posed report. Summarize the reasons cited by responding agencies for their

nonconcurrences.

(6) Explain how the estimate of reporting costs shown on the SF 360 was derived. Include as an attachment, an Optional Form 101, Summary Worksheet for Estimating Reporting Costs, for the input of each agency that participated in the estimating process.

(7) Review the consideration that was given to alternative reporting plans in 'regard to each of the following: (i) Frequency of reporting, (ii) use of exception reporting, (iii) use of sampling techniques, (iv) selection of respondents, (v) amount of detail, and (vi) format of report.

§ 101-11.1107 Special provisions. § 101-11.1107-1 Exemptions.

The following interagency reporting requirements are exempted from the clearance provisions of this Subpart 10111.11 (However, interagency reporting requirements that may be developed by an agency to respond to an exempted requirement are subject to the clearance provisions of this subpart):

(a) Legislative branch requirements in statutes or congressional committee requests;

(b) Judicial branch requirements in court orders or other judicial determinations;

(c) Presidential requirements in Presidential directives; and

(d) OMB budgetary, program review and coordination, and legislative clearance requirements.

§ 101-11.1107-2 Waivers.

If an agency cannot comply with all provisions of the justification requirements specified in § 101-11.1106, the submission of the complete cost-effectiveness justification may be waived when, in the judgment of GSA, it would be in the interest of the Government to do so. A letter explaining the need for the report and providing the reason for the waiver request shall be submitted instead of the justification statement with Standard Form 360, Request for Clearance of an Interagency Reporting Requirement. As a minimum, all waiver requests shall include a single summary cost figure in item 9, Summary of Estimated Reporting Costs (§ 101-11.11062(d)). This request will be responded to within 5 workdays after its receipt. If a request for waiver is denied, the justi

fication statement shall be prepared under the procedures established in § 101-11.1106 for clearance of the reporting requirement.

§ 101-11.1107-3 Appeal procedure.

If GSA/NARS is unable to resolve differences between requiring and responding agencies concerning an interagency reporting requirement, following approval procedures specified in § 101-11.1105, a requiring or responding agency may appeal the approval decision made by GSA/NARS. The reasons for the appeal shall be stated in writing and forwarded to the General Services Administration (NRI), Washington, DC 20408, for transmittal to OMB with GSA's recommendation.

§ 101-11.1107-4 Federal

Processing Standards.

Information

Each reporting requirement shall be reviewed for conformance with applicable Federal Information Processing Standards (FIPS). FIPS are promulgated by the Department of Commerce, National Bureau of Standards, under the provisions of 40 U.S.C. 759(f); Executive Order 11717 dated May 9, 1973; and 15 CFR Part 6. FIPS that are applicable to reporting requirements are part of a Government-wide program for standardizing data elements and representations which are used and interchanged in automated Government data systems. The objective of this standardization program is to make maximum use of the data resources of the Federal Government and to avoid unnecessary duplications and incompatibilities in collecting, processing, and disseminating data. The most current FIPS publications shall be used in reviewing each reporting requirement. (Information concerning these standards and their availability may be obtained from the Office of ADP Standards Management, Institute for Computer Sciences and Technology, National Bureau of Standards, Washington, DC 20234.)

(a) Applicability. The following types of standards as defined in FIPS publications apply to reporting requirements:

(1) Federal General and Federal Program Data Standards; and

(2) Other ADP standards for media, interchange codes, data transmission, and optical character recognition when data are to be collected and interchanged in a machine readable form.

(b) Certification. After review of the reporting requirement and comparison

with applicable FIPS, one of the following certifications shall be entered in block 7 of SF 360, Request for Clearance of an Interagency Reporting Requirement:

(1) "The format and contents in this reporting requirement are in conformance with FIPS PUB Numbers (enter applicable numbers)."

(2) "The format and contents in this reporting requirement are not applicable to FIPS."

(3) "Approval has been obtained to deviate from the use of certain FIPS in this reporting requirement in accordance with established procedures, and a copy of this approval is attached."

(a) Statistics of general public interest. An interagency reporting requirement which requires Office of Management and Budget (OMB) approval under 44 U.S.C. 3509 (i.e., because the information to be collected is to be used for statistical compilations of general public interest) shall be submitted through the Interagency Reports Coordinator to the General Services Administration (NRI), Washington, DC 20408 using the SF 360, Request for Clearance of an Interagency Reporting Requirement, for approval. GSA/NARS will review the proposed requirement and will transmit a copy to OMB for its action.

(b) Collection of information from the public by responding agencies. An interagency reporting requirement which necessitates collection of information from the public by responding agencies shall be submitted by the requiring agency through the Interagency Reports Coordinator to the General Services Administration (NRI), Washington, DC 20408, using the SF 360 for approval. The request shall be annotated by the requiring agency to indicate that a public reports clearance request has been forwarded to OMB or GAO, as applicable, for approval. This procedure precludes generation of multiple requests for public reporting ap

proval by various responding agencies covering the same requirement.

§ 101-11.1107-7 Interagency reporting coordination with public reports approved by OMB or GAO.

A requiring agency shall discuss with GSA/NARS any reporting requirement which includes both agency and public respondents before it submits any clearance requests. GSA/NARS will determine what clearance documentation is required in each case by OMB or GAO, as applicable, and advise the requiring agency.

§ 101-11.1107-8 Interagency_reporting coordination with Standard and Optional forms approved by GSA/NARS. As described in Subpart 101-11.8, GSA/NARS is responsible for approving Standard and Optional forms. Accordingly, when an agency plans to use new or revised Standard or Optional forms in conjunction with a proposed interagency reporting requirement, the agency shall submit an SF 152, Request for Clearance, Procurement, or Cancellation of Standard and Optional Forms, and an SF 360, Request for Clearance of an Interagency Reporting Requirement. § 101-11.1107-9 Department of Treasury procedures.

the

The Bureau of Government Financial Operations shall provide to GSA/NARS information to permit the prompt registration of each Bureau of Government Financial Operations interagency reporting requirement relating to the central accounting and reporting of fiscal data. Other Bureau of Government Financial Operations interagency reporting requirements not related to the central accounting and reporting of fiscal data remain subject to regular GSA clearance procedures. These reports are those required by the Bureau of Government Financial Operations for internal planning or other internal management purposes. § 101-11.1108 Procurement of stocks of SF 360 and OF 101.

Supplies of Standard Form 360 and Optional Form 101 may be obtained by submitting a requisition in FEDSTRIP/ MILSTRIP format to the GSA regional office providing support to the requesting activity.

§ 101-11.1109 Agency compliance.

NARS conducts periodic reviews of each agency to assess its records man

agement programs and achievements as outlined in § 101-11.103, Agency program evaluation. The Interagency Reports Management Program is included in the review of agency records management programs.

Subpart 101-11.12-Annual Report on

Federal Advisory Committees

AUTHORITY: Sec. 205(c), 63 Stat. 390; 40 U.S.C. 486(c); Public Law 92-463, 5 U.S.C. App. I.; and EO 11769, 39 FR 7125, February 25, 1974.

SOURCE: 40 FR 48134, Oct. 14, 1975, unless otherwise noted.

§ 101-11.1200 Scope of subpart.

This subpart prescribes the procedures for preparing and submitting the Annual Report on Federal Advisory Committees. § 101-11.1201

Background.

(a) The Federal Advisory Committee Act (Public Law 92-463) requires an annual report to the Congress on Federal advisory committees in existence during the preceding calendar year. Executive Order 11769 of February 21, 1974, delegated responsibility for preparation of this report to the Administrator of General Services.

(b) Data for the annual report is coordinated with data the agencies supply to the OMB Committee Management Secretariat throughout the year and, in compliance with sec. 6(c) of the act, provides the official source of statistical information on the activities, status, and changes in the composition of Federal advisory committees. The annual report is separate from the annual comprehensive review which is conducted in accordance with OMB Circular No. A-63, Revised.

cers of the Federal Government, except that the term excludes:

(i) The Advisory Commission on Intergovernmental Relations;

(ii) The Commission on Government Procurement; and

(iii) Any committee which is composed wholly of full-time officers or employees of the Federal Government.

(b) Agency. The term "agency" has the same meaning as it does in 5 U.S.C. 551(1). That is, "agency" means each authority of the United States, whether or not it is within or subject to review by another agency, but does not include: (1) The Congress;

(2) The courts of the United States; (3) The governments of the territories or possessions of the United States;

(4) The government of the District of Columbia; nor

(5) Exclusions set out in 5 U.S.C. 552. (c) Racial/ethnic composition. This composition is not meant to denote scientific definitions of anthropological origins. The categories are:

(1) I/A=American Indian or Alaskan Native. A person having origins in any of the original peoples of North America.

(2) A Asian or Pacific Islander. A person having origins in any of the original peoples of the Far East, Southeast Asia, or the Pacific Islands. This area includes, for example, China, Japan, Korea, the Philippine Islands, and Samoa.

(3) B=Black, not of Hispanic Origin. A person having origins in any of the black racial groups.

(4) H Hispanic. A person of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish Culture or origin, regardless of race.

(5) W=White, not of Hispanic Origin. A person having origins in any of the original peoples of Europe, North Africa, the Middle East, or the Indian subcontinent.

(a) Content of report. The Annual Report on Federal Advisory Committees shall consist of the original and four copies of each of the following:

(1) Standard Form 248, Annual Report on Federal Advisory Committee;

(2) Standard Form 249, Membership List on Federal Advisory Committee;

(3) Standard Form 250, Annual Report on Federal Advisory Committees Summary Sheet; and

(4) A letter of transmittal for the report, signed by the agency head or his designee.

(b) Preparation of report. The SF 248, Annual Report on Federal Advisory Committee, and SF 249, Membership List on Federal Advisory Committee, shall be completed by the organizational element responsible for the support of the individual committee. The SF 250, Annual Report on Federal Advisory Committees Summary Sheet, and the letter of transmittal shall be completed at the department or agency level. Information for completion of SF 250 is compiled directly from data on appropriate SF 248(s) and SF 249 (s).

(c) Due date. This report is due on or before February 1 of each calendar year. Submit the report to the Office of Records Management, National Archives and Records Service (mailing address: General Services Administration (NRI), Washington, D.C. 20408).

§ 101-11.1204 Availability of forms.

Standard Form 248, Annual Report on Federal Advisory Committee; Standard Form 249, Membership List on Federal Advisory Committee; and Standard Form 2,50, Annual Report on Federal Advisory Committees Summary Sheet, and their instructions are illustrated in §§ 101-11.4930-248 through 250. Supplies of Standard Forms 248, 249, and 250 may be obtained by submitting a requisition in FEDSTRIP/MILSTRIP format to the GSA regional office providing support to the requesting activity.

Subpart 101-11.13-Audiovisual Records Management

SOURCE: 41 FR 14516, Apr. 6, 1976, unless otherwise noted.

§ 101-11.1300 Scope.

This subpart sets forth the policies and procedures for managing audiovisual records in the Federal Government. § 101-11.1301 Definitions.

(a) Audiovisual records. Audiovisual records include program and information motion pictures, still pictures, sound recordings, video recordings, and related documentation.

(b) Audiovisual records management. Audiovisual records management includes the management of audiovisual records and related records that document the creation and or acquisition of audiovisual records and that were created for or used in the retrieval of information about or from audiovisual records.

The objectives of audiovisual records management are to achieve the effective creation, maintenance, use, and disposition of audiovisual and related records by: identifying audiovisual and related records to be created and maintained; establishing standards for maintenance and disposition of audiovisual and related records; establishing standards for the physical security and preservation of audiovisual records; and reviewing audiovisual recordkeeping practices on a continuing basis to improve procedures. § 101-11.1303 Agency program responsibilities.

(a) Each Federal agency, in providing for effective controls over the creation of records, shall establish an appropriate program for the management of audiovisual records. This audiovisual records management program shall:

(1) Prescribe the types of records to be created and maintained so that audiovisual operations and their products are properly documented (Guidelines describing the appropriate types of records are found in § 101-11.411-7.);

(2) Issue standards for the maintenance and disposition of audiovisual and related records;

(3) Issue standards for the physical security and preservation of audiovisual records;

(4) Review agency audiovisual recordkeeping and exploit opportunities for improvement; and

(5) Develop and maintain creation cost data for agency audiovisual records.

(b) Each agency should establish agency standards for its audiovisual operations and issue appropriate instructions. These standards should include:

(1) Identifying the various generations of audiovisual records through classification and labeling;

(2) Filing, controlling, and scheduling audiovisual and related records;

(3) Preserving the physical integrity of audiovisual records through proper use and storage conditions; and

(4) Establishing contract specifications for contractor-produced audiovisual records which protect the Government's legal title and ultimate control over all audiovisual media and related documentation.

Subparts 101-11.14-101-11.48
[Reserved]

Subpart 101-11.49-Forms and
Reports

SOURCE: The provisions of this Subpart 101-11.49 appear at 32 F.R. 8036, June 3, 1967 unless otherwise noted.

§ 101-11.4900 Scope of subpart.

This Subpart 101-11.49 contains forms and reports used in connection with the regulations on records management prescribed in this Part 101-11.

NOTE: Forms in §§ 101-11.4901-101-11.4919 filed as part of the original document. Copies may be obtained from Central Office, GSA. § 101-11.4901 Standard Form 136: Annual Summary of Records Holdings.

[41 FR 3739, Jan. 26, 1976]

§ 101-11.4902 Standard Form 115: Request for Authority to Dispose of Records.

Standard Form 212, Vital Records Protection Status Report (Part I—Emergency Operating Records).

[41 FR 3739, Jan. 26, 1976]

§ 101-11.4918

Standard Form 213, Vital Records Protection Status Report (Part II—Rights and Interests Records).

[41 FR 3739, Jan. 26, 1976]

§ 101-11.4920 Standard Form 152, Request for Clearance, Procurement, or Cancellation of Standard and Optional Forms.

NOTE: The form in § 101-11.4920 is filed as part of the original document and does not appear in the FEDERAL REGISTER. [40 FR 27658, July 1, 1975]

§ 101-11.4921 Standard Form 180: Request Pertaining to Military Records. NOTE: The form in § 101-11.4921 is filed as a part of the original document. Federal agencies may obtain copies from the nearest General Services Administration supply depot.

[33 F.R. 18281, Dec. 10, 1968]