a current inventory of all reports required to
be submitted by and to the agency (see sample inventory format
at Exhibits 1 & 2).
f. Designate an individual to function as reports management
officer for the agency, or as chairman or coordinator of an
agency reports management committee.
808. OFFICE OF MANAGEMENT SERVICES. The Director, Office
of Management Services, will., upon mutual agreement with staff
offices and agencies serviced by Office of Management Services,
provide the reports management support services required by
these regulations.
809. STATISTICAL REPORTING SERVICE.
a. The Administrator, Statistical Reporting Service, is re-
sponsible for administering that portion of the Federal Reports
Act of 1942, as implemented in Bureau of the Budget Circular A-40.
b. Procedures for obtaining Bureau of the Budget clearance for
Departmental or agency plans and reports forms which request
data of general public interest are contained in 1 AR 559-566.-)"'-
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AR000 120052gp12-2
men
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CHAPTER 8 - REPORTS MANAGEMENT ? 810
810. RESPONSIBILITY OF THE REPORTS MANAGEMENT
OFFICER. Each individual designated as a reports management
officer will:
a. Observe agency reports activities to assure compliance
with policies enumerated in this and agency instructions to
achieve the objectives of the reports management program.
b. Administer reports clearance and control-symbol pro-
cedures within his agency or office.
c. Insure that instructions for recurring reports are con-
tained in permanent directives of the agency.
d. Identify categories of information to be exempted from
reports control procedures.
e. Establish evaluation procedures necessary to improve
the quality of reports.
f. Maintain liaison with Departmental staff offices and other
agencies to assure maximum economy and effectiveness in
his activity's reporting program.
811. REPORTS CLEARANCE PROCEDURE. Prior to clearance,
each new or revised report will be reviewed for need, usefulness,
and adequacy. Staff offices and agencies will establish internal
clearance procedures to insure adequate coordination, and approval
of each reporting requirement by a responsible official. This
clearance may be accomplished separately, or as part of the re-
view and clearance of the directive or forms associated with the
report. An optional clearance form AD Form 368 Report Clearance
Request, is attached at Exhibit 3, for those agencies desiring an
independent reports clearance procedure. This form contains the
type of information which should be considered during the initial
clearance review.
812. EXEMPTED REPORTS. Certain categories of reports
normally are exempt from reports management procedures.
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Q 812 TITLE 4 - PLANT AND OPERATIONS
*--Examples are: Investigative and audit reports; informational
copies of personnel transaction documents; annual and supple-
mental budget estimates, justifications, and supporting information;
individual supply and procurement transactions; information pre-
sented in narrative form, such as research findings, technical
summaries, special studies, projects, or surveys. Reports
management officers should analyze office and agency informa-
tional requirements and identify those categories to be exempted.
813. REPORTS CONTROL SYMBOLS (RCS). a. Principles of Use.
Experience has shown that the: use of reports control symbols makes
several important contributions to efficient reports management.
Specifically, they permit quick identification of approved reports,
provide a means of easy reference and inventory listing, and
sometimes tie records and files to the reports they are associated
with.
b. Reports Control Symbol Systems. The symbol system may be
geared to the organization's directives or forms numbering system,
to the organizational structure, to a subjective classification
system, or to any other system that meets the organization's needs.
c. Use. A reports control symbol should be assigned to each new
reporting requirement upon completion of the initial clearance pro-
cedure, and prior to issuance.
814. CENTRAL REPORTS CONTROL RECORDS. Each staff office
and agency will maintain control records on all reporting require-
ments which it originates. The records should include:
a. A current inventory of all reports required to be sub-
mitted by and to the agency. The inventory should be main-
tained in such form that it can be made available or reproduced,
as required, for systematic review, analysis, and appraisal
of reports. (See sample inventory format at Exhibits 1 & 2).
b. A copy of each report clearance form with a copy of the
directive that established the report, and any forms associated
with the report.
c. A copy of the evaluation made on each report analyzed
during the periodic review process.-
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CHAPTER 8 - REPORTS MANAGEMENT 9 815
SECTION 4 - REPORTS SURVEY AND EVALUATION
PROCEDURES
1-*815. CONTINUOUS SELF EVALUATION. Managers and operating
officials at all levels shall continuously evaluate the need for in-
dividual reports received in their offices. Those that do not satisfy
a valid and current requirement should be discontinued. Particular
emphasis should be placed on:
a. Utility of the information, and value received in relation
to the cost of the report.
b. Simplicity of data requirements.
c. Frequency and number of respondents required to submit
the report.
816. PERIODIC SURVEYS AND REVIEWS. Periodically, or upon
specific request from the Director of Plant and Operations, the
head of each staff office and the administrator of each agency will
conduct a comprehensive review of all recurring reports required
to be submitted by or to his activity. During this review operating
officials should be asked to reaffirm the continued need for each
report submitted to their offices and to suggest specific improve-
ments in those that are required.
817. RECOMMENDING IMPROVEMENTS. Agencies and staff
offices are urged to evaluate carefully all reports which they are
required to submit and the directives prescribing them, and to
recommend improvement, simplification or discontinuance, where
appropriate. Individual recommendations should be submitted as
they are developed. Recommendations resulting from periodic
surveys should be prepared individually and submitted in a group
identified with the survey. Recommendations should be submitted
to the responsible departmental staff office or, in the case of inter-
agency reports to the responsible agency. Each recommendation
should include, but is not limited to:
a. A copy of the report and a citation, of the directive
prescribing the report.
b. An estimate of the number of man-hours consumed in
preparing the report throughout the agency, including-0
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9 817 TITLE 4 - PLANT AND OPERATIONS
-feeder reports when pertinent.
c. A statement of the recommended change, and the reasons
for the change. This statement should be as specific as
possible and offer constructive criticism for improving the
quality of the report, or give valid reasons for discontinuing
it.
818. REPORTS EVALUATION CHECKLIST. AD Form 367,
Reports Evaluation Checklist, (Exhibit 4) will help identify weak-
nesses and develop recommendations for improving individual
reports. The evaluation checklist and the reports clearance
form (or their equivalents) should be used during the periodic
survey of reports required by the agency as a means of assuring
adequate appraisal. -':,-
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(Staff Office or Agency)
(1) (5) (6)
Reports
Other
Control
Required
Title of
Purpose and
Prepared
Distri-
Frequency
Authorizing
Symbol
By
Report
Description
By
bution
Due In.
Directive
List
1.
each
report
only
once
2.
Specific program
which the report
supports. De-
scribe the type
of data included
in the report.
Feeder Report,
identify Agency
requiring the
report and the
report title
and RCS (if
different).
If report is a
Show
Distri-
bution
of all
copies
received
Group reports by:
a. Organizational unit establishing initial requirement.
b. Program area which the report supports.
D - Daily
W - Weekly
M - Monthly
Q - Quarterly
A - Annually
Use prefix
"semi" when
report is
required
twice weekly,
twice monthly,
twice annually,
etc.
Use prefix
"bi" when
report is
required
every 2
weeks, 2
months, 2
years, etc.
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 Reports
Control
Symbol
Prepared
By
List
v' each
report
only
once
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Title of
Report
(Staff Office or Agency)
Purpose and
Description
1. Identify specific
program which the
report supports.
Describe type
of data included
in the report.:
2. If the report is
a Feeder Report,
identify agency
requiring the re-
port, the report
title, and RCS
(if different).
Group reports by:
a. Organizational unit preparing the report or
b. Program area which the report supports
D - Daily
W - Weekly
M - Monthly
Q - Quarterly
A - Annually
Use of prefix
"Semi" when
report is
submitted
twice a week,
month, year,
etc.
Use prefix
"bi" when
report is
submitted
every 2
weeks,
months,
years, etc.
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(5) (6) (7) (8)
Other
Internal
Submitted Distri- Frequency Authorizing
To bution Due Out Directive
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EXHIBIT 3 - 4 AR 811
AD-368 REPORT CLEARANCE REQUEST
47-65)
(See Instructions on reverse)
2. EXACT TITLE OF REPORT Attac copy of prescribed form or reporting format
6. REPORTING FREQUENCY (Specify)
ONE TIME RECURRING-
6. DIRECTIVE ESTABLISHING REPORT Attach copy?
12. IS COMPUTER EQUIPMENT USED IN
LI PREPARING REPORTS ^ ANALYZING REPORTS ^ NOT USED
1A- LIST REPORTS SUPERSEDED BY THIS REPORT
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EXHIBIT 3 - 4 AR 811 (Page 2)
AD-368 (Reverse)
(7-63)
A. Use Form AD-368 to get approval for each new or revised agency or staff
office reporting requirement.
B.. Submit an original and one copy of the form to reports management office.
C. Follow the instructions below when preparing request.
1. Leave Blank.
2.. Indicate title of report.
3. Identify office requiring report.
4. Indicate the program which the
report supports and why the report
is needed.
10. Self-explanatory.
11. Consider how preparing offices will
collect and file data. Provide work
sheets on source forms for this
purpose. This reduces cost of re-
port and insures that you get what
you want.
6. Check appropriate entry. If recur-
ring, specify-frequency. Use: Daily,
Weekly, Monthly, Quarterly, An-
nually, etc.
7. Self Explanatory.
8. Recurring reports requirements
should be stated in standard direc-
tives of office or agency. Tempo-
rary instructions should be codified
at earliest possible date. One time
reports are usually established by
letter, TWX etc.
9. Be specific by office or type of
office to prepare report. Include
number of offices. E.G., "all state
offices, " "300 county offices, " etc.
12. The reference here is to electro-
mechanical tabulating card ma-
chines and to electronic data pro-
cessing machines.
13. Identify by Title or Reports Control
symbol or both.
14. Self Explanatory.
15. Self Explanatory.
16. Include date and signature of
Reports Management Officer.
17. The "Remarks" space is for the
use of the Reports Management
Officer.
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 Approved For Release 2006/05/24: CIA-RDP75-00399R000100020012-2
EXHIBIT 4 - 4 AR 818'
AD-367
(7-63)
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)
1. THE REPORT AS A WHOLE
Who uses it? How?
What is its purpose?
Should it be continued?
2. USE OF EACH ITEM.
Ls 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?
P 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-RELATEDMATERI 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 coat?
16. REPORTING PERIODS.
Are reporting periods properly stated?
17. FREQUENCY.
Is the present frequency suitable, excessive, or
inadequate?
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?
7-12-63 (Amend. 56) Page 583
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 Approved For Release 2006/05/24: CIA-RDP75-00399R000100020012-2
EXHIBIT 4 - 4 AR 818 (Page 2)
A D-367
(7-63)
INSTRUCTIONS: Check either column (b) or (c).
QUESTION-
SATISFAC-
PROPOSED CHANGES
If questionable, show changes in column W.
ABLE
TORY
(Attach Additional Sheets, if Needed)
(a)
(b)
(c)
(d)
20. REPORT TITLE.
Is it the same as, of 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 ofreport?
40. STYLE OF PRESENTATION
Does the overall report provide clarity and simplicity?
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