management program are to be in published form, designed for easy reference and review. They should be readily available to those who initiate, design, and approve forms.

§ 101-11.208-4 Program implementation.

The following actions are generally basic to a forms management program: (a) Establish and maintain an inventory of all agency forms.

(b) Analyze all forms inventoried and all forms submitted for approval in the future in accordance with standards, guides, and principles set forth in the GSA Records Management Handbook, Forms Analysis.

(c) Review all forms inventoried and all forms prepared in the future for adequacy of design, maintaining the standards, guides, and principles set forth in the GSA Records Management Handbook, Forms Design.

(d) Assign a form number and edition date to each approved form.

(e) Review all requests for new forms and reprints of approved forms to determine that the forms are produced and made available quickly and cheaply. Specifically determine that:

(1) The most effective and economical methods of printing and distributing the form are employed, commensurate with required quality and intended use of the form.

(2) Proper and adequate inventory level standards have been established.

(3) The quantity of the form requested is compatible with procedural and inventory requirements.

(4) An acceptable distribution plan exists for making the form available when and where needed.

(f) Require that each form be supported by a directive setting forth instructions for preparing, submitting, and using. (Not applicable to self-explanatory forms used by a single organizational element such as an office, division, or region.)

(g) Require that each request for a new form justify the form's essentiality. § 101-11.209 Directives-agency gram responsibilities.

pro

§ 101-11.209–1 The directives management function.

The objectives of directives management are to facilitate agency administration and operations by providing the right employee with the right instruc

99-193-69- 4

tions; by producing instructions that are complete, easily understood, readily accessible, and revisable; and by developing and distributing instructions promptly and economically.

§ 101-11.209-2 Directives defined.

(a) A directive is a written communication which initiates or governs action, conduct, or procedure. Directives are usually printed as circulars, notices, regulations, orders, and handbooks, and include material for insertion in policy, administrative, and operations manuals. (b) Certain materials normally are exempted from agency directives management programs. These include public information materials such as professional publications, news releases and announcements of programs, catalogs, and pricelists.

(c) Both internal and external directives are included in a directives management program.

§ 101-11.209-3 Program requirements.

(a) Each Federal agency, in providing for effective controls over the creation of records, is expected to establish an appropriate program for the management of agency directives (§ 101-11.2011). The program will:

(1) Establish and maintain a system for the classification, codification, and supplementation of agency directives.

(2) Establish and implement standards and procedures for the initiation, preparation, review, approval, reproduction, and distribution of proposed agency directives.

(3) Establish and implement standards for the format and editorial style of agency directives.

(4) Review periodically the directives in the system for need and currency and to identify subject voids that should be filled by that origination of new directives.

(5) Review, on a continuing basis, the directives system to find opportunities for design and operational improvements.

(6) Maintain a collection of significant directives which document the organization, functions, policies, decisions, and procedures of the agency. This collection will be an integral part of agency documentation deserving permanent preservation. (See §§ 101-11.202(c) and 101-11.403.)

(b) Standards, guides, and instructions developed for the directives man

agement program are to be in published form, designed for easy reference and revision. They should be readily available to those responsible for originating and approving directives.

§ 101-11.209-4 Program implementation.

The following actions are generally basic to a directives management program:

(a) Standardize the format, typography, organization, assembly, and distribution of agency directives. Specifically:

(1) Use 8" x 101⁄2" page size as a

norm.

(2) Use looseleaf pages for easy revision.

(3) Print on both sides of paper.

(4) Number and letter directives for easy page revision and supplementation. (5) Identify temporary and permament material by a feature that will readily distinguish one from another.

(6) Prepunch all pages-3-hole punch, 3/8'' recommended.

(7) Restrict use of pen and ink changes.

(8) Distribute on a need-to-know and need-to-act basis.

(b) Analyze all directives proposed for inclusion in the system to determine that:

(1) The directive is necessary.

(2) No duplication, overlap, or conflict with other directives exists.

(3) The directive conforms with pertinent laws, Executive orders, regulations, and agency policy.

(4) Appropriate coordination clearances have been completed.

and

tions and operating procedures; establishing standards for maintenance and disposition of machine readable records; developing optimum machine room procedures; and reviewing these recordkeeping practices on a continuing basis to find opportunities for improvement. [32 F.R. 3147, Feb. 22, 1967]

§ 101-11.210-2 ADP records management defined.

ADP records management includes the documentation of computer programs, machine readable records, functional and operational flow charts, job specifications, records showing the basic coding structure, record layouts, printout plans (formats), and basic run instructions (run books).

[32 F.R. 3147, Feb. 22, 1967] § 101-11.210-3

Program requirements. (a) Each Federal agency, in providing for effective controls over the creation of records, is expected to establish an appropriate program for the management of ADP records (§ 101-11.201-1). The program will:

(1) Prescribe the types of records to be used and maintained for the proper documentation and preservation for ADP operation;

(2) Prescribe the types of machine readable records, together with the necessary classification, labeling, recording, and filing standards;

(3) Issue retention and disposal standards for the records used in ADP records management; and

(4) Review, on a continuing basis, agency ADP recordkeeping practices and procedures to find opportunities for improvement and simplification.

(b) Standards, guides, and instructions developed for the agency ADP records management program are to be in published form, designed for easy reference and revision.

[32 F.R. 3147, Feb. 22, 1967]

§ 101-11.210-4 Program implementa

tion.

Each agency should establish agency standards for machine room operations and issue instructions and guidelines in the form of handbooks or manuals. Specifically, these standards should include: (a) Identifying machine room records through classification and labeling;

(b) Filing and controlling methods for finding machine readable records;

(c) Preserving machine readable records through proper maintenance techniques;

(d) Scheduling the disposition and retention of the records used in ADP records management;

(e) Developing processing controls for scheduling machine room jobs to assure the optimum use of data processing equipment; and

(f) Issuing forms and formats for recording machine programs (instructions), functional and operational flow charts, record layout, record coding structure, printout plans, and basic machine run instructions (run books). [32 F.R. 3147, Feb. 22, 1967]

Subpart 101-11.3-Organization, Maintenance, and Use of Current Records

Each Federal agency is expected to:

(a) Assign to an office(s) of the agency the responsibility for the development and implementation of agencywide management programs for mail, files, and records equipment and supplies. When organization arrangement, size, or complexity requires, actual control may be established at bureau, service, or office level. Programs at these control points will operate within the framework of the overall agency plan.

(b) Issue a directive(s) establishing program objectives, responsibilities, and authorities. A copy of each directive (and subsequent amendments or supplements) should be readily available for inspection by the National Archives and Records Service, GSA.

§ 101-11.304 Mail-agency program responsibilities.

§ 101-11.304-1 The mail management function.

The objective of mail management is to provide rapid handling and accurate delivery of mail throughout the agency at minimum cost. To do this processing steps are kept to a necessary minimum; sound principles of work flow are applied; modern equipment, supplies, and devices are used; and, in general, operations are kept as simple as possible, so as to increase efficiency.

[Reserved]

§ 101-11.304-2 Mail defined.

Mail consists of letters, telecommunications, memorandums, post cards, documents, packages, publications, and other communications received for distribution or dispatch.

§ 101-11.304-3 Program reqiurements.

(a) Each Federal agency, in providing for effective controls over the creation of records, is expected to establish an appropriate program for the management of agency mail (§ 101-11.301-2). The program will:

(1) Establish and implement standards and procedures for the receipt, delivery, collection, and dispatch of mail.

(2) Implement the mail management standards set forth in the GSA Records Management Handbook, Agency Mail Operations.

(3) Provide essential management information concerning the volume and types of mail processed and time requirements for internal delivery and mailing.

(4) Review, on a continuing basis, agency mail practices and procedures to find opportunities for improvement and simplification.

(b) Standards, guides, and instructions developed for the agency mail management program are to be in published form, designed for easy reference and revision. They should be readily available to those concerned with mail and messenger operations. In addition, pertinent information for users of mail and messenger services should be given the widest possible dissemination.

§ 101-11.304-4 Program implementa tion.

The followng actions are generally basic to a mail management program:

(a) Deliver mail to the action office within shortest possible time after receipt. (Objective should be 4- to 6-hour delivery.)

(b) Establish realistic time limits for replying to White House and Congressional mail, and to public correspondence. Limit preparing letters of a purely acknowledgment nature to cases in which a considerable time may be needed for a substantive reply.

(c) Limit mail followup control to security mail or mail important because of its source or content.

(d) Make maximum and proper use of Post Office Department services and facilities.

(e) Develop and install procedures that expedite and limit mail clearance, reviews, and signing.

(f) Provide central control with established schedules for messenger services.

§ 101-11.305 Files-agency program responsibilities.

The objectives of files management are to organize agency files so that needed records can be found rapidly, complete records are ensured, the selection and retention of records of archival value are facilitated, and the disposition of noncurrent records is accomplished promptly. All services are to be performed with maximum economy in personnel, equipment, and supplies.

§ 101-11.305-2 Files defined.

A file is basically a paper or folder of papers, but the term is used to denote papers, photographs, photographic copies, maps, or other recorded information regardless of physical form or characteristics, accumulated or maintained in filing equipment, boxes, or on shelves, and occupying office or storage space. Stocks of publications and blank forms are excluded.

§ 101-11.305-3 Program requirements. (a) Each Federal agency, in providing for effective controls over the creation of records, is expected to establish an ap

propriate program for the management of agency files (§ 101-11.301-2). The program will:

(1) Establish and implement standards and procedures for:

(i) Classifying, indexing, and filing records.

(ii) Providing reference services to filed records.

(iii) Locating active files to facilitate agency use of records.

(2) Implement the files classification, operations, and placement standards set forth in pertinent GSA Records Management Handbooks.

(3) Review the program periodically to determine the adequacy of the system and its effectiveness in meeting requests.

(b) Standards, guides, and instructions developed for the files management program are to be in published form, designed for easy reference and revision. They should be readily available to all employees concerned with files operations. In addition, pertinent information for users of files and reference services should be given the widest possible dissemination.

§ 101-11.305-4 Program implementation.

The following actions are generally basic to a files management program: (a) Standardize classification and filing schemes to:

(1) Achieve maximum uniformity and ease in maintaining and using agency records.

(2) Facilitate disposal of records in accordance with applicable records disposal schedules.

(3) Facilitate possible later consolidation of identical type files presently maintained at different locations.

(b) Formally authorize official file locations. Prohibit the maintenance of files at other than authorized locations. (c) Standardize reference service procedures to facilitate the finding, chargeout, and refiling of agency records. (d) File accumulations of papers received at file locations on a daily basis.

(e) Standardize, to the maximum extent possible, the equipment and supplies used in filing and reference service operations. Use standard items stocked by the Federal Supply Service.

(f) Audit periodically a representative sample of the files for duplication, misclassification, or misfiles.

Equipment and supplies include file cabinets, shelf files, visible files, mechanized files, file guides, folders, jackets, wallets, and similar items used in the creation and maintenance of records and in mail handling. A program for managing equipment and supplies may also cover desk-top office machines, dictating and recording equipment, and data recording equipment.

§ 101–11.306–3 Program requirements.

(a) Each Federal agency, in providing for effective controls over the creation of records, is expected to establish an appropriate program for the management of agency records equipment and supplies (§ 101-11.301-2). The program will:

(1) Establish and implement standards and procedures for:

(i) Standardization of records equipment and supplies used by the agency.

(ii) Submission, review, and approval of requests for the purchase of records equipment and supplies.

(iii) Proper utilization of presently owned records equipment.

(2) Review, on a continuing basis, the utilization of records equipment to ensure adequate and proper application.

(3) Provide for a continuing review of new developments in the field of records equipment and supplies and their possible application to agency records systems.

(b) Standards, guides, and instructions for managing records equipment

and supplies are to be in published form, designed for easy reference and revision. They should be readily available to program officials responsible for operations using records equipment and supplies. § 101-11.306-4 Program implementation.

The following actions are generally basic to a records equipment and supplies management program:

(a) Minimize equipment and supplies needs by providing for prompt disposition of records. Reduce or eliminate the need for additional equipment by freeing equipment on hand for reuse.

(b) Use, to the maximum extent possible, standard items listed in GSA Stores Stock Catalog and Federal Supply Schedules. Prohibit the purchase of nonstandard items unless justification for exception is submitted and approved. (c) Review requests for purchase of equipment and supplies to determine essentiality and usability.

(d) Review use of currently owned and rented equipment to determine that it is essential, suitable, properly utilized and maintained, and updated as required.

(e) Analyze record keeping procedures and techniques to determine if requirements for equipment and supplies are realistic and if requirements can be reduced or eliminated through improved or changed procedures techniques.

Subpart 101-11.4-Disposition of Federal Records

or

§ 101-11.401 Records control schedules. § 101-11.401-1 Records scheduling pro

grams.

A records scheduling program is essential to promote a prompt and orderly reduction in the quantity of records in each Federal agency in accordance with the provisions of section 505 (a) and 506 (b) of the Federal Records Act of 1950 (44 U.S.C. 395 (a), 396(b)) and the Records Disposal Act (44 U.S.C. 366). § 101-11.401-2 Basic elements in records scheduling programs.

Three basic elements are present in a records scheduling program:

(a) The taking of a complete inventory of the records in the custody of the agency.