PAPERWORK REDUCTION ACT OF 1980

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP85-00003R000300050014-1
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 55
• Document Creation Date: December 20, 2016
• Document Release Date: May 17, 2007
• Sequence Number: 14
• Publication Date: March 19, 1980
• Content Type: OPEN SOURCE

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96TH CONGRESSI HOUSE OF REPRESENTATIVES I REPORT
2d Session J l No. 96-835
MARCH 19, 1980.-Committed to .the Committee of the Whole House on the State of
the Union and ordered to be printed
Mr. BROOKS, from the Committee on Government Operations, submitted
the following
REPORT
[To accompany H.R. 6410]
[Including Cost Estimate of the Congressional Budget Office]
The Committee on Government Operations, to whom was re-.
ferred the bill (H.R. 6410) to reduce paperwork and enhance the
economy and efficiency of the Government and the private sector
by improving Federal information policymaking, and for other pur-
poses, having considered the same, report favorably thereon with
an amendment and recommend that the bill as amended do pass.
The amendment strikes out all after the enacting clause of the
bill and inserts a new text which appears in italic type in the re-
ported bill.
EXPLANATION OF AMENDMENT
Inasmuch as all after the enacting clause of H.R. 6410 was strick-
en and all language incorporated into one amendment, the con-
tents of this report constitutes an explanation of the amendment.
SUMMARY AND PURPOSE
The objectives of H.R. 6410 are to: (1) Reduce the information
processing burden on the public and private sectors by requiring
the development and implementation of uniform and consistent in-
formation policies and practices; (2) increase the availability and
accuracy of agency data and information; (3) expand and strength-
en Federal information management activities; (4) establish a
single focal point for information management within the Office of
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Management and Budget which will have specific authority, re-
sponsibility, and accountability to the President, the Congress and
the public for Government-wide information policy and oversight;
and (5) decrease the paperwork burden on individuals, businesses,
State and local governments, and others outside the Federal Gov-
ernment by vesting that OMB office with the authority to approve
or deny all agency forms for collecting information.
To accomplish these objectives, H.R. 6410 eaablisb~s cyg of
with the responsi I ity for
overall direction of the Governments information policies, stand-
ards, and guidelines. This Office, which will be headed by an Ad-
ministrator appointed by the OMB Director, will have s ' ' e-
sponsibility over Federal information management activities s wch
auement, the Privacy Act, an statistical po These functions
are presently located in except or records management and
for statistical policy, which was transferred in 1977 from OMB to
Commerce by Executive Order. However, H .R. 6410 expands OMB's
manaaemen role in each of these areas and requires specs Ic ac-
met on a timely basis.
This legislation also _~
~~ c
auestc mach- v Fee a geese
tions y OMB to ensure
reporting burden.-
? ap~roxema e7
now exemp " fe
enccies H. 7"M I ates that authorit to a prove agency
a a co eC eon requests in a independent re ry n-
cies are covered under is egls ation. However, such agencies in-
dependence in information collection is maintained by providing
the right to veto OMB disapprovals by a majority vote of their
members.
In addition, H.R. 6410 establishes a Feder I Information Locator
S ~m which will contain: ders,`ptiions o al in orma ion rem
by Fi dernl r - nriec iind N s<
nerevea
also
maze
ercent
s m contain
Federal agencies-1
quests. This system
a
Gies' reporting n
en or
zencies. and the
Iroug the use of - information coiiec
will be used _to: (a) Identify duplication
w is agency requests
appr
M
ectives of the legislation will be
ism
e
a
III
r2l Ies s
n ors
collection
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in
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ongr5; UMUM]
COMMITTEE ACTION AND VOTE
H.R. 6410 was introduced by Chairman Jack Brooks. The Com-
mittee on Government Operations ordered the bill reported on
March 4, 1980, by a unanimous voice vote with a quorum present.
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Hearing on H.R. 6410 were held by the Subcommittee on Legisla-
tion and National Security on February 7, 21, and 26, 1980. Testi-
mony was received from the Comptroller General of the United
States and representatives of the President's Federal Data Process-
ing Reorganization Project, Office of Management and Budget, De-
partment of Defense, General Services Administration, Citizens
Committee on Paperwork Reduction, Association for Federal Infor-
mation Resources Management, Association of Records Managers
and Administrators, and Business Advisory Council on Federal
Reports.
The legislation is the result of a growing concern that the way
the Government collects, uses, and disseminates information must
be improved. Inefficiencies in current Federal information prac-
tices drastically reduce the effectiveness of the Government while,
at the same time, drowning our citizens in a sea of forms, question-
naires, and reports.
H.R. 6410 is based on long and careful study of problems associ-
ated with the way the Government manages its information re-
sources. Different segments of this study were carried out by the
Commission on Federal Paperwork, the President's Federal Data
Processing Reorganization Project, the General Accounting Office,
and others. The Paperwork Commission recommended the consoli-
dation of major paperwork, information, and communication-relat-
ed policy oversight functions into a central management policy
unit within OMB. The Data Processing Reorganization Project sug-
gested that OMB establish an office to serve as a focal point within
Government to advocate the management and use of information
technology to reduce the costs of Government and to make it more
effective. GAO also has recommended that an information policy-
making unit be set up in OMB. Creation of the new Office of Feder-
al Information Policy in OMB and assignment of the particular
functions under H.R. 6410 are based on the recommendations of
these organizations.
The bill establishes a management system that should not only
help to solve the information management problems we have
today, but should also provide the framework for solving the prob-
lems to be faced by the Federal Government in the future. Creation
of the new OMB Office. and establishing and strengthening focal
points in each agency are the key parts of this management
system. Another important element is providing the necessary
funding to insure that adequate resources are applied toward
achieving the objectives of this bill.
g, a
roIlL
W~ by the n ihlir nr
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cion oy reaeral aepartmen
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Information use includes, analysis, sharing or dis-
restriction use may also involve m o
These functions
area related o e managemen of information by Federal agen-
cies. The Committee believes the combination of these definitions is
sufficiently precise to support the objectives of the bill while at the
same time flexible enough to allow for future changes in technol-
ogy and Government activities.
BENEFITS FROM ENACTMENT OF THE PAPERWORK REDUCTION ACT OF
1980
During testimony, a number of witnesses cited substantial bene-
fits which potentially could be derived from passage of H.R. 6410.
The Comptroller General, Elmer Staats, stated the bill would
greatly strengthen the hand of OMB in exercising its broad respon-
sibilities for improving the management of the Federal Govern-
ment. He waw the charter and staff provided by existing law as in-
adequate for OMB to do the job. Without this legislation, the
Comptroller General said that fragmented policy and oversight re-
sponsibilities would continue and badly needed changes in Federal
information policy would not be effected.
In a recent letter to this Committee, the Comptroller General
elaborated further on the benefits of implementing H.R. 6410:
We believe that effective implementation of H.R. 6410
will provide the basis for long-term improvement in every
phase of Federal information management. It provides for
the first time the statutory authority, the responsibility,
and fixed accountability for Government-wide information
management in the Office of Management and Budget
(OMB). Some of the specific benefits in terms of manage-
ment improvements which H.R. 6410 should provide in-
clude:
A single control point for Federal information manage-
ment policy and oversight;
An end to fragmented responsibility for controlling Fed-
eral paperwork burdens on the public;
Visible and accountable officials for information man-
agement, both in OMB and in each agency;
Uniformity and consistency in policies for acquisition
and management of advanced information technology;
Much needed visibility, authority, and accountability for
statistical policy coordination and records management;
and
Development and implementation of a long-needed Fed-
eral information locator system.
As I stated in my testimony, we believe that enactment
of H.R. 6410 will mark the beginning of the long and ardu-
ous task to solve the many information management prob-
lems now existing. Successful performance of that task
should result in improved information management and
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reduced paperwork burdens on the public fully justifying
the relatively modest incremental costs associated with the
bill.
Mr. "'Staate`-also 'provided"several- exdinpTe's"takeni'froin'GAO `re=
ports illustrating problems in information management and dem-
onstrating opportunities for substantial cost savings both within
the Federal Government and in the private sector. The Comptroller
General concluded that, although some benefits could not be quan-
tified, the benefits from improved information management would
be substantial.
The witnesses from the President's Federal Data Processing Re-
organization Project told the Committee that the bill took the criti-
cally important step of explicitly assigning tasks and deadlines to
the Office of Federal Information Policy and to the agencies. The
significant acts of centralizing agency responsibility and mandating
snec'itireview activities" s wild rce a muc over uee reexamination
ed d doing for ears.
information policy, adding substance, specificity, and vigor to the
present vague, formless, and aimless ADP management system.
In terms of monetary benefits...from. passage of H.R. 6410, the -
Data Processing Reorganization Project witnesses cited one exam-
ple involving the Department of Labor's Black Lung Program. The
Project team concluded that the costs of running the program
' could be reduced from its present level of $41 million to $17 million
through automation. The Committee believes savings of this magni-
tude can be obtained in most major Government programs or
activities.
The OMB Associate Director for Management and Regulatory
Policy testified that H.R. 6410 was important because it would ac-
complish three objectives. First, it would close existing statutory
loopholes which diminish OMB's authority to review Federal pa-
perwork activities. Second, it would strengthen the Federal Reports
Act by centralizing the oversight of Federal reporting requirements
in a single organization. Third, it would clearly identify a focal
point for overseeing Federal information activities and assuring the
development of Government-wide information policies and proce-
dures. The OMB Associate Director concluded his testimony by
stating that H.R. 6410 is a significant and far-reaching piece of leg-
islation which would provide OMB some badly needed tools to im-
prove the management of Federal information activities.
H.R. 6410 creates a new management structure for the Govern-
ment's information activities. These activities involve the collec-
tion, use, and dissemination of information by Federal agencies.
The structure consists of three key elements: (1) The central policy
and oversight office established in OMB, (2) the central manage-
ment responsibility assigned to the General Services Administra-
tion (discused later in the report), and (3) a high-ranking official in
each agency in insure that the agency effectively carries out its in-
ormation activities. The central policy-making office is to conduct
and report on periodic evaluations of the effectiveness of the
ities. and policies, E075-rce
y have
sets
r Release20077&51 ?85-Q0403R00030005001
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agency activities. This reporting will provide the necessary feed-
back to stimulate continued improvements in the Government's in-
formation management activities.
T
bet Office o Federal Information
t us bo the Administrator and the
UIV=
M
ill
`w
rector;
erectly
Moral
"bil-
nf tha nffipp in thPTlirPrtnr_ but
1 tes that the Dir t
e legislation requires the OMB Director to provide overall
direction in developing and implementing information policies,
principles, standards, and guidelines for the Federal Government's
information activities. These activities include the review of infor-
mation collection requests, reduction of the paperwork burden
placed on the public, Federal statistical activities, records manage-
ment, privacy, interagency sharing of information, and use of auto-
matic data processing and other technology for managing informa-
tion resources. This alignment will require a consolidation of poli-
cymaking and oversight functions into the new OMB office. While
the Committee clearly intends that the individual agencies will
retain operating responsibilities in these areas, such activities will
be subject to the responsibilities vested in OMB under this legisla-
tion.
W+..RAr' n..Ja A99PC v S =r-
e every three years. It is
expected at will provide considerable support to0MB in
carrying out this responsibility. The Director is to report on the re-
sults of these reviews to the appropriate agency head and to speci-
fied congressional committees. In turn, the agencies are to respond
to the reports by submitting a written statement to the OMB Direc-
tor and to the same committees receiving the report, describing
measures taken to alleviate or remove any problems or deficiencies
identified in such reports. The reporting and required agency re-
sponse is patterned after the practice of agencies responding to
GAO reports. It will provide the essential information to insure
that the agencies are fully considering and responding to recom-
mendations to improve their information activities.
GSA, in its reviews of requests for authority to acquire informa-
ti Th recFnolo , is --To review the need for the technology an
WIMMer it o era ions. the time GMT
ma es these reviews, it should consider t e resu is of any studies
performed of the agency's information activities under section 3515
to insure that any problems or deficiencies identified have been re-
solved or that the proposed acquisition will assist in resolving the
problem.
It is also expected that certain restructuring of activities may be
required within the agencies. The Committee expects that each
ment res onsibili-
Les. b4Tu re-
cL ies information
y- an coke
~~tn rplw ist-
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agency will reorganize, to the extent necessary, so that the counter-
part activities within the agency to those assigned to the OMB
Office of Federal Information Policy will report directly to the
senior official designated by the agency head. This realignment
should provide for. greater coordination among the agency's infor-
mation activities as well as greater visibility within the agency.
In a communication to the Committee, the Environmental Pro-
tection Agency raised a question concerning its proposed structure
for its information management activities. EPA proposes to have
its reports clearance and statistical policy functions assigned to a
staff that manages its regulation development process and its inter-
nal information management functions assigned to a separate com-
ponent. These functions are all assigned to the Assistant Adminis-
trator for Planning Management who reports directly to the EPA
Administrator. EPA raised a question concerning whether this
kind of structure was permitted by H.R. 6410.
Under this legislation, the res onsibilit and accountabilit for
t ency s information management activities is in t at senior
Saes o e. proposed structure for an agency will comply with
the hrttnC~f H.R. 6410 provided that (a) the agency's information
functions, which relate to the OMB Director's functions listed in
Section 3504(a), are under the jurisdiction of the designated agency
official and (b) the designated official has final approval authority
over the agency's information functions. Subcomponents may be
created under the designated agency official as necessary to reflect
the agency's operating needs, as long as such subcomponents shall
report directly to, and be under the direction of, such official. This
recognizes that one structure will not be appropriate for all
agencies.
The appropriate structure under H.R. 6410 is somewhat different
in the case of a Government department having constituent agen-
cies, such as the Department of Defense. The Committee expects
that each constituent agency wilrestablish a central information
management unit, subject to the review and approval of the depart-
ment-level unit headed by the designated senior official. The basic
reason for this organization is that a department has the responsi-
bility to consider its mission in a department-wide sense, whereas a
constituent agency will generally consider only its own mission. In
some cases, an individual action may raise a conflict between a
constituent agency and its department. Consistent with the objec-
tives of this legislation and within statutory limits, the constituent
agency must conform its needs and interests to those of the
department.
H R fdl (1 nrm= ?0OMR Director to delegate the responsibili-
tv of annrnv,nu nosed in orma ion co ec ion requests To Tne
nrnrtnr "ntl T.t1at
information mana
sew io cial. F o~ wever, 7efore sucfrde eegation is madeie
Committee expels that the OMB Director will verify, by reviewing.
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the agency's structure, procedures, and resources applied, that the
agency has sufficient capability to effectively evaluate the proposed
information collection requests. H.R. 6410 states that, in acting for
the OMB Director, the senior agency official is to comply fu)ly with
the rules and regulations promulgated by the Director. he bill
does not permit that official to redelegate his approval authority
V The Committee also notes that. under section 111 of the Federal
C. wbere rnel gpn ie
petencei and s anon rarnrd the
t onn ,y, sir ant nro n nl-,ror.~,..,
ments of automatic data processing
1nvoivemen
t
Agon
to
resources with less direct
be ma e to a senior in ormation management of-
,
mes
ting a certain degree of agency autonomy, wi11 provi1 a strong in-
centive to the agencies to make the substantial improvements in
their information resources management which are a necessary
prerequisite for the delegations being made.
Another essential part of the design for the Federal Govern-
ment's information resources management structure is the oppor-
tunity for public input. H.R. 6410 requires the OMB Director to
consult with the public and the agencies affected in developing in-
formation policies, rules, regulations, and procedures. The agent
,are to i u~missions
o ro os *~nn rollert~ ogiic tc to OMB or aDnrova t
understood ts requirement 'is for the pur-
that this
s ou a clearl
collection. 1-
pose of allowing the public to comment on the proposed informa-
y
of the Administrative Procedure
Act allowing public comment on the prop W=. I He
expects that in promulgating in ormation policies,
rules, regulations, and procedures, the OMB Director will require
agencies to consult with the public with regard to the conduct of
their information management activities. These provision should
increase the opportunity for the public to provide suggestions to
the Government for improving its information activities.
A final component of the management structure being created
under the legislation is ensuring that necessary resources are allo-
cated to the information resources management task. In this
regard, H.R. 6410 provides a specific authorization of funds for
OMB to carry out the provisions of the bill. It is not clear to the
Committee whether any additional funding will be required by in-
dividual agencies. If the information resources management func-
tions are properly staffed now, no additional resources will be
needed. Assistant Secretary of Defense Wacker testified that his de-
partment would not need additional resources to carry out the
bill's provisions.
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H.R. 6410 not only strengthens and expands functions presently
existing in OMB but also adds two new functions. The legislation
further allows the OMB Director to assign other related informa-
tion policy functions to the new office.
The Office of Federal Information Policy will be responsible for
setting Government-wide information policies and standards relat-
ed to the collection, use, and dissemination of information by Fed-
eral agencies. The functions vested in the new office are described
in Section 3504 of proposed new chapter 35 of Title 44, United
States Code. These functions are policysetting and management
oversight functions, as distinguised from operating functions which
will remain with the various agencies. However, the agencies are
required and expected to abide by the policies and standards estab-
lished by the Office of Federal Information Policy.
Several functions related to information policy are presently lo-
cated in OMB. The Committee expects the core of the new office
will be OMB's recently-created Office of Regulatory and Informa-
tion Policy. That office now has responsibility for (1) overseeing
agency activities under Executive Order 12044 on "Improving Gov-
ernment Regulations," (2) that portion of the reports clearance re-
sponsibility currently assigned to OMB, (3) oversight of automatic
data processing resources under the Brooks Act (P.L. 89-306), (4)
certain telecommunications responsibilities. under Executive Order
12046, (5) Privacy Act oversight, and (6) following up and reporting
on the status of the recommendations of the Commission on Feder-
al Paperwork.
Under H.R. 6410, the OMB Director is to ensure that the agen-
cies, in developing rules and regulations, use efficient methods to
collect, use, and disseminate the necessary information. The Com-
mittee views this function as similar to the present OMB function
of overseeing agency activities under Executive Order 12044.
A question was raised during the hearings as to whether the
bill's language meant the OMB office was to have a regulatory
reform function. Regulatory reform is a separate issue from the
function assigned by H.R. 6410. Under the bill, OMB is assigned
the responsibility for reviewing, reporting and recordkeeping re-
quirements imposed on the public by regulations. Regulatory
reform, on the other hand, deals with major modifications in
agency responsibilities. The Committee intends that OMB continue
its effort in overseeing the information aspects of Government reg-
ulations. However, the assignment of regulatory reform to the
Office of Federal Information Policy would dilute the information
functions assigned under this bill.
OMB's responsibilities under the Brooks Act (Public Law 89-306)
are to be delegated to the Office of Federal Information Policy
under H.R. 6410. The Brooks Act was enacted to establish a frame-
work for the central management and procurement of the Govern-
ment's automatic data processing resources. The Act has two basic
objectives: (1) ADP resources should be procured as economically
and efficiently as possible and (2) only those resources should be
procured which are needed and which can assist the management
of Government programs.
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The Committee described its view of OMB's role in ADP over-
sight in its report on the Air Force's Phase IV Program (House
Report 96-694). The Committee said in that report that OMB, in
conformity with the requirements of the Brooks Act, should estab-
lish: (1) Government-wide policies on the acquisition and use of
ADP resources; (2) regulations containing detailed requirements on
how agencies are to justify their ADP planning and acquisition de-
cisions, including the development of common workload definitions,
descriptions, analyses, and standard forms of presentation; (3) oper-
ational guidelines for the General Services Administration and the
Department of Commerce to follow in carrying out their responsi-
bilities, including review of agency plans and studies and enforce-
ment of central oversight policies and regulations; and (4) a 5-year
operating plan for the effective implementation of the Brooks Act,
to be reviewed yearly to allow for operational adjustments and
budgetary considerations. Additional guidance on how the Brooks
Act objectives should be carried out is contained in Appendix IV of
the House Report. The Committee expects that the Office of Feder-
al Information Policy will use this guidance in fulfilling its respon-
sibilities under H.R. 6410.
OMB's ADP oversight role under the Brooks Act ties very closely
to a major purpose of H.R. 6410, to improve the efficiency and ef-
fectiveness of Government programs through the improved man-
agement of information resources. Under this legislation, technol=
ogy for managing information resources should be acquired and
used in a manner which improves service delivery and program
management, increases productivity, reduces waste and fraud, and
reduces the information processing burden on the Government
agencies and the public. This technology includes, but is not limit-
ed to, computer technolgy, communications technology, and related
information handling, storage, and retrieval technology.
During testimony, the GSA witness discussed the issue of manag-
ing equipment under the Brooks Act which was classified as office
equipment. He specifically referred to a new regulation issued to
the agencies by GSA on word processing but stated that many
agencies were resisting the notion that office automation, data
1 processing, and communications were related. It is the intent of the
Committee that word processors and other kinds of technology for
handling information be covered for purposes of H.R. 6410 and the
Brooks Act.
H.R. 6410 also expends OMB's telecommunications responsibil-_
ities. The telecommunications policy-setting function is presently
split among several organizations, including OMB. This legislation
expands the OMB Director's responsibility by vesting full responsi-
bility for establishing all telecommunications policies, principals,
standards, and guidelines in the Director. Subject to OMB's over-
sight, the Department of Commerce will retain its operational re-
sponsibilities with regard to private sector telecommunications, and
GSA will retain its operational and management responsibilities
relating to Government telecommunications.
This legislation extends OMB's responsibility to follow up on the
recommendations of the Commission on Federal Paperwork. Under
legislation which created the Commission, OMB, in conjunction
with the executive agencies, was to (1) formulate the views of the
executive agencies on the recommendations of the Commission, (2)
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carry out the recommendations in which they concur to the extent
practicable within the limits of their authority and resources, and
(3) propose legislation needed to carry out or to provide authority
to carry out other Commission recommendations in which they
concur. OMB was to submit to the President and the Congress
status reports at least every 6 months and a final report within 2
years of the conclusion of the Commission's work.
Action on the Commission's recommendations is far from com-
pleted. OMB testified on February 21, 1980, before the Subcommit-
tee that more than half of the Commission's recommendations di-
rected at the executive branch had been implemented. However,
the Committee's Ranking Minority Member, the Honorable Frank
Horton, who is the former Chairman of the Paperwork Commis-
sion, questioned OMB about a draft GAO report entitled "The Fol-
lowup Program for Federal Paperwork Commission Recommenda-
tions Is in Trouble". The report, issued after the hearing, stated
that (1) the OMB followup program needs leadership and has a
number of fundamental problems in the way it was designed to op-
erate, (2) agency top managers are not participating in the followup
program, (3) the reported claims of implementation and rejection of
many recommendations is incorrect, (4) the OMB. status reports
provided insufficient information and need to be completely rede-
signed, (5) some Commission recommendations had not been as-
signed to agencies for action, and (6) OMB had excluded recommen-
dations directed at the Congress from its followup process even
though the recommendations impact in a major way on ongoing
agency programs and policies. OMB agreed to provide information
for the record responding to the issues raised in the GAO report.
OMB subsequently provided the Committee with a copy of its
comments to GAO on a draft report. OMB said that GAO's conclu-
sions about the status of individual Paperwork Commission recom-
mendations were premature because OMB has not rendered final
decisions on the status of any of the recommendations even though
a status is shown in OMB's interim reports. OMB also said it has
taken steps to augment the resources and increase the level of
effort devoted to the Commission recommendations.
GAO, in its final report, disagrees with these and other OMB
comments. The GAO report points out that the most recent OMB
status report (September, 1979) does not indicate any "tentative"
status on those recommendations marked "Implemented" or "Re-
jected" and that OMB did not have actions underway to report
better information in the final OMB report. While OMB contends
that more than half of the recommendations have been "fully im-
plementd," GAO states that Commission recommendations were
often assigned to the wrong people, written evaluations were not
prepared, decisions were based on limited or bad information, top
managers were not brought into these decisions and the imple-
menting actions were not taken. GAO further pointed out that
OMB comments did not address GAO's recommendations aimed at
redesigning the program, putting someone in charge full-time, and
obtaining entirely new agency responses for a majority of the Com-
mission recommendations.
OMB recognizes that additional time is necessary to complete
action on the Commission recommendations and has endorsed the
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provision in H.R. 6410 extending its statutory responsibility for fol-
lowing up on the Paperwork Commission recommendations.
Under this legislation, the Office of Federal Information Policy
will become responsible for statistical policy. This responsibility
will include: (1) Developing long range plans for improving the per-
formance of Federal statistical activities; (2) coordinating the Gov-
ernment functions relating to statistics and statistical information;
(3) overseeing the establishment of Government-wide statistical
policies, principles, standards, and guidelines; and (4) evaluating
statistical program performance. The statistical policy and coordi-
nation function, which is described generally in section 103 of the
Budget and Accounting Procedures Act of 1950 (31 U.S.C. 18b), is
vested in the President but presently assigned to the Department
of Commerce by Executive Order 12013. H.R. 6410 transfers the
statistical policy function to the OMB Office of Federal Information
Policy and describes it with greater specificity than does the exist-
ing law.
There is some disagreement as to where the statistical policy
function should be located. The Comptroller General testified that
he clearly favors transferring the statistical policy function from
the Department of Commerce to the new OMB office, as provided
by H.R. 6410. He indicated that the statistical policy function is
closely related to the other information management functions as-
signed the new office by H.R. 6410 and that statistical policy should
also be assigned to* OMB.
The OMB witnesses, however, testified that they - believed the
bill's provisions assigning statistical policy to OMB should be de-
leted. OMB considered the statistical policy function to be unique
and alleged that its administration requires sufficient indepen-
dence to address the needs of the statistical community. The OMB
witnesses conceded, however, that their agency must work closely
with those persons responsible for statistical policy, suggesting a
close interrelationship between the statistical policy function and
the other information management functions presently assigned to
OMB.
In a March 3, 1980, letter to the Committee Chairman, OMB reit-
erated its strong belief that the statistical policy function should
remain outside OMB and should not be absorbed within an organi-
zation devoted to paperwork reduction and. information resources
management. OMB gave two reasons for its position.
First, OMB said that, if statistical policy coordination and over-
sight is to be effective, it must be a demanding, time-consuming
function. OMB believes that inclusion of statistical policy functions
within the Office of Federal Information Policy would distract the
OMB officials concerned with regulatory and information policy
issues and would interfere with the effective execution of both the
objectives of H.R. 6410 and the President's directives to OMB to
reduce the burden of regulations and paperwork imposed upon the
public. OMB contends that combining statistical policy with the
other information management functions will submerge either im-
portant statistical issues or the other functions.
Second, OMB said the importance of statistical policy issues has
grown so great in the past several years as to merit significant and
separate emphasis. OMB pointed out that statistics are used to dis-
tribute monies under several grant programs and that the effect of
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statistics on inflation is of real concern. OMB believes these policy
issues should be resolved separately from OMB's responsibilities for
reducing the regulatory and paperwork burden on the public. Ac-
cording to OMB, it was for this reason that the President approved
the transfer of the statistical policy function from OMB to the De-
partment of Commerce.
The Committee believes that most policy setting, coordination,
and oversight functions, if they are to be effectively and efficiently
carried out, will be time consuming. With regard to the possibility
of one information management function being overshadowed by
another, the Committee expects that the OMB Director and Ad-
ministrator of the Office of Federal Information Policy would not
let this occur. The Committee expects OMB to effectively and effi-
ciently carry out each of the functions assigned under H.R. 6410 or
provide it with reasons why such implementation cannot be
performed.
The intent of the Committee under H.R. 6410 is to consolidate all
the policy-setting and oversight functions related to information
management, so that coordinated, consistent, Government-wide
policies will be developed and implemented. Thus far, policies relat-
ed to information management have been developed on a piecemeal
basis by numerous organizations. The Committee believes that the
Government must coordinate these policies and make them consist-
ent. The closeness of the relationship to information resources
management is the criterion for inclusion of functions in the Office
of Federal Information Policy. OMB agrees that a relationship
exists between statistical policy and the other information manage-
ment functions described under the bill. The Comptroller General
and other witnesses testifying before the Committee recommended
that statistical policy is clearly an information resources manage-
ment function.
With regard to the importance of statistical policy issues, prior to
October 1977, statistical policy was determined within OMB, at a
level above the agencies' statistical operating activities. Since Octo-
ber 1977, statistical policy has been made within an executive de-
partment, at the same level as the agencies' statistical operating
activities. The Committee views this 1977 move as a downgrading
in the importance of the statistical policy function and contrary to
the increasing significance of the function.
The Committee's inclusion of statistical policy in H.R. 6410 will
elevate the function, combine it with related information functions,
and correct the current deficiencies of the ineffective statistical
policy function. Because of these factors, the Committee concludes
that it is appropriate to assign the statistical policy function to the
new OMB Office of Federal Information Policy. However, since
the Committee believes improvements are necessary, it will con-
sider further Administration proposals with regard to creating
protected "statistical enclaves' or other improvements in statis-
tical activities.
A records management policy-setting and oversight function is
being created and assigned to the Office of Federal Information
Policy. The Office will oversee the records management activities
carried out by the Administrator of General Services, provide
advice and assistance to GSA, and review agency compliance with
records management requirements. The Comptroller General cited
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the need for this new function stating that, in the past, the records
management function has not received the level of management at-
tention it deserves. The GSA witness testified that having the au-
thority and support of OMB behind GSA's record management in-
spection programs would have a very positive effect on agencies'
commitments to improve their records and information manage-
ment practices.
H.R. 6410 also permits the OMB Director to assign additional
functions to the Office of Federal Information Policy. Any such
functions should be specifically related to the information policy
functions assigned the Office by this legislation. Some witnesses
suggested certain other functions for the Office. For example, the
Comptroller General and the representative of the Association for
Federal Information Resources Management both mentioned Free-
dom of Information Act coordination as a possible added function.
To the extent possible, the related functions would be added by ad-
ministrative action of the OMB Director. If legislation is needed to
add any appropriate functions, the Director should ensure that the
necessary proposals and justification are developed and submitted
to the Congress for its consideration. The Committee expects that
the Director will not at any time assign to the Office of Federal
Information Policy functions unrelated to information resources
management.
H.R. 6410 provides a series of tasks to-be performed by the OMB
Director and deadlines by which the tasks must be completed. The
Committee expects the Director and Office Administrator to assign
Office personnel in such a manner as to ensure the carrying out of
all the functions of the Office of Federal Information Policy, as
well as accomplishing the specified tasks within the times required
by this legislation.
The tasks include developing a 5-year plan for meeting the ADP
and telecommunications needs of the Federal Government, revital-
izing the development of information processing standards, assign-
ing the responsibility for conducting audits of major information
systems, and establishing the Federal Information Locator System.
These and other similar tasks of making plans for improving infor-
mation activities and establishing information standards are
needed to provide a base for OMB to carry out its responsibilities.
Without establishing this base upon which to build, OMB will not
be able to achieve the objectives of H.R. 6410.
Assignment of these tasks permit the new OMB Office of Federal
Information Policy the opportunity to achieve some early successes
toward improving Federal information activities. It will also permit
an evaluation of OMB's effectiveness in implementing this legisla-
tion.
Of particular importance to the Committee is for the Director of
OMB to develop, in consultation with the Administrator of GSA, a
five-year plan for meeting the automated data processing and tele-
communications needs of the Federal Government. This plan will
offer Congress, agencies, industry, and the public a clear summary
of planned expenditures, probable events, and patterns of techno-
logical applications in the Federal Government. This plan should
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become an ongoing annual statement of the Office of Federal Infor-
mation Policy.
The foundation of the plan should be an assessment of the infor-
mation processing resources available to the Federal Government
and estimates of future needs for the planing period. Known or
probable trends in types of equipment or services consumed should
be highlighted. The GSA is authorized and directed by Public Law
89-306 to provide for these needs must translate these trends and
opportunities into responsive and efficient service programs. This
may require GSA to discard the inadequate or no longer appropri-
ate programs and regulations and to establish or develop new ones.
The plan should also project significant events for the five-year
period and discuss the impact or consequences of each. Such
events, for example, might include the issuance of new standards,
revised Government-wide policies, the establishment of new service
centers, scheduled audit or inspection of major automated informa-
tion systems, and milestones for the Federal Information Locator
System.
The General Services Administration has some central manage-
ment responsibilities under both existing law and H.R. 6410.
The Brooks Act (P.L. 89-306) gives GSA, along with OMB, a cen-
tral management role to ensure that the Act's objectives are met.
However, in its report on the Air Force's Phase IV automatic data
processing procurement (House Report 96-694), the Committee
cited several weaknesses in GSA's fulfillment of its central man-
agement role. The Committee recommended that GSA increase its
activities under the management oversight responsibilities assigned
by the Brooks Act. The Committee said GSA must reorient its man-
agement philosophy, which emphasizes its service role as opposed
to its management oversight function. The Committee described
what it believes GSA's role to be. With OMB setting policy and
maintaining oversight under both the Brooks Act and H.R. 6410,
GSA should act as the Government's operational manager of ADP
resources following OMB's guidelines and mandates. This would in-
clude reviewing agency procurement justifications to insure compli-
ance with Government ADP policies and regulations prior to the
acquisition of ADP resources by the agencies. GSA's Brooks Act re-
sponsibilites are clarified and made more specific under H.R. 6410.
Further, these responsibilities are integrated with the new central
management responsibilites assigned by this legislation.
Similarly, chapter 29 of title 44, United States Code, gives GSA a
central management role with regard to records management. H.R.
6410 assigns OMB policy-setting and oversight responsibilities in
that field. The Committee expects that GSA, following OMB's
guidelines, will continue to be the operational leader in improving
agencies' records management practices.
GSA is also assigned new central management responsibilities
under this legislation. As a means of identifying needed improve-
ments in the agencies' information activities, H.R. 6410 requires
the OMB Director, with the advice and assistance of GSA, to
review the information resources management activities of each
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agency at least once every 3 years to ascertain their adequacy and
efficiency. The results of these reviews are to be reported to the
agency head and selected congressional committees.
GSA was given this function of assisting the OMB Director in
reviewing agency information activities because of its current
expertise in ADP, telecommunications, and records management.
The assignment of this central management function, however,
may suggest the need for a consolidation of GSA activities pertain-
ing to ADP, telecommunications, and records management. Fur-
thermore, GSA may have to increase its staff assigned to these ac-
tivities in order to do a creditable job in its review of the agencies'
information activities. Delegations to the agencies of the responsi-
bility for ADP acquisition authorized by section 111 of the Federal
Property and Administrative Services Act would release some re-
sources which could be applied to the reviews of agency activities.
The Committee expects GSA's fulfillment of this new responsibility
to be a crucial part of the new management structure created
under this legislation.
In addition, GSA is to assist OMB in conducting studies and de-
veloping standards related to records retention requirements im-
posed on the public and on State and local governments by Federal
agencies. The representative of the Association of Records Manag-
ers and Administrators testified in great detail about the problems
faced by organizations attempting to comply with Federal Gov-
ernment records retention requirements and the need for this
.provision. GSA's responsibilities for Federal records retention
requirements renders it uniquely capable to assist in developing
and reviewing records retention requirements imposed on the
public and on State and local governments.
The need for improving the Federal agencies' management atten-
tion, structure, procedures, and staffing for carrying out their in-
formation activities is well documented. Such improvements will
cost money, but their potential for savings due to increased effi-
ciencies in Government operations far outweigh these costs.
Studies by various organizations demonstrate that improvements
are needed in the agencies' information activities. Over the past
several years, the General Accounting Office has issued a number
of reports citing deficiencies in various agencies' information prac-
tices and procedures. The Comptroller General provided for the
record a summary of some of these reports identifying, where possi-
ble, estimated benefits which could be achieved through improved
information management in the agencies. The Commission on Fed-
eral Paperwork and the President's Reorganization Projects for
Federal Data Processing and Statistics also demonstrated deficien-
cies in the agencies' practices and made recommendations for
improvements. Furthermore, the President has stated that the
reporting burden levied by Federal agencies subject to the Presi-
dent's paperwork reduction program has been reduced by almost
15 percent during the first two years of his Administration. These
claimed reductions are commendable, but the fact that reductions
could be accomplished demonstrates that the agencies' procedures
were lax because the eliminated collections should never have been
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made. The public continues to scream about the Federal Govern-
ment's reporting and recordkeeping requirements. That complaint
was very much vocalized at the recent White House Conference on
Small Business.
Several of the witnesses suggested a need for greater recognition
on the agencies' part that information is a resource to be managed
just as personnel, supplies, and equipment resources are managed.
Two agencies have cited examples of their recognition of the impor-
tance of information and the proper management of that resource.
These are the Environmental Protection Agency, which provided a
communication to the Committee, and the Department of Defense,
which testified before the Subcommittee.
EPA advised the Committee that information about the environ-
ment and the effects on the environment of specific substances and
activities was essential for EPA to implement and enforce U.S. en-
vironmental protection laws. EPA estimates that it presently
spends in excess of $150 million annually to gather and analyze in-
formation. In the past, EPA said serious questions were raised
about its information activities. GAO, OMB, and other critics ques-
tioned the effectiveness of EPA's management of its information.
The present EPA Administrator posed similar queries when he
came into office and directed a thorough review of the situation.
The review showed that EPA did not have the necessary manage-
ment controls over its annual investment in information. Based on
this study, the EPA Administrator initiated a series of reforms to
gain control and improve the management of his agency's informa-
tion resources.
Assistant Secretary of Defense Wacker also recognized the need
to strengthen and improve information management and control
processes. He testified that, from DOD's perspective, a major objec-
tive of H.R. 6410 is to implement the concept of information re-
sources management. This concept focuses efforts to manage and
control information through its entire life cycle, from the time the
requirement for the information is first expressed through the ulti-
mate disposition of the data. Assistant Secretary Wacker said DOD
is moving to implement the life cycle information management
process throughout DOD.
The Assistant Secretary described certain actions taken in his de-
partment over the past few years to improve information resources
management. These actions include (1) attempting to develop de-
partment-wide policies and procedures to achieve improvements in
information management, (2) developing an information locator
system, and (3) reducing information collection requests by 20 per-
cent, which the Department estimated would save an estimated $44
million.
While these agencies have recognized that information is a valu-
able resource which should be managed and have taken certain
steps to manage their information, substantial actions are needed
by both if they are to live up to their responsibilities under H.R.
6410. The Committee's discussion of DOD's information manage-
ment contained in the report on the Air Force's Phase IV automat-
ic data processing procurement and a recently issued GAO report
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on EPA's information management 1 criticize the respective agen-
cies for the lack of management attention by the central agency
offices, application of inadequate resources to the information
management process, and inadequate authority being vested in the
central agency office. In some respects, the two agencies are ahead
of other agencies in managing their information resources al-
though it is clear that neither have demonstrated adequate capabil-
ity to qualify a delegation of authority from OMB under H.R. 6410.
H.R. 6410 establishes a broad mandate for agencies to perform
their information management activities in an efficient, effective,
and economical manner. In carrying out their activities, agencies
are to comply with the policies, principles, standards, and guide-
lines prescribed by the OMB Director. In addition, agencies are re-
quired to take specific steps and develop certain procedures which,
taken together, should improve information management practices.
The reviews by the Director of the agencies' information activities
should provide additional opportunities for resolving problems in
the agencies' information management activities.
Major revisions are made by this legislation to strengthen the ad-
ministration of the Federal Reports Act, which is the statute pres-
ently providing for control of paperwork burdens imposed on the
public by the Federal Government. That law, enacted in 1942, re-
quires the Bureau of the Budget (now Office of Management and
Budget) to review and approve most of the forms and question-
naires used by the. Federal agencies to collect information from the
public. The act contained certain weaknesses from its inception,
such as certain agencies imposing a heavy reporting burden were
being exempted from the Act's requirements. The Act was further
weakened in 1973 when it was amended to transfer the responsibil-
ity for reviewing the independent regulatory agencies' forms and
questionnaires to the General Accounting Office. Then in 1976, the
Health, Education, and Welfare Secretary was assigned responsibil-
ity for establishing a data collection program on health professions
personnel which was exempted from OMB's clearance authority.
Finally in 1978, the HEW Secretary was assigned responsibility
over all Federal data collections from educational institutions and
programs. This fragmentation of responsibility further weakened
the administration of the Act. The following changes contained in
H.R. 6410 are intended to correct these weaknesses.
First, H.R. 6410 consolidates the paperwork control responsibility
in OMB's Office of Federal Information Policy. That control respon-
sibility is currently fragmented among OMB, GAO, and the Depart-
ment of HEW. If this bill is not enacted, control will be further
fragmented as some of it will soon be transferred to the new De-
partment of Education. Both OMB and GAO testified in favor of
consolidating the control responsibility in OMB. In response to a
question from the Committee, the Comptroller General said such a
split in responsibility (a) violates the basic management principle
of clear designation of lines of authority, responsibility, and ac-
' "Stronger Management of EPA's Information Resources Is Critical to Meeting Program
Needs" (CED-80-18; March 10, 1980).
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countability; (b) creates serious difficulties in trying to control du-
plicate information requests; (c) creates jurisdictional problems in
determining which of the central clearance agencies has authority
to clear certain agencies' proposals or certain types of require-
ments; and (d) creates confusion for the Congress and the public in
obtaining information and advice and in making their views known
on issues and problems associated with particular Federal informa-
tion requirements. This consolidation brings the independent regu-
latory agencies under the same review process as other agencies,
but it makes special provision to protect the independence of those
regulatory agencies.
Second, H.R. 6410 eliminates all of the current exemptions from
the central review process. The Federal Reports Act initially con-
tained exeptions for the Internal Revenue Service, certain other
Treasury Department agencies, and the Federal bank regulatory
agencies in carrying out their bank supervisory functions. These
agencies account for well over half of the information requirements
currently imposed by the Government on the public.
OMB testified that the existing statutory exemptions which di-
minish its authority to review Federal paperwork activities should
be ended. OMB pointed out that a majority of the Federal paper-
work burden, is presently exempt from OMB review and concluded
that, without the review authority, there was little it can do to
reduce the burden imposed on the public by these requirements.
GAO agreed that the exemptions should be eliminated. A former
IRS Commissioner, testifying for the Citizens Committee on Paper-
work Reduction, also advocated the need for strong oversight of all
agencies, including IRS, to make sure that efforts to reduce paper-
work continue.
Third, recordkeeping requirements are specifically included in
the reports clearance process. The Federal Reports Act is presently
unclear on whether the recordkeeping requirements are subject to
clearance. The Comptroller General stated in his testimony that
both GAO and OMB have required that these requirements be
cleared, but some agencies have resisted compliance.
Fourth, the definition of "collection of information" clarifies an
ambiguity as to the types of information collections covered by the
Act. The Comptroller General testified that certain interpretations,
such as that by the Securities and Exchange Commission, severely
limit the scope of the act and the controls over Federal information
collection efforts.
Fifth, the bill clarifies the agencies' responsibilities by requiring
agencies to eliminate duplication, minimize burden, and develop
plans for tabulating data before they request OMB approval of pro-
posed information requirements. Agency responsibilities under the
Federal Reports Act are unclear. The Comptroller General testified
that, in some cases, agencies have attempted to force upon OMB
and GAO tasks which he believes the agencies should be perform-
ing while developing their information collection instruments.
Sixth, H.R. 6410 is specific in requiring OMB to evaluate and
report on the agencies' information management activities on a pe-
riodic basis. The Federal Reports Act now requires the OMB Direc-
tor to investigate agencies' needs for information and methods used
to obtain data. OMB has implemented this language almost entire-
ly through the reports clearance process. H.R. 6410 requires evalu-
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 Approved For Release 2007/05/17: CIA-RDP85-00003R000300050014-1
ations to be carried out separate from, and in addition to, that
process. The Committee believes that the implementation of this
provision is essential if OMB is to achieve the objectives of this leg-
islation. Further, the Committee expects that the agencies will
complete the needed corrective actions in a timely manner.
Seventh, H.R. 6410 requires agencies, when submitting a pro-
posed information collection request to the OMB Director for ap-
proval, to cause a notice of the submission to be published in the
Federal Register. This notice is for the express purpose of alerting
the public to the proposed information collection, so that comment
can be made on it. The Federal Reports Act does not now require a
Federal Register notice.
Eighth, the bill stipulates that no penalty may be imposed on a
person who fails to respond to an information collection request
which was not approved in accordance with the law's provisions.
OMB identified in September, 1979, 12 information collection in-
struments with regard to education alone, which were being used
by various agencies without approval. H.R. 6410 would allow the
public, by refusing to answer these questionnaires, to help control
"outlaw forms".
Ninth, this legislation permits the OMB Director to delegate to
senior agency officials his power to approve proposed' information
collection requests. privilege
of approval authority by demonstrating sufficient capability o
review the requests. The Comptroller General testified in favor of
this provision, which would enable OMB to move from the time-
consuming effort of reviewing individual reporting and recordkeep-
ing requirements to a policy and oversight role. OMB also testified
in favor of the provision, stating its intention to concentrate on de-
veloping Government-wide policies and one evaluating agency per-
formance, instead of reviewing individual reporting requirements.
Although the Commi
collection re uests ma be useful in certain
in A
e e ation does not ' B s over-
clearance r ices or rec u e
OMB from reviewing specific In ormation collection Ins rumens.
Further, OMB must review the proposed information collection re-
quests until such time that the agencies adequately staff the
function.
ELIMINATION OF DIVISION OF CLEARANCE AUTHORITY WITH RESPECT TO
EDUCATION DATA COLLECTION
H.R. 6410 eliminates the fragmentation of the central clearance
process as one of the improvements in the Federal Reports Act-
the direct mechanism for controlling reporting burdens imposed on
the public. This necessitates making conforming amendments to
other legislation. The Committee strongly believes that the infor-
mation collection requests of each Federal department and agency
should be scrutinized in accordance with the same rules and
regulations.
In the case of information collections from educational institu-
tions, repeal of the HEW Secretary's authority substitutes the
management structure created under H.R. 6410 for one created by
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amendments to the General Education Provisions Act (GEPA)
which were enacted on November 1, 1978. GEPA imposes on the
Secretary of HEW the responsibility for coordinating the collection
of information (1) whenever the respondents are primarily educa-
tional agencies or institutions and (2) whenever the purpose of an
information collection is to request information for the manage-
ment of, formulation of policy related to, or evaluation of, Federal
education programs. GEPA establishes a council appointed by the
HEW Secretary and composed of representatives of both the public
and the Federal Government. The council is to provide advice to
the Secretary and review the policies, practices, and procedures es-
tablished by him. The Committee understands that the Secretary's
responsibilities have been delegated to the National Center for
Education Statistics in the Office of the Assistant Secretary for
Education. HEW's responsibility under GEPA will be transferred
to the Department of Education once that Department is operating.
H.R. 6410 transfers the education information collection approval
responsibility back to OMB. GAO and OMB both testified in favor
of eliminating the present split authority. The Commission on Fed-
eral Paperwork, although it concluded its work before the GEPA
amendment, also favored eliminating split authority and central
clearance exemptions under the Federal Reports Act.
H.R. 6410 is not the first attempt to repeal the education exemp-
tion from central clearance under the Federal Reports Act. The
Senate attempted to repeal the exemption by a provision contained
in the Senate-passed version of the legislation to create the new
Department of Education. The House-passed version did not con-
tain a similar provision. The Senate conferees agreed to the House-
passed version on this point, on the understanding that the issue
would be dealt with in this legislation. Thus, the provision to
repeal the exemption is included in H.R. 6410.
A question has been raised about whether OMB will staff itself
to do an effective job of making Government-wide information
policy and reviewing and coordinating information collection re-
quests and minimizing the burden imposed by them on the public.
The Committee intends that OMB staff itself to do an efficient and
effective job carrying out all its responsibilities assigned by H.R.
6410. Specific authorization is provided for the Office of Federal In-
formation Policy in this legislation to ensure this.
RELATIONSHIP OF INDEPENDENT REGULATORY AGENCIES TO CENTRAL
MANAGEMENT STRUCTURE
Under H.R. 6410, responsibility for reviewing the independent
regulatory agencies' information collection proposals is transferred
from GAO to OMB, so that a single central approval authority may
be created. However, the bill contains a provision for each regula-
tory agency, by a majority vote of its members, to override a denial
by the OMB Director. This preserves for the regulatory agencies
their existing authority to make the final decision on their own in-
formation needs, but requires their members to take a second look
at any information collection instrument in. cases where questions
of need are raised by the Director.
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In comments to the Committee, the Federal Communications
Commission and Securities Exchange Commission both described
the effect of H.R. 6410 on their autonomy in view of the impossibil-
ity of separating information management from substantive agency
policymaking. Information gathering is essential for formulating
policy as well as for managing regulatory programs. Determina-
tions of compliance with regulation often are made on the basis of
information collections. Both independent regulatory agencies
raised questions concerning the override provision and how it re-
lates to sections 3507 and 3508 of proposed new chapter 35, Title
44, United States Code.
Section 3507 is the section requiring approval by OMB of pro-
posed agency information collections from the public. The override
provision for the independent regulatory agencies is contained in
this section.
Section 3508 deals with the OMB Director's determination of
whether an agency needs information for the proper performance
of its functions and whether the information has "practical utility"
for the agency. Although undefined in the bill, the Committee con-
siders "practical utility" to be the ability of an agency to use infor-
mation it receives, including the capability to process such informa-
in a timely and useful fashion. The Committee intends for the
independent regulatory agencies to have the final say in determin-
ing their needs for information as long as such decisions are part of
the public record and are consistent with section 3507(b). However,
the Committee believes that an agency, regulatory or otherwise,
should not collect any information it neither needs nor can use in a
timely fashion. Too often, agencies will collect reams of data on the
basis of need only to store the data unused. The collection of such
data imposes an unnecessary reporting burden on those individuals
or organizations being asked to provide it.
Under section 3509, the OMB Director may designate a collection
agency to obtain information for two or more agencies if he or she
determines that the agencies' needs will be adequately served by a
single collection agency. The Federal Communications Commission
questioned whether the override provision would apply under this
section to prevent OMB control over the independent agencies' in-
formation activities. The Committee does not believe the override
provision applies in the case of section 3509. We recognize, howev-
er, that an independent regulatory agency can in effect veto a deci-
sion under this section in two ways: first, by convincing the Direc-
tor to reverse or revise his order with regard to central collection,
and second, by proposing an information collection independent
from the designated agency under seciton 3507 and then overriding
the OMB Director's disapproval of that proposal.
SEC also told the Committee that while it strongly supports the
goal of reducing the paperwork burdens on the public, it has seri-
ous concerns about the provisions of the bill which establish a
system of review of SEC's information collection actions by OMB.
SEC said these provisions would be inconsistent with the often-
stated Congressional desire to preserve the Commission's policy-
making independence and could impose burdens and delays on the
administrative process. SEC said it does not believe that such re-
views by OMB would provide any redeeming benefits. Moreover,
SEC said certain provisions of the bill might be construed to estab-
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23
lish a basis for persons subject to its jurisdiction to disregard or
delay essential filing and reporting requirements.
SEC Strongly recommended that H.R. 6410 be amended to
narrow the definition of "collection of information" to exclude re-
porting required in connection with statutorilly-authorized regula-
tory, enforcement, or oversight efforts. SEC believes that the cur-
rent Federal Reports Act definition is limited to collection for sta-
tistical purposes and does not authorize review of disclosure-or en-
forcement-related information gathering.
The Committee agrees with both FCC and SEC as to the close re-
lationship between policymaking and information management.
However, regulatory agencies in the executive branch, such as
EPA, have been able to justify to OMB their need for information
used to establish policy or for other purposes. The independent reg-
ulatory agencies should also be capable of doing so. Most independ-
ent regulatory agencies presently justify their need for such infor-
mation to GAO. SEC, however, has been an exception because of
the narrow interpretation it has applied to the existing Federal Re-
ports Act definition of "information". The Committee's intent in
making the changes in the definition was to clarify the existing
definition to force SEC and any others who might apply a restric-
tive interpretation to comply with statutory information collection
clearance requirements. The Committee fully expects SEC to
comply with the "more extensive" definition of collection of infor-
mation as contained in H.R. 6410.
SEC is correct in its interpretation that persons subject to its ju-
risdiction may disregard or delay filing requirements, but only if
SEC fails to clear its information collections properly. The provi-
sion in section 3512 forbidding the imposition of penalties for fail-
ing to provide information to an agency if the information collec-
tion is not approved is a step the Committee believes is needed to
gain agency compliance with the law. An interim period is pro-
vided before this provision takes effect to permit agencies time to
have their information collection requests approved.
OVERSIGHT FINDINGS
This legislation is the result of the Committee's oversight of sev-
eral of the agencies affected by H.R. 6410. The Committee has held
a number of hearings relating to the need for a strong manage-
ment structure for information resources. In particular, the Sub-
committee on Legislation and National Security held hearings in
June and July, 1976, on the administration of the Brooks Act with
regard to the procurement of automatic data processing resources
by Federal agencies and in October, 1979, on the Department of the
Air Force's Phase IV computer acquisition plan. The Committee
has made no detailed findings and recommendations other than
those contained elsewhere in this report.
COST ESTIMATE OF THE CONGRESSIONAL BUDGET OFFICE
The cost estimate prepared by the Congressional Budget Office
under sections 308(a) and 403 of the Congressional Budget Act of
1974 is contained in the following letter from its Director:
0
14-1
14-1
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Hon. JACK BROOKS,
CONGRESSIONAL BUDGET OFFICE,
U.S. CONGRESS,
Washington, D.C., March 13, 1980.
Chairman, Committee on Government Operations, U.S. House of
Representatives, Rayburn House Office Building, Washington,
D.C.
DEAR MR. CHAIRMAN: Pursuant to Section 403 of the Congres-
sional Budget Act of 1974, the Congressional Budget Office has pre-
pared the attached cost estimate for H.R. 6410, the Paperwork Re-
duction Act of 1980.
Should the Committee so desire, we would be pleased to provide
further details on this estimate.
Sincerely,
ROBERT D. REISCHAUER
(for Alice M. Rivlin, Director).
CONGRESSIONAL BUDGET OFFICE-COST ESTIMATE,
MARCH 13, 1980
1. Bill number: H.R. 6410.
2. Bill title: Paperwork Reduction Act of 1980.
3. Bill status: As ordered reported by the House Commit-
tee on Government Operations, March 4, 1980.
4. Bill purpose: The purpose of this legislation is to es-
tablish the Office of Federal Information Policy which
would oversee the development of federal information col-
lection and management policies to reduce the paperwork
required of the public. The bill also establishes the Federal
Information Locator System composed of a directory of in-
formation resources, a data element dictionary, and an in-
formation referral service. The bill is to take effect on Oc-
tober 1, 1980, and $8.0 million is authorized to be appropri-
ated for fiscal year 1981, $8.5 million for fiscal year 1982,
and $9.0 million for fiscal year 1983 to carry out all provi-
sions of the bill.
5. Cost estimate:
[By fiscal years, in millions of dollars]
Authorization level:
1981 .................................................................................................. 8.0
1982 .................................................................................................. 8.5
1983 .................................................................................................. 9.0
1984 ................................................................................................................
1985 ................................................................................................'................
Estimated cost:
1981 .................................................................................................. 6.8
1982 .................................................................................................. 8.4
1983 .................................................................................................. 9.0
1984 ........................:......................................................................... 1.3
1985 ................................................................................................................
The costs of this bill fall within budget function 800.
6. Basis of estimate: For purposes of this estimate, it has
been assumed that the full amounts authorized in each
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25
fiscal year will be appropriated. Estimated outlays in each
year are based on historical spendout rates for the Office
of Management and Budget of 85 percent in the first year
and 15 percent in the second year.
7. Estimate comparison: None.
8. Previous CBO estimates: None.
9. Estimate prepared by: Kathy Weiss.
10. Estimate approved by: C. G. Nuckols for James L.
Blum, Assistant Director for Budget Analysis.
COMMITTEE ESTIMATE OF COST
The Committee does not agree with the cost estimate for H.R.
6410 prepared by the Congressional Budget Office because of its
failure to consider that several of the functions covered by H.R.
6410 are existing responsibilities and functions in OMB, GAO,
Commerce, and HEW. Should H.R. 6410 not be enacted, these exist-
ing functions will continue to be funded under current law. There-
fore, the true cost of H.R. 6410 would be the estimated net cost
rather than the gross amount of the authorization. The Committee,
using figures provided by the Comptroller General, estimates that
this net amount is approximately $3.7 million for fiscal year 1981. INFLATIONARY IMPACT
In compliance with clause (2)(1)(4) of House Rule XI, it is the
opinion of the Committee that the provisoes of this bill will have
no inflationary impact on prices and costs in the operation of the
national economy.
NEW BUDGET AUTHORITY AND TAX EXPENDITURES
No new budget authority or tax expenditures are contained in
this legislation.
SECTION-BY-SECTION ANALYSIS
Section 1-Short Title
Section 1 titles the Act the "Paperwork Reduction Act of 1980."
Section 2-Coordination of Federal Information Policy
Section.2(a) amends Title 44 of the United States Code by strik-
ing out chapter 35 and inserting a new chapter in its place. Exist-
ing chapter 35 is the Federal Reports Act, which establishes the
mechanism for controlling the reporting and recordkeeping burden
imposed by Federal agencies on the public. In its place, new chap-
ter 35 creates a management structure for the Federal Govern-
ment's information related activities, including the control of
public reporting burden.
Sections 3501 and 3502 identify the purpose for the chapter and
define the terms used therein.
Section 3503 establishes in the Office of Management and Budget
a new office known as the Office of Federal Information Policy.
This Office is headed by an Administrator who is appointed by and
who will report directly to the OMB Director. The Director is re-
quired to delegate to the Administrator the authority and responsi-
A
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bility to administer all the functions assigned to the Director under
the chapter.
Section 3504(a) identifies the authority and functions of the Di-
rector. The Director is to provide overall direction in developing
Federal Government-wide information policies, principles, stand-
ards, and guidelines. Information activities mentioned as the sub-
jects for Government-wide policies are review and approval of in-
formation collection requests, reduction of the paperwork burden
imposed by agencies on the public, Federal statistical activities,
records management, records privacy, and the acquisition and use
of automatic data processing and other technology for managing in-
formation resources.
Section 3504(b) describes the general information policy functions
of the Director, which include developing and establishing uniform
information management policies; reviewing proposals for changes
in legislation, regulations, and agency procedures to cause improve-
ments in agency information practices; coordinating agency infor-
mation activities; promoting greater agency sharing of information
consistent with applicable law; evaluating agencies' information ac-
tivities to determine their effectiveness and their compliance with
the information policies established by the Director, and overseeing
research with respect to information collection, processing, storage,
transmission, and use.
Section 3504(c) describes the paperwork functions of the Director.
These include reviewing and approving information collection re-
quests proposed by Federal agencies; determining whether informa-
tion is needed by an agency to perform its functions; designating,
where appropriate, a single collection agency to obtain information
for two or more agencies; setting goals for reducing the burden im-
posed by Federal information collection requests; overseeing action
on the recommendations of the Commission on Federal Paperwork;
and designing and operating the Federal Information Locator
System created by section 3511.
Section 3504(d) describes the statistical policy functions of the Di-
rector, which include developing long range plans for improving
the performance of Federal statistical activities; coordinating those
activities; overseeing the establishment of Government-wide poli-
cies, principles, standards, and guidelines concerning statistical ac-
tivities; and evaluating the performance of Federal statistical pro-
grams.
Section 3504(e) describes the Director's records management
functions, which include providing advice and assistance to the Ad-
ministrator of General Services to help him implement chapters 29,
31, and 33 of Title 44, United States Code, which deal with records
management activities; reviewing agencies' records management
activities to determine their compliance with guidelines and poli-
cies; and coordinating records management policies with those of
related information programs.
Section 3504(f) describes the functions related to records privacy,
which include overseeing the developing of policies, principles,
standards, and guidelines both on information disclosure and confi-
dentiality, and on safeguarding the security of information collect-
ed or maintained by Federal agencies or in conjunction with Feder-
al programs; providing advice and guidance to the agencies con-
cerning information security, restriction, exchange, and disclosure;
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and monitoring compliance with the Privacy Act of 1974 and other
related information management laws.
Section 3504(g) describes the automatic data processing and tele-
communications functions, which include establishing policies,
principles, standards, and guidelines for ADP and telecommunica-
tions functions and activities and overseeing the establishing of
standards by the National Bureau of Standards under section 111(f)
of the Federal Property and Administrative Services Act of 1949;
monitoring the effectiveness of, and compliance with, directives
issed pursuant to sections 110 and 111 of the Federal Property and
Administrative Services Act (the Brooks Act) and reviewing deter-
minations under section 111(g) of the Act; providing advice and
guidance, in coordination with the Administrator of General Serv-
ices, on the acquisition and use of information technology includ-
ing, but not limited to, computer technology, communications tech-
nology, and related information handling, storage, and retrieval
technology, promoting the use of ADP and telecommunications
equipment to improve the effectiveness of the use and dissemina-
tion of Federal data; and reviewing proposals for changes in legisla-
tion, regulations, and agency procedures to improve automatic data
processing and telecommunications practices.
Section 3504(h) requires the Director to insure that agencies, in
developing rules and regulations, utilize efficient methods in col-
lecting, using, and disseminating information; provides an early op-
portunity for the public to comment on proposed means of collect-
ing information-by selection inspection by questionnaire, or by
other methods-related to such rules and regulations; and assess
the consequences of alternative methods of implementing the statu-
tory goals of such rules and regulations, including alternative
methods of collecting information.
Section 3505 assigns certain specific tasks to the Director and
sets deadlines for their accomplishment. Within one year after the
date of enactment of the Act, the Director is to:
(1) establish standards and requirements for agency audits of
all major information systems, assign the responsibility for
conducting such audits, and assign the responsibility for con-
ducting Government-wide or multiagency audits;
(2) establish the Federal Information Locator System;
(3) identify areas of duplication in information collections by
Federal agencies and develop a schedule and methods for
eliminating the duplication; and
(4) develop a proposal to augment the Locator System to in-
clude profiles of major information holdings of Federal agen-
cies which are not required to be included in the Locator
System.
Within two years after the enactment date, the Director is to:
(1) establish a schedule and a management control system to
insure that the practices and programs of the various areas re-
lated to information managment are appropriately integrated
with each other and with the broad information policies estab-
lished by chapter 35;
(2) identify initiatives which may achieve substantial im-
provements in the productivity of Federal operations through
the use of information processing technology;
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(3) develop a program to enforce Federal information proc-
essing standards at all Federal installations, and revitalize the
standards development program, separating it from peripheral
technical assistance functions;
(4) complete action on the recommendations of the Commis-
sion on Federal Paperwork, including the development of legis-
lation necessary to implement such recommendations;
(5) develop, in consultation with the Administrator of Gener-
al Services, a five-year plan for meeting the automatic data
processing and telecommunications needs of the Federal Gov-
ernment in accordance with the requirements of section 111 of
the Federal Property and Administratives Services Act and the
purposes of this Act; and
(6) submit to the President and the Congress legislative pro-
posals to remove inconsistencies in laws and practices involv-
ing privacy, confidentiality, and disclosure of information.
Section 3506 describes the responsibilities of the Federal agencies
under chapter 35. Each agency is to carry out its information activ-
ities in an efficient, effective, and economical manner, and to
comply with the policies, principles, standards, and guidelines pre-
scribed by the OMB Director. Each agency head is to designate
within three months of the date of enactment of this Act a senior
official who reports directly to the agency head and who will carry
out the agency's responsibilities under this chapter. Each agency is
to inventory its major information systems and review its informa-
tion management activities involving the collection, use, and dis-
semination of. information; take steps to insure that its information
systems do not overlap or duplicate those of other agencies; develop
procedures for assessing the paperwork and reporting burden of its
information collection activities and of proposed legislation and
regulations related to the agency; and assign to the official heading
its information resources management program the responsibility
for the conduct of an accountability for any acquisitions made pur-
suant to a delegation of authority under section 111 of the Federal
Property and Administrative Services Act. In addition, each agency
head is to establish necessary procedures to ensure compliance
with the requirements of the Federal Information Locator System.
The Committee believes that in performing all of these functions,
agencies will benefit substantially from consultation with members
of the public.
Section 3507 requires agencies to submit their proposed informa-
tion collection requests to the OMB Director for his approval.
Before an agency makes a submission, it is to eliminate any infor-
mation collections which seek to obtain information available from
other sources within the Federal Government, to minimize the
compliance burden on respondents, and to formulate plans for tab-
ulating the information in a manner such that the information will
be useful not only to that agency, but also to other agencies and
the public. Agencies are required to submit to the Director with
their proposed information collection requests, copies of pertinent
regulations and other related materials specified by the OMB Di-
rector and explanations of measures they have taken to eliminate
duplication, reduce burden, and tabulate data. Agencies are to
cause notices of their submissions to the Director to be published in
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the Federal Register specifically for purposes of obtaining comment
from the public.
The Director is to review, modify, approve, or deny the collection
requests submitted, except that a denial of a request submitted by
an independent regulatory agency may be overridden by majority
vote of the regulatory agency's members. The Director is to notify
an agency of his decision to approve or disapprove a proposed infor-
mation collection request within 60 days of receipt. However, if cir-
cumstances warrant, the Director may extend the review period for
an additional 30 days. If the Director does not notify the agency of
his decision within 60 days or within the time extension, his ap-
proval may be inferred and the agency may collect the information
for a period of up to one year. Approvals of the information collec-
tion requests are to be valid for a period of no more than three
years.
The Director may delegate his information collection approval
authority to an agency if he determines that the senior official
within that agency is independent from any program responsibility
and has sufficient resources to evaluate whether proposed informa-
tion collection requests should be approved. This delegation is sub-
ject to the notice and comment provisions of the Administrative
Procedure Act. The scope of delegation is to be determined by the
Director; it could encompass, for example, information require-
ments which impose a small burden on the public, but not those
which demand .more than an hour of each respondent's time. Dele-
gation does not preclude the Director, on his own initiative or on
request of interested persons, from reviewing individual informa-
tion collection requests if he determines that circumstances war-
rant such review. The Director retains the authority to revoke dele-
gations to the agencies, both in general and with regard to any spe-
cific matter. He may approve, modify, or disapprove any requests
on which a delegee has already ruled. Any official to whom the ap-
proval powers have been delegated is to comply fully with the rules
and regulations established by the Director.
Under section 3507, no agency will be exempt from the require-
ments established by chapter 35.
Section 3508 requires the Director, before approving, modifying,
or denying a proposed information collection request, to determine
whether the collection is needed for the performance of agency
functions and has practical utility for the agency. If the Director
determines that a collection is not necessary, he should not ap-
prove it. Before making any determination under this section, the
Director should, wherever useful, give the agency involved and
other interested persons an opportunity to be heard or to submit
written statements.
Section 3509 allows the Director to designate a collection agency
to obtain information for two or more agencies if the Director de-
cides that the needs of such agencies for information would be ade-
quately served by a single collection body. In such cases, the Direc-
tor is to prescribe the duties and functions of the collection agency
and the agencies for which information is to be collected. While
this designation is in effect, an agency covered by the designation
is not to obtain for itself the information which it is the duty of the
collection agency to obtain. The Director may modify any designa-
tions under this section as circumstances require.
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Designation of a collection agency under this section is not au-
thorized if the sharing of data between agencies is "inconsistent
with any applicable law." To be inconsistent, the applicable law
must prohibit the sharing of data between agencies or must totally
prohibit the disclosure to anyone outside the agency. A mere prohi-
bition on disclosure to the public would not be inconsistent with
sharing the data with another agency unless the sharing would in-
exorably lead to a violation of that prohibition. Section 3510(b) pro-
vides for penalties relating to the unlawful disclosure of data and is
sufficient to protect against unauthorized disclosure of data by a
receiving agency.
Section 3510 promotes the sharing of information among agen-
cies to the extent not precluded by other provisions of law. The Di-
rector can direct an agency to make information it has collected
available to another agency if the disclosure is not inconcistent
with any applicable law, if it is disclosed in the form of statistical
totals or summaries, or if the person who supplied the information
consents to the disclosure. If information obtained by an agency is
released to another agency, all provisions of law, including penal-
ties which relate to the unlawful disclosure of the information,
apply to the officers and employees of the receiving agency to the
same extent and in the same manner as the provisions apply to the
officers and employees of the agency which originally obtained the
information.
The Director may direct an agency to share its data with another
agency if, among other things, the disclosure is "not inconsistent
with any applicable law." As with section 3509, to be inconsistent,
the applicable law must prohibit the sharing of data between agen-
cies or must totally prohibit the disclosure to anyone outside the
agency. A mere prohibition on disclosure to the public would not be
inconsistent with sharing the data with another agency unless the
sharing would inexorably lead to a violation of that prohibition.
Subsection (b) provides for penalties relating to the unlawful disclo-
sure of data and is sufficient to protect against unauthorized disclo-
sure of data by a receiving agency.
Section 3511 requires the establishment and operation of a Fed-
eral Information Locator System. The System is to serve as the au-
thoritative register of all information collection requests by Federal
agencies. In designing and operating the System, the Director is to
design and operate an indexing system for it; prescribe rules re-
quiring each agency head to submit a data profile for each informa-
tion collection request of such agency; compare the data profiles for
proposed information collection requests against existing profiles in
the System; and make the results of the comparison available to
agency officials who are planning new information collection activi-
ties and, on request, to members of the general public. The Direc-
tor is to ensure that no actual data collected by Federal agencies is
contained within the System.
Section 3512 states that, notwithstanding any other provision of
law, an agency cannot impose a penalty on any person for failing
to provide the information to the agency if the information collec-
tion request involved was not approved in accordance with section
3507. This provision does not take effect until December 31, 1981,
so that agencies may have time to secure approval of all essential
information collection requests.
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Section 3513 requires the Director, with the advice and assist-
ance of the Administrator of General Services, to review, at least
once every three years, the information management activities of
each agency. These reviews are to determine the adequacy and effi-
ciency of the agencies' inormation activities, including the acquisi-
tion and use of information technology, as well as compliance with
the information policies, principles, standards, and guidelines pre-
scribed by the Director. The Director shall also determine whether
an agency has complied with the responsibilities imposed on it by
section 3506. The results of these reviews are to be reported by the
Director to the appropriate agency head, the House Committee on
Government Operations, the Senate Committee on Governmental
Affairs, the House and Senate Committees on Appropriations, and
the committees having jurisdiction over legislation relating to the
operations of the agency involved. Each agency receiving a report,
in turn, is to submit its response within 60 days to the Director and
the congressional committees identified above. This response is to
be a written statement describing measures taken by the agency to
alleviate or remove any problems or deficiencies identified in the
Director's report.
Section 3514 requires the Director to keep the Congress and its
committees fully and currently informed of the major activities
carried out under this chapter by submitting a report on such ac-
tivities to the President of the Senate and the Speaker of the
House of Representatives annually and at other times as may be
necessary. Topic to be included by the Director in such reports are:
(1) proposals for legislative changes needed to improve Feder-
al information management activities including recommenda-
tions to ease the paperwork burden imposed by the Govern-
ment on individuals and small organizations;
(2) a compilation of legislative impediments to the collection
of information in cases where the Director concludes that an
agency needs the information but does not have the authority
to collect it;
(3) an analysis by agency, and by such other categories as
the Director deems useful, describing the compliance burden of
information collection requests imposed by Federal agencies on
the public, as well as the cost incurred by agencies in collect-
ing data;
(4) a summary of accomplishments to reduce the burden of
responding to Federal information collection requests by reduc-
ing the time, costs, complexity, and incomprehensibility of Fed-
eral information collections;
(5) a tabulation of the areas of duplication in agency infor-
mation collection requests and any designations of central col-
lection agencies made to preclude the collection of duplicate
information;
(6) a list of all violations of the provisions of chapter 35 or of
the rules, regulations, guidelines, policies, and procedures
issued pursuant to the chapter;
(7) information with respect to the recommendations of the
Commission on Federal Paperwork, including the specific ac-
tions taken on each recommendation which has been imple-
mented, the actions required to implement each remaining rec-
ommendation and the target date for completing such action, a
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Al
detailed assessment of the status and progress on each action
remaining, and an explanation of any delays and actions re-
quired to overcome these delays.
In preparing the reports required by section 3514, the paper-
work burden imposed on the public is not to be increased by
establishing additional mandatory requests for information.
Section 3515 provides that the Director may request each agency
(except the independent regulatory agencies) to make its services,
personnel, and facilities available to him to assist in the perform-
ance of his functions under this chapter. In addition ugoa the e-
quest of the Director, each agency is to furms t ?}.nr ar
~agennc o ma e a disclosure prohibited by law.
erection 3516 permits the irec or o p?gate rules and regu-
lations necessary to exercise the authority conferred on him by the
chapter.
Section 3517 requires the director, in developing information
policies, rules, regulations, procedures, and related forms, to con-
sult with persons outside the Federal Government and the Federal
agencies affected. The Committee contemplates that these policies
themselves will include the requirement that in implementing
them, agencies, too, will consult with the public and thereby bene-
fit from its advice.
Section 3518 provides that the authority of an agency under any
other law to prescribe policies, rules, regulations, procedures, and
forms for Federal information activities is subject to the authority
conferred on the Director by the chapter.
Section 3519 provides that the Comptroller General of the United
States or his designated representatives shall have access to all
books, documents, papers, and records of the Office of Federal In-
formation Policy within OMB.
Section 3520 authorizes appropriations to carry out the provi-
sions of chapter 35, and for no other purpose, the following
amounts for the fiscal years indicated:
Million
1981
.................................................................................................................................
$8.0
1982
.................................................................................................................................
8.5
1983
.................................................................................................................................
9.0
Section 2(b) amends the table of contents for the chapters con-
tained in Title 44, United States Code, by striking out the present
title and inserting the new title, "Coordination of Federal Informa-
tion Policy."
Section 2(c)(1) amends section 2904 of Title 44, United States
Code, by striking out paragraph (10) and inserting a new paragraph
requiring the Administrator of General Services to report to the
appropriate oversight and appropriations committees of the Con-
gress and to the OMB Director annually and at such other times as
he deems desirable on the results of his records management activ-
ities, on evaluations of responses by Federal agencies to any recom-
mendations resulting from his records management inspections or
studies, and on estimates of lost benefits or savings resulting from
the failure of agencies to implement his recommendations.
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Section 2(c)(2) amends section 2905 of Title 44, United States
Code, by redesignating the present text as subsection (a) and
adding a new subsection requiring the Administrator of General
Services to assist the Administrator of the Office of Federal Infor-
mation Policy in conducting studies and developing standards re-
lated to record retention requirements imposed on the public and
on State and local government agencies by Federal agencies.
Section 3-Delegation of Related Functions
Section 3(a) requires the President and the Director of OMB to
delegate to the Administrator of the Office of Federal Information
Policy all their functions, authority, and responsibility for statisti-
cal policy and coordination under section 103 of the Budget and Ac-
couanting Procedures Act of 1950.
Section 3(b) requires the Director of OMB to delegate to the Ad-
ministrator of the Office of Federal Information Policy all func-
tions, authority, and responsibility, of the Director under section
552a of title 5, United States Code (the Privacy Act of 1974), and
under sections 110 and 111 of the Federal Property and Adminis-
trative Services Act of 1949 (40 U.S.C. 757, 759), pertaining to auto-
matic data processing and telecommunications.
Section 4-Conforming Amendments
Section 4(a) repeals the authority provided the HEW Secretary
under section 400A of the General Education Provisions Act, under
which the Secretary reviews and approves education information
collection proposals.
Section 4(b) repeals the provision in the Surface Mining Control
and Reclamation Act of 1977 which requires the General Account-
ing Office to review the proposed information collections of the
Office of Surface Mining, Reclamation and Enforcement of the De-
partment of the Interior.
Section 4(c) repeals the provision of section 708 of the Public
Health Service Act which excludes the HEW program for collecting
information on the health professions from clearance by OMB.
Section 4(d) establishes the salary level for the Administrator of
the Office of Federal Information Policy at Executive Level IV.
Section 5-Effective Date
Section 5 establishes October 1, 1980, as the effective date of this
Act.
CHANGES IN EXISTING LAW MADE BY THE BILL, As REPORTED
In compliance with clause 3 of Rule XIII of the Rules of the
House of Representatives, changes in existing law made by the bill,
as reported, are shown as follows (existing law proposed to be omit-
ted is enclosed in black brackets, new matter is printed in italic,
existing law in which no change is proposed is shown in roman):
TITLE 44, UNITED STATES CODE
Chap.
Sec.
1.
Joint Committee on Printing ........................................................................
101
3.
Government Printing Office ..........................................................................
301
5.
Production and Procurement of Printing and Binding ............................
501
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7.
Congressional Printing and Binding ............................................................
701
9.
Congressional Record ......................................................................................
901
11.
Executive and Judiciary Printing and Binding .........................................
1101
13.
Particular Reports and Documents ..............................................................
1301
15.
Federal Register and Code of Federal Regulations ...................................
1501
17.
Distribution and Sale of Public Documents ...............................................
1701
19.
Depository Library Program .........................................................................
1901
21.
Archival Administration ................................................................................
2101
23.
National Archives Trust Fund Board ..........................................................
2301
25.
National Historical Publications and Records Commission ....................
2501
27.
Federal Records Council .................................................................................
2701
29.
Records Management by Administrator of General Services .................
2901
31.
Records Management by Federal Agencies ................................................
3101
33.
Disposal of Records ..........................................................................................
3301
35.
Coordination of Federal [Reporting Services] Information Policy......
3501
37.
Advertisements by Government Agencies ..................................................
3701
CHAPTER 29-RECORDS MANAGEMENT BY ADMINISTRATOR OF GENERAL
SERVICES
Sec.
2901. Definitions.
2902. Objectives of records management.
2903. Custody and control of property.
2904. General responsibilities of Administrator.
2905. Establishment of standards for selective retention of records; security meas-
ures.
2906. Inspection of agency records.
2907. Records centers and centralized microfilming services.
2908. Regulations.
2909. Retention of records.
[2910. Repealed.]
? 2904. General responsibilities of Administrator
The Administrator shall provide guidance and assistance to Fed-
eral agencies with respect to records creation, records maintenance
and use, and records disposition. In providing such guidance and
assistance, the Administrator shall have responsibility to-
[(10) report to the Congress and to the Director of the Office
of Management and Budget each year, at such, time or times as
he may deem desirable, on the results of the foregoing activi-
ties, including evaluations of responses by Federal agencies to
any recommendations resulting from studies or inspections
conducted by him.]
(10) report to the appropriate oversight and appropriations
committees of the Congress and to the Director of the Office of
Management and Budget annually and at such other times as
he deems desirable (A) on the results of activities conducted
pursuant to paragraphs (1) through (9) of this section, (B) on
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evaluations of responses by Federal agencies to any recommen-
dations resulting from inspections or studies conducted under
paragraphs (8) and (9) of this section, and (C) on estimates of
lost benefits or savings resulting from the failure of agencies to
implement such recommendations.
? 2905. Establishment of standards for selective retention of rec-
ords; security measures
(a) The Administrator of General Services shall establish stand-
ards for the selective retention of records of continuing value, and
assist Federal agencies in applying the standards to records in
their custody. He shall notify the head of a Federal agency of any
actual, impending, or threatened unlawful removal, defacing, alter-
ation, or destruction of records in the custody of the agency that
shall come to his attention, and assist the head of the agency in
initiating action through the Attorney General for the recovery of
records ulawfully removed and for other redress provided by law.
(b) The Administrator of General Services shall assist the Admin-
istrator of the Office of Federal Information Policy in conducting
studies and developing standards relating to record retention re-
quirements imposed on the public and on State and local govern-
ments by Federal agencies.
Sec.
[3501. Information for Federal agencies.
[3502. Definitions.
other agencies.
[3505. Independent collection by an agency prohibited.
[3506. Determination of necessity for information; hearing.
[3507. Cooperation of agencies in making information available.
[3508. Unlawful disclosure of information; penalities; release of information to
[3504. Designation of central collection agency.
--[3501.0: - t les:,and--regiAati?ns~ c -- =rte
[Information needed by Federal agencies shall be obtained with
a minimum burden upon business enterprises, especially small
business enterprises, and other persons required to furnish the in-
formation, and at a minimum cost to the Government. Unneces-
sary duplication of efforts in obtaining information through the use
of reports, questionnaires, and other methods shall be eliminated
as rapidly as practicable. Information collected and tabulated by a
Federal agency shall, as far as is expedient, be tabulated in a
manner to maximize the usefulness of the information to other
[35011. Penalty for failure to furnish information.
[?3501. Information for Federal agencies
Federal agencies and the public.
[? 3502. Definitions
[As used in this chapter-
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["Federal agency" means an executive department, commis-
sion, independent establishment, corporation owned or con-
trolled by the United States, board, bureau, division, service,
office, authority, or administration in the executive branch of
the Government; but does not include the General Accounting
Office, independent Federal regulatory agencies, nor the gov-
ernments of the District of Columbia and of the-territories and
possessions of the United States, and their various subdivi-
sions;
["person" means an individual, partnership, association,
corporation, business trust, or legal representative, an orga-
nized group of persons, a State or territorial government or
branch, or a political subdivision of a State or territory or a
branch of a political subdivision;
["information" means facts obtained or solicited by the use
of written report forms, application forms, schedules, question-
naires, or other similar methods calling either for answers to
identical questions from ten or more persons other than agen-
cies, instrumentalities, or employees of the United States or for
answers to questions from agencies, instrumentalities, or em-
ployees of the United States which are to be used for' statistical
compilations of general public interest.
[? 3503. Duties of Director of the Bureau of the Budget
(With a view to carrying out the policy of this chapter, the Di-
rector of the Bureau of the Budget from time to time shall-
[(1) investigate the needs of the various Federal agencies for
information from business enterprises, from other persons, and
from other Federal agencies;
[(2) investigate the methods used by agencies in obtaining
information; and
[(3) coordinate as rapidly as possible the information-collect-
ing services of all agencies with a view to reducing the cost to
the Government of obtaining information and minimizing the
burden upon business enterprises and other persons, and
using, as far as practicable, for continuing organization, files of
information and existing facilities of the established Federal
agencies.
E?3504. Designation of central collection agency
[When, after invetigation, the Director of the Bureau of the
Budget is of the opinion that the needs of two or more Federal
agencies for information from business enterprises and other per-
sons will be adequately served by a single collecting agency, he
shall fix a time and place for a hearing at which the agencies con-
cerned and other interested persons may have an opportunity to
present their views. After the hearing, the Director may issue an
order designating a collecting agency to obtain information for two
or more of the agencies concerned, and prescribing (with reference
to the collection of information) the duties and functions of the col-
lecting agency so designated and the Federal agencies for which it
is to act as agent. The Director may modify the order from time to
time as circumstances required, but modification may not be made
except after investigation and hearing.
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[? 3505. Independent collection by an agency prohibited
[While an order or modified order is in effect, a Federal agency
covered by it may not obtain for itself information which it is the
duty of the collecting agency designated by the order to obtain.
[? 3506. Determination of necessity for information; hearing
[Upon the request of a party having a substantial interest, or
upon his own motion, the Director of the Bureau of the Budget
may determine whether or not the collection of information by a
Federal agency is necessary for the proper performance of the func-
tions of the agency or for any other proper purpose. Before making
a determination, he may give the agency and other interested per-
sons an opportunity to be heard or to submit statements in writing.
To the extent, if any, that the Director determines the collection of
information by the agency is unnecessary, for any reason, the
agency may not engage in the collection of the information.
[?3507. Cooperation of agencies in making information available
[For the purposes of this chapter, the Director of the Bureau of
the Budget may require a Federal agency to make available to an-
other Federal agency information obtained from any person after
December 24, 1942, and all agencies are directed to cooperate to the
fullest practicable extent at all times in making information avail-
able to other agencies.
[This chapter does not apply to the obtaining or releasing of in-
formation by the Internal Revenue Service, the Comptroller of the
Currency, the Bureau of the Public Debt, the Bureau of Accounts,
and the Division of Foreign Funds Control of the Treasury Depart-
ment, nor to the obtaining by a Federal bank supervisory agency of
reports and information from banks as authorized by law and in
the proper performance of the agency's functions in its supervisory
capacity.
[?3508. Unlawful disclosure of information; penalties; release of
information to other agencies
[(a) If information obtained in confidence by a Federal agency'is
released by that agency to another Federal agency, all the provi-
sions of law including penalties which relate to the unlawful disclo-
sure of information apply to the officers and employees of the
agency to which information is released to the same extent and in
the same manner as the provisions apply to the officers and em-
ployees of the agency which originally obtained the information.
The officers and employees of the agency to which the information
is released, in addition, shall be subject to the same provisions of
law, including penalties, relating to the unlawful disclosure of in-
formation as if the information has been collected directly by that
agency.
[(b) Information obtained by a Federal agency from a person
under this chapter may be released to another Federal agency
only-
[(1) in the form of statistical totals or summaries; or
[(2) if the information as supplied by persons to a Federal
agency had not, at the time of collection, been declared by that
agency or by a superior authority to be confidential; or
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[(3) when the persons supplying the information consent to
the release of it to a second agency by the agency to which the
information was originally supplied: or
[(4) when the Federal agency to which another Federal
agency releases the information has authority to collect the in-
formation itself and the authority is supported by legal provi-
sion for criminal penalties against persons failing to supply the
information.
[? 3509. Plans or forms for collecting information; submission to
Director; approval
[A Federal agency may not conduct or sponsor the collection of
information upon identical items, from ten or more persons, other
than Federal employees, unless, in advance of adoption or revision
of any plans or forms to be used in the collection-
[(1) the agency has submitted to the Director the plans or
forms, together with copies of pertinent regulations and of
other related materials as the Director of the Bureau of the
Budget has specified; and
[(2) the Director has stated that he does not disapprove the
proposed collection of information.
[?3510. Rules and regulations
[The Director of the Bureau of the Budget may promulgate
rules and regulations necessary to carry out sections 3501-3511 of
this title.
[? 3511. Penalty for failure to furnish information
[A person failing to furnish information required by an agency
shall be subject to penalties specifically prescribed by law, and no
other penalty may be imposed either by way of fine or imprison-
ment or by the withdrawal or denial of a right, privilege, priority,
allotment, or immunity, except when the right, privilege, priority,
allotment, or immunity is legally conditioned on facts which would
be revealed by the information requested.
[?3512. Information for independent regulatory agencies
[(a) The Comptroller General of the United States shall review
the collection of information required by independent Federal regu-
latory agencies described in section 3502 of this chapter to assure
that information required by such agencies is obtained with a mini-
mum burden upon business enterprises, especially small business
enterprises, and other persons required to furnish the .information.
Unnecessary duplication of efforts in obtaining information already
filed with other Federal agencies or departments through the use
of reports, questionnaires, and other methods shall be eliminated
as rapidly as practicable. Information collected and tabulated by an
independent regulatory agency shall, as far as is expedient, be tab-
ulated in a manner to maximize the usefulness of the information
to other Federal agencies and the public.
[(b) In carrying out the policy of this section, the Comptroller
General shall review all existing information gathering practices of
independent regulatory agencies as well as requests for additional
information with a view toward-
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[(1) avoiding duplication of effort by independent regulatory
agencies, and
[(2) minimizing the compliance burden on business enter-
prises and other persons.
[(c) In complying with this section, an independent regulatory
agency shall not conduct or sponsor the collection of information
upon an identical item from ten or more persons, other than Feder-
al employees, unless, in advance of adoption or revision of any
plans or forms to be used in the collection-
[(1) the agency submitted to the Comptroller General the
plans or forms, together with the copies of pertinent regula-
tions and of other related materials as the Comptroller Gener-
al has specified; and
[(2) the Comptroller General has advised that the informa-
tion is not presently available to the independent agency from
another source within the Federal Government and has deter-
mined that the proposed plans or forms are consistent with the
provision of this section. The Comptroller General shall main-
tain facilities for carrying out the purposes of this section and
shall render such advice to the requestive independent regula-
tory agency.within forty-five days.
[(d) While the Comptroller General shall determine the avail-
ability from other Federal sources of the information sought and
the appropriateness of the forms for the collection of such informa-
tion, the independent regulatory agency shall make the final deter-
mination as to the necessity of the information in carrying out its
statutory responsibilities and whether to collect such information.
If no advice is received from the Comptroller General within forty-
five days, the independent regulatory agency may immediately pro-
ceed to obtain such information.
[(e) Section 3508(a) of this chapter dealing with unlawful disclo-
sure of information shall apply to the use of information by inde-
pendent regulatory agencies.
[(f) The Comptroller General may promulgate rules and regula-
tions necessary to carry out this chapter.]
Sec.
3501. Purpose.
3502. Definitions.
3503. Office of Federal Information Policy.
3504. Authority and functions of Director.
3505. Assignment of tasks and deadlines.
3506. Federal agency responsibilities.
3507. Public information collection activities-submission to Director; approval and
delegation.
3508. Determination of necessity for information; hearing.
3509. Designation of central collection agency.
3510. Cooperation of agencies in making information available.
3511. Establishment and operation of Federal Information Locator System.
3512. Penalty for failure to furnish information.
3513. Director review of agency activities; reporting; agency response.
3514. Responsiveness to Congress.
3515. Administrative powers.
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3516. Rules and regulations.
3517. Consultation with other agencies and the public.
3518. Effect on existing laws and regulations.
3519. Access to information.
3520. Authorization of appropriations.
? 3501. Purpose
It is the purpose of this chapter to ensure that-
(1) Federal information policies and practices shall be coordi-
nated and integrated with each other and shall be uniform, as
far as practicable, throughout the Federal Government;
(2) information needed by agencies shall be obtained with a
minimum burden upon persons and entities required to furnish
the information, and obtained, used, and disseminated at a
minimum cost to the Government;
(3) information collected and tabulated by an agency shall, as
far as practicable, be maintained in a manner to maximize the
usefulness of the information to Congress, agencies, and the
public;
(4) the collection, maintenance, use, and dissemination of per-
sonal information by agencies shall be consistent with the Pri-
vacy Act of 1974 and other applicable laws; and
(5) automatic data processing and telecommunications tech-
nology shall be acquired and used in a manner which improves
service delivery and program management, increases productiv-
ity, reduces waste and fraud, and, where possible, reduces the
information processing burden on the public and private sec-
tors.
? 3502. Definitions
As used in this chapter, the term-
(1) "agency" means any executive department, military de-
partment, Government corporation, Government controlled cor-
poration, or other establishment in the executive branch of the
Government (including the Executive Office of the President), or
any independent regulatory agency; but does not include the
General Accounting Office or the governments of the District of
Columbia and of the territories and possessions of the United
States, and their various subdivisions;
(2) "collection of information" means the obtaining or solicit-
ing of facts or opinions for any purpose by an agency by the use
of written report forms, application forms, schedules, question-
naires, reporting or recordkeeping requirements, or other similar
methods calling for either-
(A) answers to identical questions posed to, or identical
reporting or recordkeeping requirements imposed on, ten or
more persons; or
(B) answers to questions posed to agencies of the United
States which are to be used for general statistical purposes;
(3) "data element" means a distinct piece of information such
as a name, term, number, abbreviation, or symbol;
(4) "data element dictionary" means a system containing
standard and uniform definitions and cross references for com-
monly used data elements;
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(5) "data profile" means a synopsis of the questions contained
in an information collection request, and also such related
items as the official name of the request, the location of infor-
mation obtained through such request, a description of any
compilations, analyses, or reports derived from such informa-
tion, any record retention requirements associated with such re-
quest, the agency responsible for such request, the authorizing
statute, and other information necessary to identify, access, and
use the data contained in such information;
(6) "Director" means the Director of the Office of Manage-
ment and Budget;
(7) "directory of information resources" means a catalog of in-
formation collection requests, containing a data profile for each
request;
(8) "independent regulatory agency" means the Board of Gov-
ernors of the Federal Reserve System, the Civil Aeronautics
Board, the Commodity Futures Trading Commission, the Con-
sumer Product Safety Commission, the Federal Communications
Commission, the Federal Deposit Insurance Corporation, the
Federal Election Commission, the Federal Energy Regulatory
Commission, the Federal Home Loan Bank Board, the Federal
Maritime Commission, the Federal Trade Commission, the In-
terstate Commerce Commission, the Mine Enforcement Safety
and Health Review Commission, the National Labor Relations
Board, the Nuclear Regulatory Commission, the Occupational
Safety and Health Review Commission, the Postal Rate Com-
mission, and the Securities and Exchange Commission, and
other similar agencies designated by statute as independent reg-
ulatory establishments of the Federal Government;
(9) "information collection request" means a written report
form, application form, schedule, questionnaire, or other report-
ing or recordkeeping requirement for the collection of informa-
tion;
(10) "information referral service" means the function that
assists officials and citizens in obtaining access to the Federal
Information Locator System;
(11) `person" means an individual, partnership, association,
corporation, business trust, or legal representative, an organized
group of individuals, a State, territorial, or local government or
branch thereof, or a political subdivision of a State, territory, or
local government or a branch of a political subdivision;
(12) "recordkeeping requirement" means a requirement im-
posed by an agency on persons to maintain specified records.
? 3503. Office of Federal Information Policy
(a) There is established in the Office of Management and Budget
an office to be known as the Office of Federal Information Policy.
(b) There shall be at the head of the Office an Administrator who
shall be appointed by, and who shall report directly to, the Director.
The Director shall delegate to the Administrator the authority and
responsibility to administer all functions under this chapter. The
Administrator shall serve as principal adviser to the Director on
Federal information policy.
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? 3504. Authority and functions of Director
(a) The Director shall provide overall direction in the development
and implementation of Federal information policies, principles,
standards, and guidelines, including review and approval of infor-
mation collection requests, the reduction of the paperwork burden
placed on the public, Federal statistical activities, records manage-
ment activities, privacy of records pertaining to individuals, inter-
agency sharing of information, and acquisition and use of automa-
tic data processing and other technology for managing information
resources.
(b) The general information policy functions of the Director shall
include-
(1) developing and establishing uniform information resources
management policies and overseeing the development of infor-
mation management principles, standards, and guidelines and
promoting their use;
(2) initiating and reviewing proposals for changes in legisla-
tion, regulations, and agency procedures to improve information
practices, and informing the President and the Congress on the
progress made in effecting such changes;
(3) coordinating, through the review of budget proposals and
otherwise, agency information practices;
(4) promoting, through the use of the Federal Information Lo-
cator System and the review of budget proposals, and otherwise,
greater agency sharing of information (consistent with the Pri-
vacy Act of 1974 (5 U.S.C. 552a) and other applicable laws) to
enhance the usefulness of the information and limit the report-
ing burden on the public;
(5) evaluating the agencies' information practices to deter-
mine their adequacy, efficiency, and compliance with policies,
principles, standards, and guidelines promulgated by the Direc-
tor; and
(6) overseeing the planning of, and the conduct of research
with respect to, Federal information collection, processing, stor-
age, transmission, and use.
(c) The information collection request clearance and other paper-
work functions of the Director shall include-
(1) reviewing and approving information collection requests
proposed by agencies;
(2) determining whether the collection of information by an
agency is necessary for the proper performance of the functions
of the agency and has practical utility for the agency;
(3) designating, in accordance with section 3509, a collection
agency to obtain information for two or more agencies;
(4) setting goals for reductions of the numbers and burdens of
Federal information collection requests;
(5) overseeing action on the recommendations of the Commis-
sion on Federal Paperwork; and
(6) designing and operating the Federal Information Locator
System in accordance with section 3511.
(d) The statistical policy and coordination functions of the Direc-
tor shall include-
(1) developing, in conjunction with the agencies, long range
plans for the improved performance of Federal statistical activi-
ties and programs;
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(2) coordinating, through the review of budget proposals and
otherwise, the functions of the Government with respect to gath-
ering, interpreting, and disseminating statistics and statistical
information;
(3) overseeing the establishment of Government-wide policies,
principles, standards, and guidelines covering statistical collec-
tion procedures and methods, statistical data classifications,
and statistical information presentation and dissemination;
and
(4) evaluating statistical program performance and agencies'
compliance with Government-wide policies, principles, stand-
ards, and guidelines.
(e) The records management functions of the Director shall in-
clude-
(1) providing advice and assistance to the Administrator of
General Services to promote coordination in the administration
of chapters 29, 31, and 33 of this title with the information
policies, principles, standards, and guidelines established under
this chapter;
(2) reviewing compliance by Federal agencies with the require-
ments of chapters 29, 31, and 33 of this title and with regula-
tions promulgated by the Administrator of General Services
thereunder; and
(3) coordinating records management policies and programs
with related information programs such as information collec-
tion, statistics, automatic data processing and telecommunica-
tions, and similar activities.
(f) The privacy functions of the Director shall include-
(1) overseeing the development of and promulgating policies,
principles, standards, and guidelines on information disclosure
and confidentiality, and on safeguarding the security of infor-
mation collected or maintained by agencies, or in conjunction
with Federal programs;
(2) providing agencies with advice and guidance about infor-
mation security, restriction, exchange, and disclosure; and
(3) monitoring compliance with the Privacy Act of 1974 (5
U.S.C. 552a) and related information management laws.
(g) The automatic data processing and telecommunications func-
tions of the Director shall include-
(1) establishing policies, principles, standards, and guidelines
for automatic data processing and telecommunications func-
tions and activities, and overseeing the establishment of stand-
ards under section 111(f) of the Federal Property and Adminis-
trative Services Act of 1949 (40 U.S.C. 759(f));
(2) monitoring the effectiveness of, and compliance with, di-
rectives issued pursuant to sections 110 and 111 of the Federal
Property and Administrative Services Act of 1949 (40 U.S.C.
757, 759) and reviewing proposed determinations under section
111(g) of such Act;
(3) providing, in coordination with the Administrator of Gen-
eral Services, advice and guidance on the acquisition and use of
automatic data processing and telecommunications equipment,
and coordinating, through the review of budget proposals and
otherwise, agency proposals for acquisition and use of such
equipment; and
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(4) promoting the use of automatic data processing and tele-
communications equipment to improve the effectiveness of the
use and dissemination of data in the operation of Federal pro-
grams; and
(5) initiating and reviewing proposals for changes in legisla-
tion, regulations, and agency procedures to improve automatic
data processing and telecommunications practices, and inform-
ing the President and the Congress of the progress made in ef-
fecting such changes.
(h) Other functions of the Director shall include ensuring that, in
developing rules and regulations, agencies-
(1) utilize efficient methods to collect, use, and disseminate
necessary information;
(2) provide an early and substantial opportunity for the
public to comment on proposed means of collecting information
related to such rules and regulations; and
(3) make assessments of the consequences of alternative meth-
ods of implementing the statutory goals of such rules and regu-
lations (including alternative methods of collecting informa-
tion).
(i) In any review of regulations by the Director authorized by law,
the Director shall consider the relationship of such regulations to
the policies, principles, standards, and guidelines established under
this chapter.
? 3505. Assignment of tasks and deadlines
In carrying out the authority and functions assigned by this chap-
ter, the Director shall-
(1) within one year after the. date of enactment of the Paper-
work Reduction Act of 1980-
(A) establish standards and requirements for agency
audits of all major information systems, assign the respon-
sibility for conducting such audits, and assign the responsi-
bility for conducting Government-wide or multiagency
audits;
(B) establish the Federal Information Locator System;
(C) identify areas of duplication in information collection
requests and develop a schedule and methods for eliminat-
ing the duplication; and
(D) develop a proposal to augment the Federal Informa-
tion Locator System to include data profiles of major infor-
mation holdings of agencies (used in the conduct of their
operations) which are not otherwise required by this chap-
ter to be included in the System; and
(2) within two years after such date of enactment-
(A) establish a schedule and a management control
system (including policies, principles, standards, and guide-
lines) to ensure that practices and programs of the various
information handling disciplines, such as records manage-
ment, are appropriately integrated with each other, and
with the broad information policies established by. this
chapter;
(B) identify initiatives which may achieve substantial
productivity improvement in Federal operations using infor-
mation processing technology;
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(C) develop a program to (i) enforce Federal information
processing standards, particularly language standards, at
all Federal installations; and (ii) revitalize the standards
development program, separating it from peripheral techni-
cal assistance functions and directing it to the most produc-
tive areas;
(D) complete action on recommendations of the Commis-
sion on Federal Paperwork, including development of legis-
lation necessary to implement such recommendations;
(E) develop, in consultation with the Administrator of
General Services, a five-year plan for meeting the automatic
data processing and telecommunications needs of the Feder-
al Government in accordance with the requirements of sec-
tion 111 of the Federal Property and Administrative Serv-
ices Act of 1949 (40 U.S.C. 759) and the purposes of the Pa-
perwork Reduction Act of 1980; and
(F) submit to the President and the Congress legislative
proposals to remove inconsistencies in laws and practices
involving privacy, confidentiality, and disclosure of
information.
? 3506. Federal agency responsibilities
(a) Each agency shall be responsible for carrying out its informa-
tion management activities in an efficient, effective, and economical
manner, and for complying with the information policies, principles,
standards, and guidelines prescribed by the Director.
(b) The head of each agency shall designate, within three months
of the date of enactment of the Paperwork Reduction Act of 1980, a
senior official who reports directly to such agency head to carry out
the responsibilities of the agency under this chapter.
(c) Each agency shall-
(1) systematically inventory its major information systems
and periodically review its information management activities,
including planning, budgeting, organizing, directing, training,
promoting, controlling, and other managerial activities involv-
ing the collection, use, and dissemination of information;
(2) take steps to ensure that its information systems do not
overlap each other or duplicate those of other agencies;
(3) develop procedures for assessing the paperwork and report-
ing burden of its information collection activities and of pro-
posed legislation and regulations related to such agency; and
(4) assign to the official designated under subsection (b) the
responsibility for the conduct of and accountability for any ac-
quisitions made pursuant to a delegation of authority under
section 111 of the Federal Property and Administrative Services
Act of 1949 (40 U.S.C. 759).
(d) The head of each agency shall establish such procedures as he
may deem necessary to ensure the compliance of his agency with the
requirements of the Federal Information Locator System, including
necessary screening and compliance activities.
 Approved For Release 2007/05/17: CIA-RDP85-00003R000300050014-1
46
? 3502 Public information collection activities-submission to Di-
rector; approval and delegation
(a) An agency shall not conduct or sponsor the collection of infor-
mation unless, in advance of adoption or revision of the request for
collection of such information-
(1) the agency has taken appropriate steps, including consul-
tation with the Director (A) to eliminate information collections
which seek to obtain information available from another source
within the Federal Government (through the use of the Federal
Information Locator System and other means), (B) to reduce the
compliance burden on respondents, and (C) to formulate plans
for tabulating the information in a manner which will enhance
its usefulness to other agencies and to the public;
(2) the agency has submitted to the Director the proposed in-
formation collection request, copies of pertinent regulations and
of other related materials as the Director may specify, and an
explanation of measures taken to satisfy paragraph (1) of this
section, and has caused a notice of such submission to be pub-
lished in the Federal Register; and
(3) the Director has approved the proposed information collec-
tion request, or sufficient time has elapsed as provided under
subsection (c).
(b) Any disapproval, in whole or in part, under subsection (a) of a
proposed information collection request of an independent regula-
tory agency may be voided if the agency, by a majority vote of its
members, overrides the Director's decision.
(c) The Director shall, within sixty days of receipt of a proposed
information collection request, notify the agency involved of his de-
cision to approve or disapprove the request. If the Director deter-
mines that a request submitted for review cannot be reviewed within
sixty days, he may, after notice to the agency involved, extend the
review period for an additional thirty days. If the Director does not
notify the agency of an extension, denial, or approval within sixty
days (or, if he has extended the review period for an additional
thirty days and does not notify the agency of a denial or approval
within the time of the extension), his approval may be inferred and
the agency may collect the information for not more than one year.
(d) No approval of an information collection request shall be
valid for a period of more than three years.
(e) If the Director finds that a senior official designated pursuant
to section 3506(b) has independence from any program responsibility
and has sufficient resources to evaluate whether proposed informa-
tion collection requests should be approved, the Director may, by
rule subject to the notice and comment provisions of chapter 5 of
title 5, delegate to such official his power to approve proposed re-
quests in specific program areas, for specific purposes, or for all
agency purposes. Such delegation shall not preclude the Director
from reviewing individual information collection requests if the Di-
rector determines that circumstances warrant such a review. The Di-
rector shall retain authority to revoke such delegations of power,
both in general and with regard to any specific matter. In acting for
the Director, any official to whom approval powers have been dele-
gated shall comply fully with the rules and regulations promulgat-
ed by the Director.
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(f) No agency shall be exempt from the requirements of this chap-
ter.
? 3508. Determination of necessity for information; hearing
Before approving a proposed information collection request, the
Director shall determine whether the collection of information by
an agency is necessary for the proper performance of the functions of
the agency and has practical utility for the agency. Before making a
determination the Director may give the agency and other interested
persons an opportunity to be heard or to submit statements in writ-
ing. To the extent, if any, that the Director determines that the col-
lection of information by an agency is unnecessary, for any reason,
the agency may not engage in the collection of the information.
? 3509. Designation of central collection agency
The Director may designate a collection agency to obtain informa-
tion, for two or more agencies if the Director is of the opinion that
the needs of such agencies, for information will be adequately served
by a single collection agency, and such sharing of data is not incon-
sistent with any applicable law. In such cases, the Director shall
prescribe (with reference to the collection of information) the duties
and functions of the collection agency so designated and of the
agencies for which it is to act as agent (including reimbursement for
costs). While the designation is in effect, an agency covered by it
may not obtain for itself information which it is the duty of the col-
lection agency to obtain. The Director may modify the designation
from time to time as circumstances require.
? 3510. Cooperation of agencies in making information available
(a) The Director may direct an agency to make available to an-
other agency information obtained pursuant to an information col-
lection request if-
(1) the disclosure is not inconsistent with any applicable laws;
(2) it is disclosed in the form of statistical totals or summaries;
or
(3) the person who supplied the information consents to such
disclosure.
(b) If information obtained by an agency is released by that
agency to another agency, all the provisions of law (including penal-
ties which relate to the unlawful disclosure of information) apply to
the officers and employees of the agency to which information is re-
leased to the same extent and in the same manner as the provisions
apply to the officers and employees of the agency which originally
obtained the information. The officers and employees of the agency
to which the information is released, in addition, shall be subject to
the same provisions of law, including penalties, relating to the un-
lawful disclosure of information as if the information had been col-
lected directly by that agency.
? 3511. Establishment and operation of Federal Information Locator
System
(a) There is hereby established in the Office of Federal Informa-
tion Policy a Federal Information Locator System (hereinafter in
this section referred to as the "System') composed of a directory of
information resources, a data element dictionary, and an informa-
 Approved For Release 2007/05/17: CIA-RDP85-00003R000300050014-1
tion referral service. The System shall serve as the authoritative reg-
ister of all information collection requests.
(b) In designing and operating the System, the Director shall-
(1) design and operate an indexing system for the System;
(2) promulgate rules requiring the head of each agency to pre-
pare in a form specified by the Director, and to submit to the
Director for inclusion in the System, a data profile for each in-
formation collection request of such agency;
(3) compare data profiles for proposed information collection
requests against existing profiles in the System, and make
available the results of such comparison to-
(A) agency officials who are planning new information
collection activities; and
(B) on request, members of the general public; and
(4) ensure that no actual data, except descriptive data profiles
necessary to identify duplicative data or to locate information,
are contained within the System.
? 3512. Penalty for failure to furnish information
Notwithstanding any other provision of law, no person shall be
subject to any penalty for failing to provide information to any
agency if the information collection request involved was made after
December 31, 1981, in violation of section 3507.
? 3513. Director review of agency activities; reporting; agency re-
sponse
(a) The Director shall, with the advice and assistance of the Ad-
ministrator of General Services, review, at least once every three
years, by means of selective inspections, the information manage-
ment activities of each agency to ascertain their adequacy and effi-
ciency. In evaluating the adequacy and efficiency of these activities,
the Director shall pay particular attention to whether the agency
has complied with section 3506.
(b) The Director shall report the results of the inspections to the
appropriate agency head, the House Committee on Government Oper-
ations, the Senate Committee on Governmental Affairs, the House
and Senate Committees on Appropriations, and committees of the
Congress having jurisdiction over legislation relating to the oper-
ations of the agency involved.
(c) Each agency which receives a report pursuant to subsection (b)
shall, within sixty days thereafter, prepare and submit to the Direc-
tor, the House Committee on Government Operations, the Senate
Committee on Governmental Affairs, the House and Senate Commit-
tees on Appropriations, and the committees of the Congress having
jurisdiction over legislation relating to its operations, a written
statement describing any measures taken to alleviate or remove any
problems or deficiencies identified in such report.
? 3514. Responsiveness to Congress
(a) The Director shall keep the Congress and its committees fully
and currently informed of the major activities under this chapter,
and shall submit a report thereon to the President of the Senate
and the Speaker of the House of Representatives annually and at
such other times as may be necessary for this purpose. The Director
shall include in such reports-
 Approved For Release 2007/05/17: CIA-RDP85-00003R000300050014-1
on persons outside the Federal Government of responding to manda-
(b) The preparation of these reports shall not increase the burden
(D) an explanation of any delays and actions required to
7C) a detailed assessment of the status of and progress on
(B) the major actions still required to implement each re-
maining recommendation and the target date for complet-
(A) the specific actions taken on each recommendation
(7) with respect to recommendations of the Commission on
(6) a list of all violations of provisions of this chapter and
rules, regulations, guidelines, policies, and procedures issued
(5) a tabulation of areas of duplication in agency information
collection requests identified during the preceding year and any
designations of central collection agencies made to preclude the
(4) a summary of accomplishments to reduce the burden of
complying with Federal information collection requests by such
means as reducing the time, cost, complexity, and incomprehen-
(3) an analysis by agency, and by such other categories as he
may deem useful, describing the compliance burden of informa-
tion collection requests of agencies on persons outside the Feder-
(2) a compilation of legislative impediments to the collection
of information which the Director concludes that an agency
viduals and small organizations;
(1) proposals for legislative changes needed to improve Feder-
al information management, including, with respect to informa-
tion collection, recommendations to ease the burden upon indi-
tort' requests for information.
? 3515. Administrative powers
independent regulatory agency) shall make its services, personnel,
and facilities available to the Director for the performance of func-
(a) Upon the request of the Director, each agency (other than an
to all information in its possession which the Director may deter-
mine to be necessary for the performance of functions under this
(b) Upon the request of the Director, each agency shall, except
chapter.
? 3516. Rules and regulations
The Director shall promulgate rules and regulations necessary to
exercise the authority provided by this chapter.
? 3517. Consultation with other agencies and the public
cedures, and forms, the Director shall, from the beginning of each
In the development of information policies, rules, regulations, pro-
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 Approved For Release 2007/05/17: CIA-RDP85-00003R000300050014-1
initiative, consult with persons outside the Federal Government and
the agencies affected.
? 3518. Effect on existing laws and regulations
The authority of an agency under any other law to prescribe poli-
cies, rules, regulations, procedures, and forms for Federal informa-
tion activities is subject to the authority conferred on the Director
by this chapter.
? 3519. Access to information
The Director and personnel in the Office of Federal Information
Policy shall furnish such information as the Comptroller General
may require for the discharge of his responsibilities. For this pur-
pose, the Comptroller General or his representatives shall have
access to all books, documents, papers, and records of that Office.
? 3520. Authorization of appropriations
There are hereby authorized to be appropriated to carry out the
provisions of this chapter, and for no other purpose-
(1) not to exceed $8,000,000 for the fiscal year ending Septem-
ber 30, 1981;
(2) not to exceed $8,500,000 for the fiscal year ending Septem-
ber 30, 1982;
(3) not to exceed $9,000,000 for the fiscal year ending Septem-
ber 30, 1983. 11
[CONTROL OF PAPERWORK
[SEC. 400A. (a)(1)(A) In order to eliminate excessive detail and
unnecessary and redundant information requests and to achieve
the collection of information in the most efficient and effective pos-
sible manner, the Secretary shall coordinate the collection of infor-
mation and data acquisitioned activities of all Federal agencies, (i)
whenever the respondents are primarily educational agencies or in-
stitutions, and (ii) whenever the purpose of such activities is to re-
quest information needed for the management of, or the formula-
tion of, policy related to Federal education programs or research or
evaluation studies related to the implementation of Federal educa-
tion programs.
[(B) There is hereby established a Federal Education Data Ac-
quistion Council, to consist of members appointed by the Secretary
who shall represent the public and the major agencies which col-
the -use dica~ion `"d'ha-nc1'iadiig-orie`-repr'eseritati~e-each=of
Office of Management and Budget and of the Office of Federal
Statistical Policy and Standards. The members representing the
public may be appointed for not more than three years. The Coun-
cil shall advise and assist the Secretary with respect to the im-
provement, development, and coordination of Federal education in-
formation and data acquisition activities, and shall review the poli-
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 Approved For Release 2007/05/17: CIA-RDP85-00003R000300050014-1
cies, practices, and procedures established by the Secretary. The
Council shall meet regularly during the year and shall be headed
by an individual from an agency which has expertise in data collec-
tion but which undertakes no major data collection of education
data.
[(2) For the purposes of this section, the term-
[(A) "information" has the meaning given it by section 3502
of title 44, United States Code;
[(B) "Federal agency" has the meaning given it by section
3502 of the same title; and
[(C) "educational agency or institution" means any public or
private agency or institution offering education programs.
[(3)(A) The Secretary shall review and coordinate all collection
of information and data acquisition activities described in para-
graph (1)(A) of this subsection, in accordance with procedures ap-
proved by the Federal Education Data Acquisition Council. Such
procedures shall be designed in order to enable the Secretary to de-
termine whether proposed collection of information and data acqui-
sition activities are excessive in detail, unnecessary, redundant, in-
effective, or excessively costly, and, if so, to advise the heads of the
relevant Federal agencies.
[(B) No collection of information or data acquisition activity sub-
ject to such procedures shall be subject to any other review, coordi-
nation, or approval procedure outside of the relevant Federal
agency except as required by this subsection and except that an ag-
grieved agency may seek review of an adverse action by the Secre-
tary under subparagraph (A) by the Director of the Office of Man-
agement under the rules and regulations established pursuant to
section 3509 of title 44, United States Code, and the Director shall
issue a decision thereon within 10 days after receipt of the request
for review.
[(C) The procedures established by the Secretary shall include a
review of plans for evaluations and for research when such plans
are in their preliminary stages, in order to give advice to the heads
of Federal agencies regarding the data acquisition aspects of such
plans.
[(b)(1) The Secretary shall assist each Federal agency in per-
forming the review and coordination required by this section and
shall require of each agency a plan for each collection of informa-
tion and data acquisition activity, which shall include-
[(A) a detailed justification of how information once collect-
ed will be used;
[(B) the methods of analysis which will be applied to such
data;
[(C) the timetable for the dissemination of the collected
data; and
[(D) an estimate of the costs and man-hours required by
each educational agency or institution to complete the request
and an estimate of costs to Federal agencies to collect, process,
and analyze the information, based upon previous experience
with similar data or upon a sample of respondents.
[(2) In performing the review and coordination required by this
section, the Secretary shall assure that-
[(A) no information or data will be requested of any educa-
tional agency or institution unless that request has been ap-
 Approved For Release 2007/05/17: CIA-RDP85-00003R000300050014-1
proved and publicly announced by the February 15 immediate-
ly preceding the beginning of the new school year, unless there
is an urgent need for this information or a very unusual cir-
cumstance exists regarding it;
[(B) sampling techniques, instead of universal responses,
will be used wherever possible, with special consideration
being given to the burden being placed upon small school dis-
tricts, colleges, and other educational agencies and institutions;
and
[(C) no request for information or data will be approved if
such information or data exist in the same or a similar form in
the automated indexing system required to be developed pursu-
ant to subsection (d).
[(3) Each educational agency or institution subject to a request
under the collection of information and data acquisition activity
and their representative organizations shall have an opportunity,
during a thirty-day period, to comment to the Secretary on the col-
lection of information and data acquisition activity. The exact data
instruments for each proposed activity shall be available to the
public upon request during this comment period.
[(4) No changes may be made in the plans for the acquisition of
that information or data, except changes required as a result of the
review described in this section, after such plans have been finally
approved under this section, unless the changed plans go through
the same approval process.
[(5) The Secretary may waive the requirements of this section
for individual research and evaluation studies which are not desig-
nated for individual project monitoring or review, provided that-
[(A) the study shall be of a nonrecurring nature;
[(B) any educational agency or institution may choose
whether or not to participate, and that any such decision shall
not be used by any Federal agency for purposes of individual
project monitoring or funding decisions;
[(C) the man-hours necessary for educational agencies and
institutions to respond to requests for information or data shall
not be excessive, and the requests shall not be excessive in
detail, unnecessary, redundant, ineffective, or excessively
costly; and
[(D) the Federal agency requesting information or data has
announced the plans for the study in the Federal Register.
[The Secretary shall inform the relevant agency or institution con-
cerning the waiver decision within thirty days following such an
announcement, or the study shall be deemed waived and may pro-
ceed. Any study waived under the provisions of this subsection
shall be subject to no other review than that of the agency request-
ing information or data from educational agencies or institutions.
[(6) Nothing in this section shall be construed to interfere with
the enforcement of the provisions of the Civil Rights Act of 1964 or
any other nondiscrimination provision of Federal law.
[(c) The Secretary shall, insofar as practicable, and in accord-
ance with the provisions of this Act, provide educational agencies
and institutions and other Federal agencies, pursuant to the re-
quirement of section 406(f)(2)(A), with summaries of information
collected and the data acquired by Federal agencies, unless such
data were acquired on a confidential basis.
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 Approved For Release 2007/05/17: CIA-RDP85-00003R000300050014-1
[(d) The Secretary shall, insofar as practicable-
[(1) develop standard definitions and terms consistent, wher-
ever possible, with those established by the Office of Federal
Statistical Policy and Standards, Department of Commerce, to
be used by all Federal agencies in dealing with education-relat-
ed information and data acquisition requests;
[(2) develop an automated indexing system for cataloging all
available data;
[(3) establish uniform reporting dates among Federal agen-
cies for the information and data acquisition required after
review under this section;
[(4).publish annually a listing of education data requests, by
Federal agency, and for the programs adminsitered in the Edu-
cation Division, publish a listing annually of each such pro-
gram with its appropriation and with the data burden result-
ing from each such program; and
[(5) require the Federal agency proposing the collection of
information or data acquisition activity to identify in its data
instrument the legislative authority specifically requiring such
collection, if any, and require the responding educational
agency or institution to make the same identification if it in
turn collects such information or data from other agencies or
individuals.
[(e)(1) Subject to the provisions of paragraph (2), the Secretary
shall develop, in consultation with Federal and State agencies and
local educational agencies, procedures whereby educational agen-
cies and institutions are permitted to submit information required
under any federal educational program to a single Federal or State
educational agency.
[(2) Any procedures developed under paragraph (1) shall be con-
sidered regulations for the purpose of section 431 and shall be sub-
mitted subject to disapproval in accordance with section 431(e) of
this Act for a period of not to exceed 60 days computed in accord-
ance with such section.
[(f) The Secretary shall submit a report to the Congress not less
than once every three years, describing the implementation of this
section. Such report shall contain recommendations for revisions to
Federal laws which the Secretary finds are imposing undue bur-
dens on educational agencies and institutions, and such recommen-
dations shall not be subject to any review by any Federal agency
outside the Department.
[(f)(1) The Secretary is authorized to make grants from sums ap-
propriated pursuant to this subsection to State educational agen-
cies, including State agencies responsible for postsecondary educa-
tion, for the development or improvement of education manage-
ment information systems.
[(2) Any State educational agency is eligible for a grant of funds
under this subsection subject to the following conditions:
[(A) The agency agrees to use such funds for the develop-
ment or improvement of its management information system
and agrees to coordinate all data collection for Federal pro-
grams administered by the agency through such a system.
[(B) The agency agrees to provide funds to local educational
agencies and institutions of higher education for the develop-
ment or improvement of management information systems
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when such grants are deemed necessary by the State educa-
tional agency.
[(C) The State agency agrees to take specific steps, in coop-
eration with the Secretary and with local educational agencies
or institutions of higher education in the State, as appropriate,
to eliminate excessive detail and unnecessary and redundant
information requests within the State and to achieve the col-
lection of information in the most efficient and effective possi-
ble manner so as to avoid imposing undue burdens on local
educational agencies or institutions of higher education.
[(g) For the purpose of carrying out this subsection-
[(1) there are authorized to be appropriated for salaries and
expenses $600,000 for fiscal year 1979, $1,000,000 for fiscal year
1980, and $1,200,000 for each of the two succeeding fiscal years;
[(2) there are authorized to be appropriated for grants under
paragraph (6) the sums of $5,000,000 for fiscal year 1979,
$25,000,000 for fiscal year 1980, and $50,000,000 for each of the
two succeeding fiscal years; and
[(3) the sums appropriated according to paragraphs (1) and
(2) shall be appropriated as separate line items.]
SECTION 201 OF THE SURFACE MINING CONTROL AND RECLAMATION
ACT OF 1977
TITLE II-OFFICE OF SURFACE MINING RECLAMATION AND
ENFORCEMENT
SEC. 201. (a) *
* * * * * * *
[(e) The Office shall be considered an independent Federal regu-
latory agency for the purposes of sections 3502 and 3512 of title 44
of the United States Code.]
TITLE VII-HEALTH RESEARCH AND TEACHING FACILITIES
AND TRAINING OF PROFESSIONAL HEALTH PERSONNEL
SEC. 708. (a) * *
* *
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[(f) In carrying out his responsibilities under this section, the
Secretary shall not be subject to the provisions of chapter 35 of
title 44, United States Code.]
SECTION 5315 OF TITLE 5, UNITED STATES CODE
? 5315. Positions at level IV
Level IV of the Executive Schedule applies to the following posi-
tions, for which the annual rate of basic pay shall be the rate de-
termined with respect to such level under chapter 11 of title 2, as
adjusted by section 5318 of this title:
* * * * * * *
Administrator, Office of Federal Information Policy, Office of
Management and Budget.