AGENCY IMPLEMENTATION OF THE RECOMMENDATIONS OF THE COMMISSION ON FEDERAL PAPERWORK

• Document Type: CREST
• Collection: General CIA Records
• Document Number (FOIA) /ESDN (CREST): CIA-RDP84B00890R000300010001-5
• Release Decision: RIPPUB
• Original Classification: K
• Document Page Count: 55
• Document Creation Date: December 14, 2016
• Document Release Date: July 17, 2003
• Sequence Number: 1
• Publication Date: July 28, 1980
• Content Type: MF

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 WASHINGTON, D.C. 20503
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F'": E UTIVE OFFICE OF THE PRESI NT
4 OFFICE OF MANAGEMENT AND BUDGET
JUL 2 8 1980
MEMORANDUM FOR: HEADS OF EXECUTIVE DEPARTMENTS AND
AGENCIES
FROM: John P. Whi
Deputy Director
SUBJECT: Agency Implementation of the Recommendations
of the Commission on Federal Paperwork
By law OMB is required to report on actions taken by agencies
to implement the Commission on Federal Paperwork recommenda-
tions. We are reexamining agency performance in light of a
recent GAO report on CFP activities and our continuing belief
that Commission recommendations warrant careful and thorough
consideration by the agencies.
While previous OMB reports have provided an interim status
summary of agency actions, they have not included any
documentation of status. Future reports will detail agency
action on each recommendation and will also include milestones
for future action on recommendations not yet fully
implemented.
Both the agency reports on actions taken thus far and the GAO
findings indicate that more work lies ahead for both OMB and
the agencies. During the next several weeks, OMB staff will
ask your staff to assist us in documenting completed actions
your agency has taken to implement the CFP recommendations. In
those cases where a recommendation has been rejected, the
agency must provide solid program policy grounds for the
failure to comply with the Commission's recommendations.
We are also identifying recommendations addressed to more than
one agency that have not yet been examined. One agency will be
designated to lead an interagency task group to consider and
implement the recommendation in cooperation with other involved
agencies. In addition, we are reevaluating recommendations
that the Commission addressed to the Congress. As appropriate,
we will ask agencies to develop legislative initiatives to meet
the CFP's intent. We plan to write you later this summer about
actions your agency must take in each of these situations.
Your agency's cooperation will be appreciated.
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ODP 0-877
2 July 1980
MEMORANDUM FOR: Deputy Director for Administration
FROM: Bruce T. Johnson
Director of Data Processing
SUBJECT: Background Information on "Paperwork
Reduction Act of 1980"
1. After the Tuesday staff meeting Tom White and
I discussed your request for background information on
the so-called "Paperwork Reduction Act of 1980," and we
agreed that because he was probably in possession of more
of the relevant data than ODP, he would pull together a
package for you. ODP contributed to the Agency position,
but Tom was the focal point for this Directorate.
2. As a preliminary response, however, here is a
copy of the Act (H.R. 6410) annotated to show some late
changes. Also attached are an OMB memo reflecting Senate
staff proposed exemptions, an OLC point paper on the
subject, a.coordinated paper PreDare by the Interagency
Committee for ADP (on which I represents CIA),
and some "Q & A" pages also from the IAC/ADP.
3. Page 11 of the Act (which has since passed the
House) includes the ADP-T functions of the Director of the
Office of Federal Information Policy. His other duties,
many of them equally troublesome, are outlined beginning
on page 7.
STAT
4. I've told Tom what I'm giving you so as to avoid
unnecessary duplication. STAT
Att: a/s
STAT
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96TH CONGRESS
2D SESSION
IN THE SENATE OF THE UNITED STATES
MARCH 26 (legislative day, JANUARY 3), 1980
Read twice and referred to the Committee on Governmental Affairs
To reduce paperwork and enhance the economy and efficiency of
the Government and. the private sector by improving Fed-
eral information policymaking, and for other purposes.
1 Be it enacted by the Senate and House of Representa-
2 tives of the United States of America in Congress assembled,
3 That this Act may be cited as the "Paperwork Reduction Act
4 of 1980".
5 SEC. 2. (a) Title 44 of the United States Code is
6 amended by striking out chapter 35 and inserting in its place
7 the following new chapter:
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1 "CHAPTER 35-COORDINATION OF FEDERAL
2 INFORMATION POLICY
"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.
"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.
3 "?3501. Purpose
4 "It is the purpose of this chapter to ensure that-
5 "(1) Federal information policies and practices
6 shall be coordinated and integrated with each other
7 and shall be uniform, as far as practicable, throughout
8 the Federal Government;
9 "(2) information needed by agencies shall be ob-
10 tained with a minimum burden upon persons and enti-
11 ties required to furnish the information, and obtained,
12 used, and disseminated at a minimum cost to the
13 Government;
14 "(3) information collected and tabulated by an
15 agency shall, as far as practicable, be maintained in a
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1 manner to maximize the usefulness of the information
2 to Congress, agencies, and the public;
"(4) the collection, maintenance, use, and dissemi-
nation of personal _, information by agencies shall be
consistent with the Privacy Act of 1974 and other ap-
6 plicable laws; and
7 "(5)` automatic data processing and telecommuni-
8 cations technology shall be acquired and used in a
9 manner which improves service delivery and program
10 management, increases productivity, reduces waste and
11 fraud, and, where possible, reduces the information
12 processing burden on the public and private sectors.
13 "?3502. Definitions
14 "As used in this chapter, the term-
15 "(1) `agency' means any executive department,
16 military department, Government corporation, Govern-
17 ment controlled corporation, or other establishment in
18 the executive branch of the Government (including the
19 Executive Office of the President), or any independent
20 regulatory agency; but does not include the General
21 Accounting Office or the governments of the District of
22 Columbia and of the territories and possessions of the
23 United States, and their various subdivisions;
24 "(2) `collection of information' means the obtain-
ing or soliciting of facts or opinions for any purpose by
25
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1 an agency by the use of written report forms, applica-
2 tion forms, schedules, questionnaires, reporting or rec-
3 ordkeeping requirements, or other similar methods call-
4 ing-for.either
5 "(A) answers to identical questions posed to,
6 or identical reporting or recordkeeping require-
7 11. menns imposed on, ten or more persons; or
"(B) answers to questions posed to agencies
9 of the United States which are to be used for gen-
10 eral statistical purposes;
11 "(3) `data element' means a distinct piece of infor-
12 mation such as a name, term, number, abbreviation, or
13 symbol;
14 "(4) `data element dictionary' means a system
15 containing standard and uniform definitions and cross
16 references for commonly used data elements;
17 "(5) `data profile' means a synopsis of the ques-
18 tions contained in an information collection request,
19 and ' also such related items as the official name of the
20 request, the location of information obtained through
21 such request, a description of any compilations, analy-
22 ses, or reports derived from such information, any
23 record retention requirements associated with such re-
24 quest, the agency responsible for such request, the au-
25 thorizing ' statute, and other information necessary to
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1 identify, access, and use the data contained in such
. 2 * information;
3 "(6) `Director' means the Director of the Office of
4z Management and Budget;
5... "(7) `directory ,of information resources' means a
6 catalog of information collection requests, containing a
7 data profile for each request;
8 "(8) `independent regulatory agency' means the
9 Board of Governors of the Federal Reserve System,
10 the Civil Aeronautics Board, the Commodity Futures
11 Trading Commission, the Consumer Product Safety
12 Commission, the Federal Communications Commission,
13 the Federal Deposit Insurance Corporation, the Fed-
14 eral Election Commission, the Federal Energy Regula-
15 tory Commission, the Federal Home Loan Bank
16 Board, the Federal Maritime Commission, the Federal
17 Trade Commission, the Interstate Commerce Commis-
18 sion, the Mine Enforcement Safety and Health Review
19 Commission, the National Labor Relations Board, the
20 Nuclear Regulatory Commission, the Occupational
21 Safety and Health Review Commission, the Postal
22 Rate Commission, and the Securities and Exchange
23 Commission, and other similar agencies designated by
24 statute as independent regulatory establishments of the
25 Federal Government;
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I "(9) `information collection request' means a writ-
2 ten report form, application form, schedule, question-
naire, or other reporting or recordkeeping requirement
for the collection of information;
5 "(10) `information referral service' means the
6 function that assists officials and citizens in. obtaining
7 access to the Federal Information Locator System;
8 "(11) `person' means an individual, partnership,
9 association, corporation, business trust, or legal repre-
10 sentative, an organized group of individuals, a State,
11 territorial, or local government or branch thereof, or a
12 political subdivision of a State, territory, or local gov-
13 ernment or a branch of a political subdivision; and
14 "(12) `recordkeeping requirement' means a re-
15 quirement imposed by an agency on persons to main-
16 tain specified records.
17 "? 3503. Office of Federal Information Policy
18 "(a) There is established in the Office of Management
19 and Budget an office to be known as the Office of Federal
20 Information Policy.
21 "(b) There shall be at the head of the Office an Adminis-
22 trator who shall be appointed by, and who shall report di-
23 rectly to, the Director. The Director shall delegate to the
24 Administrator the authority and responsibility to administer
25 all functions under this chapter. The Administrator shall
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1 serve as principal adviser to the Director on Federal informa-
2~,-tion policy.
3 3504. Authority and functions of Director
4: "(a) The Director shall provide overall direction in the
5 development and implementation of Federal information poli-
6 ties, principles, standards, and guidelines, including review
7 and approval of information collection requests, the reduction
8 of the paperwork burden placed on the public, Federal statis-
9 tical activities, records management activities, privacy of rec-
10 ords pertaining to individuals, interagency sharing of infor-
11 mation, and acquisition and use of automatic data processing
12 and other technology for managing information resources.
13 "(b) The general information policy functions of the Di-
14 rector shall include-
15 "(1) developing and establishing uniform informa-
16 tion resources management policies and overseeing the
17 development of information management principles,
18 standards, and guidelines and promoting their use;
19 "(2) initiating and reviewing proposals for changes
20 in legislation, regulations, and agency procedures to
21 improve information practices, and informing the Presi-
22 dent and the Congress on the progress made in effect-
23 ing such changes;
24 "(3) coordinating, through the review of budget
25 proposals and otherwise, agency information practices;
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1 "(4) promoting, through the use of the Feder
Information Locator System and the .review of budg
proposals, and otherwise, greater agency sharing of i
formation (consistent with applicable laws) to enhanc
5 the usefulness of the information and limit the repor
6 ing burden on the public;
7 "(5) evaluating the agencies' information practice
8 to determine their adequacy, efficiency, and compliant
9 with policies, principles, standards, and guidelines pro
10 mulgated by the Director; and
11 "(6) overseeing the planning of, and the conduc
12 of research with respect to, Federal information collec-
13 tion, processing, storage, transmission, and use.
14 "(c) The information collection request clearance an
15 other paperwork functions of the Director shall include-
16 "(1) reviewing and approving information collet-,
17 tion requests proposed by agencies;
18 "(2) determining whether the collection of infor-
19 matron by an agency is necessary for the proper per-
20 formance of the functions of the agency and has practi-
21 cal utility for the agency;
22 "(3) designating, in accordance with section 3509,
23 a collection agency to obtain information for two or
24 more agencies;
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1 "(4) setting goals for reductions of the numbers
2 and burdens of Federal information collection requests;
3 "(5) overseeing action on the recommendations of
the Commission on Federal Paperwork; and .
5
6
"(6) designing and operating the Federal Informa-
tion Locator System in accordance with section 3511.
7 "(d) The statistical policy and -coordination functions of-
8 the Director shall include-
9 "(1) developing, in conjunction with the agencies,
10 long range plans for the improved performance of Fed-
11 eral statistical activities and programs;
12 "(2) coordinating, through the review of budget
13 proposals and otherwise, the functions of the Govern-
14 ment with respect to gathering, interpreting, and dis-
15 seminating statistics and statistical information;
16 "(3) overseeing the establishment of Government-
17 wide policies, principles, standards, and guidelines cov-
18 ering statistical collection procedures and methods, sta-
19 tistical data classifications, and statistical information
20 presentation and dissemination; and
21 "(4) evaluating statistical program performance
22 and agencies' compliahee with Government-wide poli-
23 cies, principles, standards, and guidelines.
24 "(e) The records management functions of the Director;
25 shall include-
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"(1) providing advice and assistance to the Ad
ministrator of General Services to promote coordina
tion in the administration of chapters 29, 31, and 33 o
4 this title with the information policies, principles
5 standards, and guidelines established under th
6 chapter;
7 "(2) reviewing compliance by Federal agencie
8 with the requirements of chapters 29, 31, and 33
9 this title and with regulations promulgated by th
10 Administrator of General Services thereunder; and
11 "(3) coordinating records management policie
12 and programs with related information programs sue
13 as information collection, statistics, automatic dat
14 processing and telecommunications, and similar
15 activities.
16 "(f) The privacy functions of the Director shall-
17 include-
18 "(1) overseeing the development of and promul-
19 gating policies, principles, standards, and guidelines on
20 information disclosure and confidentiality, and on safe-
21 guarding the security of information collected or main-
22 tained by agencies, or in conjunction with Federal
23 programs;
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1 "(2) providing agencies with advice and guidance
2 about information security, restriction, exchange, and
13 disclosure; and
"(3) monitoring compliance with the Privacy Act
of 1974 (5 U.S.C: 552a) and related information man-
agement laws.
"(g) The automatic data processing and telecommunica-
8 tions functions of the Director shall include-
9 "(1) establishing policies, principles, standards,
10 and guidelines for automatic data processing and tele-
11 communications functions and activities, and overseeing
12 the establishment of standards under section 111(f) of
13 the Federal Property and Administrative Services Act
14 of 1949 (40 U.S.C. 759(f));
15 "(2) monitoring the effectiveness of, and compli-
16 ante with, directives issued pursuant to sections 110
17 and 111 of the Federal Property and Administrative
18 Services Act of 1949 (40 U.S.C. 757, 759) and re-
19 viewing proposed determinations under section 111(g)
20 of such Act; CO NS 0G1 Alt?")
21 "(3) providing, in ee irration with the Adminis-
22 trator of General Services, advice and guidance on the
23 acquisition and use of automatic data processing and
24 telecommunications equipments an4 -- = ra ting;
25 through the review e -l l "oFe
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 4 ing and telecommunications equipment to improve the
6 the operation of Federal programs; and
7 "(s) initiating and reviewing proposals for changes
PdL'I V
8 in legislation, regulations, and agency prose4xres to
9 improve automatic data processing and telecommunica-
10 tions practices, and informing the President and the
11 Congress of the progress made in effecting such
12 changes.
13 "(h) Other functions of the Director shall include ensur-
14 ing that, in developing rules and regulations, agencies-
15 "(1) utilize efficient methods to collect, use, and
16 disseminate necessary information;
17 "(2) provide an early and substantial opportunity
18 for the public to comment on proposed means of col
19 lecting information related to such rules and regula-
20 tions; and
21 "(3) make assessments of the consequences of al-
22 ternative methods of implementing the statutory goals
23 of such rules and regulations (including alternative
24 methods of collecting information).
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1 "(i) In any review of regulations by the Director author-
2 ized by law, the Director shall consider the relationship of
3 such regulations to the policies, principles, standards, and
guidelines established. under this chapter.
5 "? 3505. Assignment of tasks and deadlines
"In carrying out the authority and functions assigned by
7 this chapter, the Director shall-
8 "(1) within one year after the date of enactment
9 of the Paperwork Reduction Act of 1980-
10 "(A) establish standards and requirements for
11 agency audits of all major information systems,`
12 .assi
e responsibility for-c-6-nd-OTM19
13 aiadiU, and as
&u;
15 "(B) establish the Federal Information Loca-
16 tor System;
17 "(C) identify areas of duplication in informa-
18 tion collection requests and develop a schedule
19 and methods for eliminating the duplication; and
20 "(D) develop a proposal to augment the Fed-
21 eral Information Locator System to include data
22 profiles of major information holdings of agencies
23 (used in the conduct of their operations) which are
24 not otherwise required by this chapter to be in-
2.a cluded in the System; and
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1 "(2) within two years after such date o
2 enactment-
"(A) establish a schedule and a management
control system (including policies, principles,
standards, and guidelines) to ensure that practices
and programs of the various information handling
disciplines,., such, as, records management, are ap-
8 propriately integrated with each other, and with
9 the broad information policies established by this
10 chapter;
11 "(B) identify initiatives which may achieve
12 substantial productivity improvement in Federal
13 operations using information processing
14 technology;
15 "(C) develop a program to (i) enforce Federal
16 information processing standards, particularly Ian-
17 guage standards, at all Federal installations; and
18 (ii) revitalize the standards development program,
19 separating it from peripheral technical assistance
20 functions and directing it to the most productive
21 areas;
22
"(D) complete action on recommendations of
23 the Commission on Federal Paperwork, including
24 development of legislation necessary to implement
25 such recommendations;
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"(E) develop, it~en-~:th
for meeting the automatic data processing and
telecommunications needs of the Federal Govern-
ment ;in accordance with the requirements of see-
6 tion 111 of the Federal Property and Administra-
7 tive Services Act of 1949 (40 U.S.C. 759) and
8 the purposes of the Paperwork Reduction Act of
9 1980; and
10 "(F) submit to the President and the Con-
11 gress legislative proposals to remove inconsisten-
12 cies in laws and practices involving privacy, confi-
13 dentiality, and disclosure of information.
14 "? 3506. Federal agency responsibilities
15 "(a) Each agency shall be responsible for carrying out
16 its information management activities in an efficient, effec-
17 tive, and economical manner, and for complying with the in-
18 formation policies, principles, standards, and guidelines pre-
19 scribed by the Director.
20 "(b) The head of each agency shall designate, within
21 three months of the date of enactment of the Paperwork Re-
22 duction Act of 1980, a senior official who reports directly to
23 such agency head to carry out the responsibilities of the
24 agency under this chapter.
25 "(c) Each agency shall-
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"(1) systematically inventory its major information
systems and periodically review its information man-
agement activities, including. planning; budgeting, orga-
nizing, directin , traini gAting, controlling, and
other managerial activities involving the collection,
use, and dissemination of information;
"(2) take steps to ensure that its information sys-
8 tems do not overlap each other or duplicate those of
9 other agencies;
10 "(3) develop procedures for assessing the paper-
11 work and reporting burden of its information collection
12 activities and of proposed legislation and regulations
13 related to such agency; and
14 "(4) assign to the fficial designated under subsec-
15 tion (b) the respbnsi lity for the conduct of and ac-
16 countability for 'anyuisitions made pursuant to a
17 delegation of auth rity un r section 111 of the Fed-
18 eral Property and Administra.'ve Services Act of 1949
19 (40 U.S.C. 759).
20 "(d) The head of each agency shall establish such proce-
21 dures as he may deem necessary to ensure the compliance of
22 his agency with the requirements of the Federal Information
23 Locator System, including necessary screening and compl
24 ance activities.
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1 "? 3507. Public information collection activities-submis-
sion to Director; approval and delegation
3 "(a) An agency shall not conduct or sponsor the collec-
tion of information- unless, in advance of adoption or revision
5 of the request for collection of such information-
6 "(1) the agency has taken appropriate steps, in-
7 eluding consultation with the Director (A) to eliminate
8 information collections which seek to obtain informa-
9 tion available from another source within the Federal
10 Government (through the use of the Federal Informa-
11 tion Locator System and other means), (B) to reduce
12 the compliance burden on respondents, and (C) to for-
13 mulate plans for tabulating the information in a manner
14 which will enhance its usefulness to other agencies and
15 to the public;
16 "(2) the agency has submitted to the Director the
17 proposed information collection request, copies of perti-
18 nent regulations and of other related materials as the
19 Director may specify, and an explanation of measures
20 taken to satisfy paragraph- (1) of this section, and has
21 caused a notice of such submission to be published in
22 the Federal Register; and
23 "(3) the Director has approved the proposed infor-
24 mation collection request, or sufficient time has elapsed
25 as provided under subsection (c).
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1 "(b) Any disapproval, in whole or in part, under subsec-
2 tion (a) 'of a `proposed information' collection request of an
3 independent regulatory agency may be voided if the agency,
,ill
4- by a majority vote of its members, overrides the Director's
5 decision.
6 "(c) The Director shall, within sixty days of receipt of a
7 proposed information collection request, notify the agency in-
8 volved of his decision to approve or disapprove the request. If
9 the Director determines that a request submitted for review
10 cannot be reviewed within sixty days, he may, after notice to
11 the agency involved, extend the review period for an addi-
12 tional, thirty days. If the Director does not notify the agency
13 of an extension, denial, or approval within. sixty days (or, if',
14 he has extended the review period for an additional thirty
15 days and does not notify the agency of a denial or approval
16 within the time of the extension), his approval may be in=
17 ferred and the agency may collect the information for not!
18 more than one year.
19 "(d) No approval of an information collection request;
20 shall be valid for a period of more than three years.
21 "(e) If the Director finds that a senior official designated
22 pursuant to section 3506(b) has independence from any pro-:
23 gram responsibility and has sufficient resources to evaluate;
4
24 whether proposed information collection requests should be
25 approved, the Director may, by rule subject to the notice and
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1 comment provisions of chapter 5 of title 5, delegate to such
2 official his power to approve proposed requests in specific
3 program areas, for specific purposes, or for all agency pur-
poses. Such delegation shall not preclude the Director from
.5 reviewing individual information collection requests if the Di-
6 rector determines that circumstances warrant such a review.
7 The Director : shall retain authority to revoke such delega-
8 tions of power, both in general and with regard to any spe-
9 cific matter. In acting for the Director, any official to whom
10 approval powers have been delegated shall comply fully with
11 the rules and regulations promulgated by the Director.
12 "(f) No agency shall be exempt from the requirements of
13 this chapter.
14 "?3508. Determination of necessity for information;
15 hearing
16 "Before approving a proposed information collection re-
17 quest, the Director shall determine whether the collection of
18 information by an agency is necessary for the proper per-
19 formance of the functions of the agency and has practical
20 utility for the agency. Before making a determination the Di-
21 rector may give the agency and other interested persons an
22 opportunity to be heard or to submit statements in writing.
23 To the extent, if any, that the Director determines that the
24 collection of information by an agency is unnecessary, for any
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1 reason, the agency may not engage in. the collection of th
2 information.
3 "?3509:. Designation of central' collection agency
4 "The Director may designate a collection agency
5 obtain information for two or more agencies if the Director i
6 of the opinion that the needs of such agencies for information
7 will be adequately served by a single collection agency,
8 such sharing of data is not inconsistent with any applicably
9 law. In such cases the Director shall prescribe (with refer,
10 ence to the collection of information) the duties and function
11 of the collection agency so designated and of the agencies fo
12 which it is to act as agent (including reimbursement to
13 costs). While the designation is in .effect, an agency covere
14 by it may not obtain for itself information which it is the dut
15 of the collection agency to obtain. The Director may modif
16 the designation from time to time as circumstances requir
17 "? 3510. -Cooperation of agencies in making informatio
18 available
19 "(a) The Director may direct an agency to make availa
a
20 ble to another agency information obtained pursuant to an
21 information collection request if-
22 "(1) the disclosure is not inconsistent with anc`,
23 applicable law;
24 "(2) it is disclosed in the form of statistical totals
25 or summaries; or
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"(3) the person who supplied the information con-
sents to such disclosure.
"(b) If information obtained by an agency is released by
..4E that agency to another agency, all the provisions of law (in-
eluding penalties which relate to the unlawful disclosure of
6 information) apply to the officers and employees of the
7 agency> tol whichinformation- is -released to the same extent
8 and in the. same manner as the provisions apply to the offi-
9 cers and employees of the agency which originally obtained
10 the information. The officers and employees of the agency to
11 which the information is released, in addition, shall be subject
12 to the same provisions of law, including penalties, relating to
13 the -unlawful disclosure of information as if the information
14 had been collected directly by that agency.
15 "?3511. Establishment and operation of Federal Informa-
16 tion Locator System
17 "(a) There is hereby established in the Office of Federal
18 Information Policy a Federal Information Locator System
19 (hereinafter in this section referred to as the `System') com-
20 posed of a directory of information resources, a data element
21 dictionary, and an information referral service. The System
22 shall serve as the authoritative register of all information col-
23 section requests.
24 "(b) In designing and operating the System, the Direc-
25 for ,shall-
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1 "(1) design and operate an indexing system for
2 the System;
3
"(2) promulgate rules requiring the head of each
agency to prepare in a form specified by the Director,
and to submit to the Director for inclusion in the
6 System, a data, profile for each information collection
7 request of such agency;
8 "(3) compare data profiles for proposed informa-
9 tion collection requests against existing profiles in the
10 System, and make available the results of such com-
11 parison to-
12 "(A) agency officials who are planning new
13 information collection activities; and
14 "(B) on request, members of the general
15 public; and
16 "(4) ensure that no actual data,, except descriptive
17 data profiles necessary to identify duplicative data or
18 to locate information, are contained within the System.
19 "? 3512. Penalty for failure to furnish information
20 "Notwithstanding any other provision of law, no person
21 shall be subject to any penalty for failing to provide informa-
22 tion to any agency if the information collection request in-
23 volved was made after December 31, 1981, in violation of
24 section 3507.
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1 "? 3513. Director review of agency activities; reporting;
2 agency response
3 The Director shall, with the advice and assistance
4 ? ofM the Adminis or., ..of .General Services, : re ' w, at least
5 once every three years, means of s ctive inspections, the
6 information management actyof each agency to ascer-
8 cy and efficieX of, these activities, the Dire
9 particu attention to whether the agency has compliedvith
10 ction 3506.
ai
11 ;`) The Director shall report t
12-?re''to the appropriate agency head, the House Committee
13 on Government Operations, the Senate Committee on Gov-
14 ernmental Affairs, the House and Senate Committees on Ap-
15 propriations, and committees of the Congress having jurisdic-
16 tion over legislation relating to the operations of the agency
17 involved.
18 "eEa.ch agency which receives a report pursuant to
19 subsection (b) shall, within sixty days thereafter, prepare and
20 submit to the Director, the House Committee on Govern-
21 meat Operations, the Senate Committee on Governmental
22 Affairs, the House and Senate Committees on Appropri-
23 ations, and the committees of the Congress having jurisdic-
24 Lion over legislation relating to its operations, a written state-
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1 ment describing any measures taken to alleviate or remove
2 any problems or deficiencies identified in such report.
3 3514. Responsiveness to Congress
4 - "(a) The Director shall . keep the Congress and its com-
5 mittees fully and currently informed of the major activities
6 under this chapter, and shall submit a report thereon to the
7 President"`of"the"Senate and'the Speaker of the House of
8* Representatives annually and at-such other times as may be
9 necessary for this purpose. The Director shall include in such
10 reports-.
11 "(1) proposals for legislative changes needed to
12 improve Federal information. management, including,
13 with respect to information collection, recommenda-
14 tions to ease the burden upon individuals and small
15 organizations;
16 "(2) a compilation of legislative impediments to
17 the collection of information which the Director con-
18 cludes that an agency needs but does not have author-
19 ity to collect;
20 "(3) an analysis by agency, and by such other
21 categories as he may deem useful, describing the com-
22 pliance burden of information collection requests of
23 agencies on persons outside the Federal Government,
24 as well as the costs to agencies;
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25
"(4) a summary of accomplishments to reduce the
burden of complying with Federal information collec-
tion requests by such means as reducing the time, cost,
complexity,... and, incomprehensibility of Federal
5 paperwork;
6 "(5) a tabulation of areas of duplication in agency
7 information : collection requests -identifie& during the
8 preceding year and any designations of central collec-
9 tion agencies made to preclude the collection of dupli-
10 Cate information;
11 "(6) a list of all violations of provisions of this
12 chapter and rules, regulations, guidelines, policies, and
1.3 procedures issued pursuant to this chapter; and
14 "(7) with respect to recommendations of the Com-
15 mission on Federal Paperwork-
16 "(A) the specific actions taken on each rec-
17 ommendation which has been completely imple-
18 mented;
19 "(B) the major actions still required to imple-
20 ment each remaining recommendation and the
21 target date for completing each such action;
22 "(C) a detailed assessment of the status of
23 and progress on each such action; and
24 "(D) an explanation of any delays and ac-
25 tions required to overcome these delays.
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1 "(b) The preparation of these reports shall not increase
2 the burden on persons outside the Federal Government of
3 responding to mandatory requests for information.
4 3515. Administrative powers
5 "(a) Upon the request of the Director, each agency
6 (other than an independent regulatory agency) shall make its
7 services,, personnel,- and-facilities available ?to- the Director for
8 the performance of functions under this chapter.
9 "(b) Upon the request,, of the Director, each agency
10 shall, except when prohibited by law, furnish to the Director
11 and give him access to all information in its possession which
12 the Director may determine to be necessary for the perform-
13 ance of functions under this chapter.
14 "? 3516. Rules and regulations
15 "The Director shall promulgate rules and regulations
16 necessary to exercise the authority provided by this chapter.
17 "? 3517. Consultation with other agencies and the public
18 "In the development of information policies, rules, regu-
19 lations, procedures, and forms, the Director shall, from the
20 beginning of each initiative, consult with persons outside the
21 Federal Government and the agencies affected.
22 "? 3518. Effect on existing laws and regulations
23 "The authority of an agency under any other law to
24: prescribe policies, rules, regulations, procedures, and forms
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1 for Federal information activities is subject to the authority
2 conferred on the Director by this chapter.
3 3519. Access to information
"The Director- and personnel in,the Office of Federal
5 Information Policy shall furnish such information as the
6 Comptroller General may require for the discharge of his re-
7 sponsibilities: -For tliis purpose;` the' Co ptrol"ler General ' or
8 his representatives shall have access to all books, documents,
9 aped ,ad cords of that Of ice ,~,/
` + ( oU e~ , /~ i. ?G~0w o ,
1 V "9 35ZU. Authorization of appropriations.
Li-t444 / 4
11 "There are hereby authorized to be appropriated to
12 carry out the provisions of this chapter, and for no other
13 purpose-
14 "(1) not to exceed $8,000,000 for the fiscal year
15 ending September 30, 1981;
16 "(2) not to exceed $8,500,000 for the fiscal year
17 ending September 30, 1982;
18 "(3) not to exceed $9,000,000 for the fiscal year
19 ending September 30, 1983.".
20 (b) The table of chapters of title 44, United States Code,
21 is amended by striking out
"35. Coordination of Federal Reporting Services."
22 and inserting in lieu thereof
"35. Coordination of Federal Information Policy.".
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1 (c)(1) Section 2904 of title 44, United States Code, i
2 amended by striking out paragraph (10) and inserting in lieu
3 thereof the following:
4 "(10) report to the appropriate oversight and ap-
5 propriations committees of* the Congress and to the Di-
6 rector of the Office of Management and Budget an-
7 nually and at such other times as he deems desirable
8 (A) on the results of activities conducted pursuant to
9 paragraphs (1) through (9) of this section, (B) on evalu-
10 ations of responses by Federal agencies to any recom-
11 mendations resulting from inspections or studies con-
12 ducted under paragraphs (8) and (9) of this section, an
13 (C) on estimates of lost benefits or savings resulting
14 from the failure of agencies to implement such
1.5 recommendations.".
16 (2) Section 2905 of title 44, United States Code, is
17 amended by redesignating the text thereof as subsection (a)
18 and by adding at the end of such section the following new
19 subsection:
20 "(b) The Administrator of General Services shall assist
21 the Administrator of the Office of Federal Information Policy
22 in conducting studies and developing standards relating to
23 record retention requirements imposed on the public and on
24 State and local governments by Federal agencies.".
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1 SEC. 3. (a) The President and the Director of the Office
2 of Management and Budget shall delegate to the Administra-
3 tor of the Office of Federal Information Policy all their func-
4 ,.tions, authority, and. responsibility under section 103 of the
5 Budget and Accounting Procedures Act of 1950 (31 U.S.C.
6 18b).
7 (b) The - Director?' , of the Office of Management' and
8 Budget shall. delegate to the Administrator of the Office of
9 Federal Information Policy all functions, authority, and re-
10 sponsibility of the Director under section 552a of title 5 and
11 under sections 110 and 111 of the Federal Property and Ad-
12 ministrative Services Act of 1949 (40 U.S.C. 757, 759).
13 SEC. 4. (a) Section 400A of the General Education Pro-
14 vision Act is amended by adding at the end thereof the fol-
15 lowing new subsection:
16 "(h) The authority provided and the responsibilities im-
17 posed by this section shall terminate on October 1, 1982.".
18 (b) Section 201 of the Surface Mining Control and Rec-
19 lamation Act of 1977 (30 U.S.C. 1211) is amended by strik-
20 ing out subsection (e).
21 (c) Subsection (f) of section 708 of the Public Health
22 Service Act (42 U.S.C. 292h(f)) is repealed.
23 (d) Section 5315 of title 5, United States Code, is
24 amended by adding at the end thereof the following:
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1 "Administrator, Office of Federal Informatio
2 Policy, Office of Management and Budget.".
3 SEC. 5. This' Act shall take effect on October 1, 1980
Passed the House of Representatives March. 24, 1980
Attest: EDMUND L. HENSHAW, JR.,
Clerk.
By W. RAYMOND COLLEY,
Deputy Clerk.
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 STAT
Jim To_zzi
Louis Kincannon
Karen Siegel - Justice
Rick Irby/Cecilia Wirtz
Bernieartin
`Bo
0"PECIAL
SUBJECT: S. 1411 (Chiles) - Paperwork Legislation
Below is the latest Senate staff version of exemptions to accommodate
the interests of the Department of Justice and the intelligence
community. The language would be included as a subsection in section
3518 -- "Effect on existing laws and regulations" as a statutory
clarification to the exercise of OMB authorities regarding "collections
of information" as defined in section 3502(2).
"(c)(1) Except as provided in paragraph (2), this chapter does
not apply to the collection of information used in the course
of conducting--
(A) a Federal criminal investigation or administration of
Federal criminal justice;
(B) civil actions to which the United States is a partner or
an administrative action involving an agency against
specific individuals or entities;
(C) information collection by compulsory process pursuant to
the Antitrust Civil Process Act, P.L. 88-664, as
amended (15 USC 1311 et. seq.); or
(D) intelligence activities as defined in section 4-206 of Executive
Order 12036, issued January 24, 1978, or successor orders.
(2) This chapter applies to general investigations, undertaken with
reference to a category of individuals or entities, such as a
class of licensees or an entire industry other than antitrust
investigations to the extent provided in subparagraph (C) of
paragraph (1)."
Changes have been made in the language as proposed by Senate staff;
subparagraph "(A)" as proposed read "a Federal criminal investigation or
the administration of Federal criminal justice system." The reference
to "system" would make the exemption too broad and, as such, could
include surveys done to improve management in a functional area of
the criminal justice system or other basic information collection forms
of a purely administrative nature. Consequently, the words "the"
and "system" (underscored) were deleted. A second change substitutes
"pursuant to the Antitrust Civil Process Act" in lieu of "in connection
with Federal antitrust investigations" to avoid exempting FTC "line-of-
business" s~ppr~ved For Release 2003/08/13 : CIA-RDP84B0089OR00030001000.1-5
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EXECUTIVE OFFICE OF THE PRESIDENT
June 27, 1980
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Please call me by Monday, June 30, with your views.
THANKS.
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 TALKING POINTS - PAPERWORK
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AIMS OF THE BILL: CIA SUPPORTS
-- Reduce public's burden of unnecessary paperwork
** CIA generates very little paperwork for the public to
deal with
-- Maximize usefulness of government information
** CIA exists to maximize usefulness of Agency infor-
mation to national security policy makers (not the
public or nonsecure agencies)
-- Rationalize use of computer technology
** CIA automatic data processing and telecommunications
represents state of the art and is well integrated
with other secure agencies' ADP/T systems
INFORMATION COLLECTION REQUESTS: INTELLIGENCE EXCEPTION
-- Agency internal information requests should not require
OMB clearance, to assure that national security policymakers
have the information they want when they want it
-- Many intelligence sources would not provide information
to CIA if they knew that the information request to them
had to be published in The Federal Register, approved by
OMB, "profiled" in The Federal Information Locator System,
and that the information might be shared with nonsecure
agencies and the public
OMB EXTERNAL AUDIT
-- CIA Inspector General has direct access to his agency head
enabling him to get quick action in correcting problems
-- Outside (non-Agency) auditors would need sensitive
compartmented clearances
-- Special procedures would be needed to reduce great risk of
disclosure accompanying outside audit
GENERAL ACCOUNTING OFFICE
-- GAO should not be given access to information by the
Paperwork Reduction Act which was denied by the GAO
Act
-- Preventing proliferation of access to sensitive intelligence
is critical when national security depends on the ability
of our intelligence apparatus to monitor foreign military
and political activities with secrecy
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INFORMATION COLLECTION REQUESTS
At page 3, beginning on line 25, after "purpose"
insert "other than for purposes associated with law
enforcement, litigation, or intelligence activities,".
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OMB EXTERNAL AUDIT
At page 13, on line 11, substitute a
semicolon for the comma and strike the
remainder of clause (A).
At page 23, on line 3, strike all of
subsection (a), redesignate subsections (b)
and (c) as (a) and (b) respectively, and at
page 23, on line 11, substitute "agency
compliance with this chapter" for "the
results of inspections".
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GENERAL ACCOUNTING OFFICE
At page 27, on line 9, strike the
period and insert "unless the information
contained in such books, documents, papers,
and records could be withheld from disclosure
to the Comptroller General by an agency pursuant
to the General Accounting Office Act of 1980.".
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H.R.6410
This note discusses the views of the Central Intelligence
Agency on the Paperwork Reduction Act of 1980. The Bill, H.R'.
6410,- currently pending before the Senate Committee on Governmental
Affairs, seeks to reduce the paperwork burden which the government
imposes on the public, to maximize the usefulness of government
information, and to rationalize government use of computer technology.
The Central Intelligence Agency fully supports these legislative
objectives. while it appears that the drafters of the legislation
had no intention to affect intelligence activities adversely, the
Bill as currently drafted would have a negative impact on the
Central Intelligence Agency in the conduct of its foreign intelli-
gence mission.
To reduce the public's paperwork burden, the Bill requires
Office of Management and Budget (OMB) approval for every agency
solicitation of information from ten or more persons. In so
doing, the Bill directs OMB to approve only those information
requests which OMB determines to be necessary and of practical
utility in the conduct of an agency's mission. Accordingly, the
Bill would require OMB approval before the Central Intelligence
Agency could solicit the same information from ten or more intelli-
gence sources or ten or more intelligence officers. Adding a
layer of bureaucracy to the time-critical intelligence collection
process would slow it considerably, an anomalous result with
potentially dangerou.s consequences. The OMB clearance requirement
would also have the adverse effect of removing decision making
authority in intelligence collection from those who have the
relevant expertise.
Even more troublesome, from the viewpoint of security of
sensitive information, are those provisions of the Bill which
contemplate: publication of notice of a proposed information
collection request in the Federal Register; mandatory regis-
tration of information collection requests in the Federal Infor-
mation Locator System (FILS), which may include "data profiles of
major information holdings at agencies;" and the subsequent
sharing of the information collected with other agencies and the
public. Application of such provisions to the Central Intelligence
Agency would be inconsistent with the long-standing determination
of the President and the Congress to limit the proliferation of
access to sensitive information concerning intelligence and
counterintelligence programs and activities.
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To correct similar problems, the Justice Department has
proposed an amendment to the Bill's definition of "collection
of information" (subsection 3502(2)) to exclude law enforcement,
litigation, and foreign counterintelligence collection. The
Central Intelligence Agency supports the Justice Department
approach and suggests the following amendment to include foreign
positive intelligence matters:
At page 3, beginning on line 25, after "purpose"
insert "other than for purposes associated with law
enforcement, litigation, or intelligence activities,".
The report accompanying H.R. 6410 should refer to Executive
Order 12036, United States Intelligence Activities, 26 January
1978, which contains the current definition of intelligence in
Section 4-206. This approach is preferable to defining intelligence
within a Bill whose primary focus is other than the government's
intelligence functions. This amendment would maintain the Central
Intelligence Agency's ability to collect intelligence with efficiency
and security, without generating any increase in government
paperwork.
An additional difficulty. arises from the authority given
to OMB in ?3505 (1)(A) of the Bill to assign responsibility
for conducting single agency, multi-agency, or government-wide
audits of major information systems. The OMB role in establishing
government information policy should not extend to control of
an agency's internal auditors nor to the use of one agency's
auditors to investigate another agency. The Inspector General and
internal auditors of each agency should audit agency compliance
with OMB policy, given their greater familiarity with the agency
and their ability to act quickly within the agency to correct
problems. In the Central Intelligence Agency, the Bill's outside
audit provision would result in special complications, owing to
the need to clear outside auditors for access to sensitive classi-
fied information and to protect such information from the increased
risks of disclosure accompanying the outside audit. To solve this
problem, the Central Intelligence Agency supports the following
amendments to the Bill, proposed by the Interagency Committee
on Automatic Data Processing (ADP):
At page 13, on line 11, substitute a semicolon for
the comma and strike the remainder of clause (A).
At page 23, on line 3, strike all of subsection
(a), redesignate subsections (b) and (c) as (a) and (b)
respectively, and at page 24, on line 1, substitute
"agency compliance with this chapter" for "the results
of inspections".
The Bill raises other "ADP" issues which have been thoroughly
addressed in a March 1980 letter to OMB from the Chairman of
the Interagency Committee on Automatic Data Processing. The
CIA supports the amendments suggested therein.
2
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A final difficulty with the Bill arises from the provision
giving the Comptroller General access to all information to
which the ONIB office administering the Bill has access. The
provision would conflict with limitations placed on the Comptroller
General's authority by the recently passed General Accounting
Office Act of 1980, P.L. 96-226. To correct this, the Central
Intelligence Agency supports the following amendment proposed by
the Justice Department:
At page 27, on line 9, strike the period and
insert "unless the information contained in such
books, documents, papers, and records could be withheld
from disclosure to the Comptroller General by an agency
pursuant to the General Accounting Office Act of 1980.".
3
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 ~., 4 MAR 19 80
ILLEGIB
Acting Deputy Assistant for
Information Policy
New Executive Office Building
Room 9002
Washington, DC 20503
Mr. John P. McNicholas
Dear Mr. McNicholas,
Attached are Interagency Committee for ADP comments on
House Resolution No. 6410.
Due to the short response time available by your office,
the full Interagency Committee did not have an opportunity to
respond. However, the Executive Board of IAC consisting of
representatives from HEW, HUD, DOD, DOE, Congress, Treasury,
and Agriculture did review ER 6410 and their coordinated
comments appear below.
IAC fully supports this effort to reduce paperwork in the
Federal Government. We note that the burden placed on the OMB
and the agencies to execute this Bill will be great, but with
proper planning and the effective use of ADP the burden will be
considerably alleviated. IAC/ADP will be pleased to lend
support where possible in this area.
We do have some major concerns with the sections of the
Bill that deal with ADP and Telecommunications. If these con-
cerns are accommodated then we can fully support all aspects of
the Bill. IAC supports the basic tenets of these sections in
having the OMB more 1 Vo ve in a policy and oversight role In
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regard ,be effective and efficient use of ADD by Federal
aag es. We believe that determined pursuit of the objectives
by OMB of this Bill could aid agencies in acquiring ADP faster,
reduce the obsolescense problem, and lead to better planning
and more effective use of this resource by agencies. in
addition, the added emphasis on control of standards and their
utility in obtaining-competition as well as transportability of
ADP systems is again fully supported by IAC.
We have three concerns with the details in implementing the
sections of the Bill dealing with ADP and Telecommunications.
The first is the basic relationships between the OMB, GSA,
and the agencies. The Bill can be interpreted as placing GSA,
in a control, directive, and review position essentially at the
OMB level in addition to their normal procurement and acquisi-
tion responsibilities. To equip GSA to perform these roles
would be an additional overhead in the Federal bureaucracy that
would be a redundant one and contrary to the President's
policy to reduce overhead in the Federal bureaucracy. More
important, if our interpretation holds, is that conflict will
arise between the agencies who have the ultircate responsibility
for execution of programs and GSA which interfaces in one
segment of the process. On occasion, conflict will exist
between an agencies mission responsibility and GSA's procure-
ment responsibility. The need is to establish a smooth sup-
portive management flow from the definition of need, through
the requirement determination, acquisition, implementation, and
operation. OMB is properly placed to insure that flow and
presently has the authority by the Brooks Bill to adjudicate
differences between agencies and the GSA to ultimately decide
the best course of action the Government should take. OMB,
therefore, should remain separate, independent and above the
agencies and GSA to properly execute its adjudiction role. We
recognize that OMB has not been active in this regard in the
past, but House Resolution 6410 clearly directs and emphasizes
execution by OMB. Specifically, GSA should not be a party to
the responsibility to develop 5-year plans for the Government.
This is clearly the agency's responsibility. GSA should,
however, be the recipient of the agency plans and provide by
reauiremen.s contracts or other means the capabilities to
assist the agencies in execution of their plans. Further, GSA
should not directly influence the budget process which is again
properly constituted as an agency and 0MB responsibility. OMB
can and should receive input from GSA on agency actions
pertaining to ADP and Telecom unications which may at OMB
discretion influence the budget process.
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Our second concern is with the possible interpretation of
the review function detailed in House Resolution 6410. It may
be construed that OMB will direct internal auditors and may use
one agencies auditors to investigate another agency. Agency
internal auditors and inspector generals are more independent
than ever in our history and perform a needed function for
senior rnanagment of an agency to investigate internal problems
and take corrective action. The agency staff is much more
familiar with potential internal problems, and agencies cur-
rently have the capability to investigate and correct problems
before they get out of hand, do serious damage, or bring
discredit to the Federal government. Direct control of
internal audit functions by central agencies will take away or
at a minimum dilute the capability of agency heads to correct
their own problems.
Our third concern deals with the senior official
responsible for execution of this Bill at the agency level. We
agree with insuring that a senior official be designated at a
high level to be responsible to assure the tenets of this Bill
are executed, but disagree with the legal requirement for that
same individual to necessarily be responsible for the acquisi-
tion and con carol of ADP and Telecommunications. This should be
at the agencies discretion. Most organizations vest procure-
ment authority in procurement and acquisition experts. To
force the same individual to be responsible for all the myriad
aspects of this Bill to include acquisition of ADP resources
may disturb an effective management relationship within agen-
cies that exists today.
We believe the intent of the Bill as it pertains to ADP
and Telecornumuz.nications; to have OMB responsible for policy
pertaining to the requirement, acquisition, and use of the
information technology resource and to be an active and force-
ful player in this regard is worthy. We also believe the
Bill's intention for GSA to have a direct role in support of
OMB's responsibility to be proper.
However, the specific wording of the Bill Ieads to
different interpretations which is the cause of our concern.
Proper rewording will correct these areas of concerns.
Specific suggestions are attached.
The Interagency Committee on ADP apppreciates the
opportunity to be a participant and hopefully has provided
constructive advice in supporting the desire of the Congress to
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relieve the paperwork burden on the American public and to more
effectively and efficiently use the vast AD? resource of the
Federal Government.
IOTA, COLONEL, USAF
Interagency Committee on
Automatic Data Processing
(IAC/ADP)
1 Attachment
Recommended Changes
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(Reference Page 11, lines 18-24)'
Paragraph (3) may be interpreted as authorizing GSA to
determine the use of ADP and Telecommunications-equipment by an
agency and to directly influence the agencies budgets. This
extraordinary authority to GSA appears contrary to the intent
of the Brooks Bill, would confuse the decision-making process
and may incumber the-agencies ability to perform the assigned
missions. AD? is but one element within the systems needed to
satisfy the agencies missions, albeit an important one. On
occasion, conflict will exist between an agencies mission
responsibility and GSAs procurement responsibility. OMB must
be the independent agency at the pinnacle of the bureaucracy
that is authorized to determine trade offs necessary to accom-
plish the mission at the lowest cost in total perspective. It
must also remain the constituted agency to adjudicate disputes
between any agency and GSA and as such must be unincu_mbered to
render the objective decisions determined to be in the overall
best interest to the Government. However, GSA's role in sup-
porting CMB is recognized and we believe the following changes
will accomplish that role and yet not disrupt the proper
decision-making process.
Change the word "coordinate" on line 18 to 'consuitation.0
Place a period after the word equipment", line 21 and delete
the remainder of that paragraph. Insert a paragraph (4)
"Review agency proposals for acquisition and use of such equipm-
rment. GSA upon the request of the director will provide agency
data pertaining to acquisitions-of such equipment.'
(Reference Page 12, lines 5-10)
By exact interpretation the burden this paragraph would place
on OMB and the agencies would be overwhelming. For example, an
agency reorganizing one of their data processing installations
.to have the tape librarian also perform as a customer represen-
tative would require 0MB review. We believe the word "proce-
dures' in line 6 should be changed to policy.
(Reference Page 13, lines 8-12)
This may ble interpreted as having OM_B direct an agency's
auditors and further authorizing assigning one agency's
auditors to inspect another agency. The internal audit func-
tion is critically important to the agency head for independent
reviews to surface and correct problems before they become sig-
nificant. Mitigating the ability of the agency head to assign
auditors at his/her discretion will lead to a degradation of
the agency's audit capability. The long term results could be
disastrous. The authority to require audits as stated on line
8 coupled with the use.of the GAO should be sufficient audit
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control. Suggest replacing the comma after the word "systems"
with a period on line 8 and deleting the remainder of the
paragraph.
(Reference Page 13, lines 24-25; Page 14, lanes 1-2)
This section requiring the 0MB and GSA to develop a 5-year plan
may be interpreted as an independent action on the part of OMB
and GSA. We believe the intent was to provide a plan to sup-
port agency's needs over the 5-year period. Suggest replacing
the phrase in consultation with the Administrator of General
Services" with "based on an Agency's plans."
(Reference Page 16, lines 12-17)
This section places the burden for acquisition of ADP and
'.Telecommunications on the senior official designated to carry
out the primary responsibilities of the Bill. Combining the
functions of procurement with oversight management will be
disruptive to many existing organizational structures and man-
agement processes. The individual designated in subsection b)
has sufficient management authority and leverage to insure com-
pliance with the Bill's intent by the implied responsibilities
under subsection (c)(1), (2), and (3). Suggest deleting para-
graph (4), lines 12-17 page 16, and add "acquisition, procure-
ment," after the word directing' on line 2, page 16.
(Reference Page 18, lines 21-23)
The term "program" has many definitions spanning the spectrum
from a specific acquisition to the agencies prime mission. It
is safe to say that no senior manager is independent of some
agency program depending on the definition fused. We question
whether the restriction of 'independence from any program
responsibility" is necessary to insure the senior official
objectively executes the duties assigned to him in this Bill.
Suggest deleting the words on line 22 starting with "hasp
through the word "responsibility" on line 23. As an alterna-
tive, recommend defining the term 'program" in 43502,
Definitions.
(Reference Page 23, lines 16-17)
Agencies have the inherent responsibility to conduct internal
investigations to evaluate compliance with the law. The
results of these reviews could be made available to OMB, if
required. OMB has been granted sufficient direction and
leverage by Section 3504(b) to investigate an agency-s compli-
ance in a selective or periodic basis if required. Suggest
deleting paragraph (a) and changing the (b) on line 24 to (a).
2
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Delete the words the results of the inspections" on lines 24
and 25 and substitute "agency compliance with this chapter."
As'an alternative, we recormend deleting the use of GSA to
assist the Director in selective inspections. As written GSA
is in the position of evaluating their own influence on the
system. This may be conceived by evaluators that the reviews
were less than objectively conducted. In addition, the concern
expressed above (first paragraph) in the relative relationship
between OMB and GSA and the agencies holds here as well.
Suggest deleting the words "with the advise and assistance of
the Administrator of General Services."
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INTERAGENCY COMMITTEE ON AUTOMATIC DATA PROCESSING
(IAC/ADP)
10:00 A,M. TUESDAY, MARCH 11, 1980
ROOM 1304, OFFICE OF PERSONNEL MANAGEMENT
1900 "E" STREET, N.W., WASHINGTON DC
A G E N D A
1. ADMINISTRATIVE REPORT COLONEL JOHN GIOIA
CHAIRMAN, IAC/ADP
2. IAC CHARTER REVISION MR DAVE ALBRIGHT, EXECUTIVE
BOARD, IAC/ADP
3. DISCUSSION ON OMB MR JIM TOZZI, ASSISTANT
REORGANIZATION AND DIRECTOR, OFFICE OF REGULATORY
HR 6410 & INFORMATION POLICY, OMB
THE OFFICE OF MANAGEMENT AND BUDGET HAS RECENTLY
REORGANIZED. IT APPEARS THAT MORE EMPHASIS WILL BE PLACED
ON MANAGEMENT IN GENERAL, WITH PARTICULAR ATTENTION TO
REGULATORY CONTROL, REPORT GENERATION, INFORMATION POLICY
EMPHASIZING ADP, AND TELECOMMUNICATIONS.
IN ADDITION, THE HOUSE GOVERNMENT OPERATIONS COMMITTEE
IS SPONSORING A BILL (HR 6410), WHICH WOULD ESTABLISH AN OFFICE
OF FEDERAL INFORMATION POLICY (FIP) WITHIN OMB TO ADMINISTER
THE BILL.
THESE ACTIONS WILL HAVE SIGNIFICANT IMPACT ON THE WAY IN
WHICH ADP WILL BE MANAGED BY FEDERAL AGENCIES.
WE ARE VERY FORTUNATE TO HAVE MR JIM TOZZI, ASSISTANT
DIRECTOR, OFFICE OF REGULATORY & INFORMATION POLICY, OMB,
ADDRESS IAC ON 11 MARCH 1980 ON THESE TWO SUBJECTS.
Enclosure 1
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IAC Charter - David Alhright (HUD) presented two proposals to amend the IAC
charter. One.-is to provide for sponsorship of the Federal Automatic Data
Processing Users Group (FADPUT) and the other is to permit the Executive
Board to designate Special Interest Groups. (These proposals were also pre-
sented at the February meeting of IAC and subsequently were mailed to IAC
Principals.) Twenty-three voting members' unanimously voted to accept the
two proposals to amend the IAC charter.
Mr. Jim Tozzi, Assistant Director, Office of Regulatory and Information Policy,
Office of Management and Budget (.OMB), briefed the group on the reorganization
of OMB and on H. R. 6410, a bill which would establish an Office of Information
Policy within OMB.
Q. What is the possibility of a bill this session?
A. I would say there is a high probability you would get a bill this session.
There are small groups that know the information policy aspect both in and
outside of Washington.
Q. You commented that you would be issuing regulations. How will that affect
what GSA does?
A. The authority vested in OMB by the bill is pretty broad. I am of the
opinion that we are not going to throw out all the existing regulations. I
think we will be looking for conflicts or big voids where action needs to be
taken. We will first look to the central agencies (e.g., GSA, Commerce, etc.)
to see if there is anyone who has jurisdiction. I do not see us issuing a
large number of regulations at first until we check with the agencies.
Q. Which came first--the reorganization of OMB or the bill?
A. I cannot answer that explicitly. While the bill was being developed and the
reorganization was being conceived, I was heading the Environmental Branch on
the budget side at OMB. One day late in December I was invited to work in this
area.
:Mr. McNicholas (OMB) added that he had been involved a little longer than
Mr. Tozzi and that it would be difficult to say which was the primary cause
and which was the effect.
Q. Could you give us a little insight as to what has happened to the PRP
project on ADP and what we can expect to come out of that?
A. The PRP project, as you know, has been completed and the recommendations
have been before OMB for some time. While many of the recommendations have
been implemented, some will not be acted upon. A few others I think will
probably come to a head when we begin to implement H.R. 6410 because the main
thrust of H.R. 6410 is to centralize policymaking and form a stronger executive
branch management role. I know of no further action on that report.
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Q. _(OMB has taken and combined regulatory policy, information policy, reports
management, privacy, and tha whole related activity, and combined them in one
organizational element within the. Office of Management and Budget.. Do you
see a cascading of OMB's management decision into the agencies?
A. In part, yes. But first of all, I do not see OMB mandating such cascading.
Considering the complexity of the individual agencies, one could organize all
the boxes together and end up creating a worse problem than one had previously.
I do think the agencies will have problems in one or two directions. They will
either tend to put the boxes together or they will make process changes in the
agencies. In some agencies, the programmatic impact or relationship between
regulations and information policy are very unconnected. Some agencies have no
rule-making authority. A number of agencies issue a large number of regula-
tions and I think the regulatory and the reports management aspects are going
to come together either through a process change or an organizational change
on their part, but not on our part. In the same areas. I think those agencies
whose ADP activities have a strong telecommunications components will probably
adopt a structural change or a process change but not mandated by OMB.
Q. You said you were going to study international questions--yet you talked
about a desk officer or an organizational structure--are you going to have
another staff to do those big questions?
A. The divisions in the Office of Regulatory and Information Policy have two
roles. First, each division, like the Information Policy Division, has a
number of agencies under it in which the desk officers have line examining
responsibilities containing all three components--regulatory, reports, and
ADP-telecommunications. In addition to that, each of the three divisions has
a staff responsibility. In this role they are the main generators of Federal
policy in one of the three areas--information policy, regulatory policy, or
reports management. The Information Policy Division does have that other role.
How many individuals will be assigned to the line desk officer role versus the
staff policy function will have to be worked out. But there definitely will be
some in each role.
Q. Could you expand on your comments about fewer auditors?
A. I said an option to have more auditors. As background, in the early
environmental legislation in the seventies, there was a big issue of whether
the Federal Government should have a huge enforcement strike force to enforce
every environmental statute violated. It was determined that one could never
control that many violations so as a result there is a police force external
to the Federal Government that does the policing. In terms of regulations, we
have several ways to look at the function of auditing the standards and guide-
lines. One most certainly is to have a direct audit function and staff in OMB
but I do not see this in the works. Our total personnel level is looked at
very closely by everyone. We have talked to Congress on this point. As an
.alternative when we issue a circular as a regulation, an agrieved party, out-
side the Federal Government in the ADP area, could request an audit. Another
option is that under the bill we have the authority to delegate certain func-
tions to the agencies. I am not certain how we are going to do it. We also
have the Inspector Generals that we might tap under the same bill. The bill
just says that OMB shall oversee and implement a system--it does not say how
OMB will necessarily do it.
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Q. There is some concern in some of the agencies that desk officers, in
other than John McNicholas' division, do not have that much of a background
in ADP. The functions of ADP will have to be transferred over the next few
months from people who were previously in Wally Haase's organization. I
wonder if you see any problems with that and how you plan to train these
people to handle that kind of a relationship?
A. You are correct that the people. outside of John's area, with one or two
exceptions, are not schooled in the ADP function. First of all, the agencies
which will be reviewed directly by the Information Policy Division account
for 60% of the Federal computer budget. They were put in there purposely
because those agencies that are part of that division have large ADP budgets
but have very few regulatory-actions and a very limited amount of reports
management. The big workload is in ADP so 60% of last year's budget remains
under that division. The question is where did the other 40% go. The other
40% is spread among the other two divisions. Out of those other two divisions,
the huge bucks are in two or three agencies--HEW, Treasury and DOE. In terms of
naming an individual who reports to the agency head, we commented on that
previously and we are completely aware of some of the problems.
Q. Will 0MB be getting a staff increase?
A. In last year's appropriation, I have a 30% increase in staff. Of the
$8 million, $3 million is for the Federal Information Locator System.
(Mr. McNicholas added that the $8 million figure came from the Committee,
.not OMB.)
Q. The bill says that 0MB and GSA will get' together and develop a five year
plan. What are the specifics of that five year plan? Will there be hard-
ware requirements?
A. Initially, I do not think the five year plan will differ too much in sub-
ject matter from the one we now have. The question is in the long run when
we receive all of your views whether the complexion of that plan could change
and in what ways. You could hold constant what gets in the plan generically
and change the justifications. For example, I am interested in some of the
justifications for ADP and telecommunications obligations in terms of what
support these obligations will give to regulatory areas or reports management.
That generally is not now in the support document of justifications for hard-
ware. In some agencies that is a big problem because we could approve regula-
tions and supporting reports clearances but when all of the resulting data
comes into the agency the ADP managers will have no hardware to process it.
In order to protect the ADP manager from that situation we could keep the
basic contents of the plan constant but ask the agency to what extent these
ADP requirements for hardware are being developed in coordination with plans
for regulatory initiatives and new reporting requirements.
The other aspect on which I am not clear and which could change the
programmatic justification is to what extent do we start putting in telecom-
munications and related activities.
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Q. I think that even if you got the 120 people, I cannot understand how you
could answer the question you mentioned came. over your desk this morning
regarding the potential worldwide military communications failuFe (WWMCCS).
I do not see how an ADP group can bet at these embedded systems,
A. I do not think an ADP group per secould and that is why we are reorgan-
izing. I see the new office looking at a combination of regulatory and
related programs and ADP as only a part of it.
Q. Have you come up with a definition for "information policy" that you are
happy with?
A. No. It is not so much that I am not happy with it. The ones I have seen
thus far have been so general that you could have the government looking at
information policy and nothing else. Or they are so narrow that they obviously
exclude some present-day concerns.
Q. It seems to me that the direction we are going in the information policy
area is broad in terms of the components of it and is long-term in terms of
looking into the future. I approve of that--but I also know that you have not
too many people and that you have your operational activities to do first.
I was wondering if you have had a chance to think about how you might imple-
ment it and how the rest of us might be involved?
A. I am very concerned on that issue and so is everyone on my staff. I
think the people in the information policy business have to educate some of
the top devision-makers. I do not think there is any way that 0MB is going
to make these policies and send them out for your review. A lot of this has
to come from you. You will have to say, "Here are some areas that I think
need to be filed." With the exception of a very select number of big policy
areas, I think that 0MB is going to be the keeper of the process and the agen-
cies will work with OMB. I have already met with three or four agencies and
asked them for their. list of top concerns.
Q. You have already said that you go through the budget process as a way to
get things done. In the ADP area we go through a DPA (Delegation of Procurement
Authority) process. You imDly that you are possibly going to get in the regu-
latory and reports management as well. I guess all of those things are being
demanded by Congress. is somebody going to try to put these things together
at one point and time rather than having agencies trying to get three differ-
ent acquisition processes approved -- taking it home and finding that they
have to go through another wicket somewhere down the line?
A. Right now agencies have three wickets -- getting money in the budget;
moving through the procurement processes of GSA; and going to Congress for
appropriations. First of all, there will be no expansion of these. The
question if whether we modify the respective roles of the three players.
I do not have any control over the last one (Congress). The question is
"what is our role relevant to GSA and the Delegation of Procurement Authority?"
I have had very considerable discussions with Dr. Freeman and Mr. Carr of GSA.
My view is that this "wicket-control" procedure will continue but I cannot see
OMB's usual role as becoming closely involved in specific procurements although
Congress might want us to be. I do see that GSA and 0MB will be working very
closely on the procedures and guidelines used.
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