OMB Circular A-130, Mgt. of Federal Recources

Archive

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Document Name: OMB Circular A-130, Mgt. of Federal Recources
Date: 06/28/93
Owner: OMB
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Mgt. of Federal Recources, New OMB Circular A-130--6.28.93

OFFICE OF MANAGEMENT AND BUDGET

Management of Federal Information Resources

AGENCY: Office of Management and Budget, Executive Office of the

President.

ACTION: Revision of OMB Circular No. A-130.

SUMMARY: The Office of Management and Budget (OMB) is revising

Circular No. A-130, Management of Federal Information Resources.

This notice revises those portions of the circular concerning

information management policy, including policies relating to

information dissemination, records management, and cooperation

with State and local governments. This Circular supersedes OMB

Circular Nos. A-3 and A-114.

DATE: This Circular is effective June 25, 1993.

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FOR FURTHER INFORMATION CONTACT: Peter N. Weiss, Information

Policy Branch, Office of Information and Regulatory Affairs,

Office of Management and Budget, Room 3235 New Executive Office

Building, Washington, D.C. 20503. Telephone: (202) 395-4814.

SUPPLEMENTARY INFORMATION:

Background

The Paperwork Reduction Act (PRA) (44 U.S.C. Chapter 35) assigns

the Director of OMB responsibility for maintaining a

comprehensive set of information resources management (IRM)

policies and for promoting the application of information

technology to improve the use and dissemination of information by

Federal agencies.

To fulfill these responsibilities, OMB issued Circular No. A-130,

Management of Federal Information Resources (50 FR 52730;

December 24, 1985), which provided a policy framework for the

management of Federal information resources. Since the Circular

was issued in 1985, Federal agencies have introduced major new

information programs involving the electronic collection and

dissemination of information. Congress has also enacted several

laws bearing on the Circular, especially amendments to the PRA

(Public Law 99-500), the Computer Security Act of 1987 (Public

Law 100-235), the Computer Matching and Privacy Protection Act of

1988 (Public Law 100-503), and the Computer Matching and Privacy

Protection Amendments of 1990 (Public Law 101- 508). Since

publication of the Circular, OMB has addressed the need for

additional guidance in several notices:

(1) Notice of Policy Guidance on Electronic Collection of

Information (52 FR 29454; August 7, 1987);

(2) Advance Notice of Further Policy Development on Dissemination

of Information (54 FR 214; January 4, 1989);

(3) Second Advance Notice of Further Policy Development on

Dissemination of Information (54 FR 25554; June 15, 1989);

(4) Advance Notice of Plans for Revision of OMB Circular No.

A-130 (56 FR 9026; March 4, 1991);

(5) Proposed Revision of OMB Circular No. A-130 (57 FR 18296;

April 29, 1992).

Also, consistent with the October 1, 1991, Notice of Rescission

of OMB Circulars (56 FR 49824), OMB is incorporating into

Circular No. A-130 certain provisions of existing Circular No.

A-3, Government Publications, and of Circular No. A-114,

Management of Federal Audiovisual Activities. As of the effective

date of these revisions, Circular Nos. A-3 and A-114 are

rescinded.

The purpose of the revision is to bring into proper perspective

the following key areas that were not sufficiently emphasized in

the original circular:

(1) IRM planning, with special focus on the information life

cycle.

(2) The role of State and local governments in the management of

information resources, and the need for Federal agencies to

consider the effects of their information activities on those

governments.

(3) Records management, with a special focus on the need to

properly manage electronic records.

(4) Electronic collection and dissemination of information,

identifying those conditions where agencies should consider using

electronic techniques in order to reduce costs or provide better

services.

(5) Information dissemination policy, stating the basic

responsibility of all agencies to disseminate information

consistent with their missions, and laying out the structure and

substance of agency dissemination management programs.

Structure of this Revision

This revision affects primarily Section 6 of the Circular,

Definitions; Section 7, Basic Considerations and Assumptions;

Section 8a, Information Management Policy, and Appendix IV,

Analysis of Key Sections. Minor changes are made in other

sections. The structural outline of the Circular, together with

notations as to which parts are changed, is presented below.

Outline of OMB Circular No. A-130 [as Revised]:

1. Purpose: [Unchanged]

2. Rescissions: [Rescinds Circular No. A-3, Government

Publications, and Circular No. A-114, Management of Federal

Audiovisual Activities.]

3. Authorities: [Cites additional statutory authorities for the

Circular.]

4. Applicability and Scope: [Unchanged]

5. Background: [Unchanged]

6. Definitions: [Changed]

7. Basic Considerations and Assumptions: [Changed]

8. Policies:

a. Information Management Policy: [Changed]

b. Information Systems and Information Technology Management:

[Unchanged]

9. Assignment of Responsibilities: [Changed]

10. Oversight: [Changed]

11. Effective Date: [Changed]

12. Inquiries: [Unchanged]

13. Sunset Review Date: [Changed]

Appendix I: Federal Agency Responsibilities for Maintaining

Records about Individuals [Changed]

Appendix II: Cost Accounting, Cost Recovery, and Interagency

Sharing of Information Technology Facilities [Unchanged]

Appendix III: Security of Federal Automated Information Systems

[Unchanged]

Appendix IV: Analysis of Key Sections [Changes reflecting

revisions to policy.]

The revised portions are printed in their entirety.

Summary of Revisions

Section 3. Authorities. This notice adds a reference to the

Computer Security Act of 1987 and the Chief Financial Officers

Act of 1990.

Section 6. Definitions. OMB defines the terms ``record'' and

``records management'' as set forth at 44 U.S.C. 3301 and 44

U.S.C. 2901(2) respectively because the newly proposed policy

explicitly covers records management, and defines the terms

``information life cycle'' and ``information dissemination

product'' because policy statements regarding records management

and information dissemination use the terms. The term

``audiovisual production'' is defined in order to incorporate

policy presently contained in Circular No. A-114. The revision

modifies the definition of the term ``information'' for clarity.

The term ``government information'' is expanded to include

information created, collected, processed, disseminated, or

disposed of by ``or for'' the Federal Government. The term

``access to information'' is deleted because its use has caused

confusion.

Section 7. Basic Considerations and Assumptions. Aside from minor

stylistic changes and renumbering, the revisions are as follows:

Subsection 7d revises a statement, taken from the public notice

of June 15, 1989, to recognize that the benefits to be derived

from government information may not always be quantifiable.

Subsection 7e in the current Circular is deleted; the intended

meaning is adequately stated in OMB Circular No. A-76.

Subsection 7i is a new statement emphasizing the need for

strategic planning in the management of information resources.

Subsection 7j is a new statement stressing the need for Federal

Government cooperation with State and local governments in the

management of information resources.

Subsection 7l is a revision of the present 7f adding a statement

about the potential benefits of electronic dissemination of

information.

Section 8a. Information Management Policy. The section begins

with a set of policy statements concerning IRM planning with

special emphasis on the information life cycle. Both in the

planning statements and elsewhere, are new policy statements

concerning the role of State and local governments and concerning

records management. Also included are new policy statements

regarding electronic collection and dissemination of information.

The information dissemination policy statements are the most

extensively revised, incorporating the concepts set forth in the

June 15, 1989, notice (54 FR 25554).

Section 8a(1). Information Management Planning. This policy is

new. However, Section 8a(1)(d), pertaining to acquiring

information through sharing from existing sources, is

incorporated from the existing Circular at 8a(2).

Section 8a(2) and (3). Information Collection. Section 8a(2)

states the applicable information collection principles derived

primarily from PRA. Section 8a(3) sets forth a new policy

concerning situations under which electronic information

collection is appropriate. These statements revise those proposed

in the August 7, 1987, notice (52 FR 29454).

Section 8a(4). Records Management. Section 8a(4) sets forth basic

policy regarding records management.

Sections 8a(5) and 8a(6). Information Dissemination Policy. The

notice of June 15, 1989, set forth certain conclusions about the

proper role for executive branch agencies in government

information dissemination and the boundaries between Federal and

nonfederal roles. OMB has used these conclusions as a starting

point for revising information dissemination policy.

Section 8a(5) states the basic responsibility of all agencies to

provide information to the public consistent with their missions.

It also sets forth guidance on how agencies should go about

disseminating information.

Section 8a(6) is a new policy that agencies maintain an

information dissemination management system to ensure the routine

performance of certain dissemination functions. The system and

its functions are new provisions; however, they set in place some

requirements originally contained in OMB Bulletins 88-14, 89-15,

90-09, and 91-16. Finally, this section incorporates certain

requirements from Circular No. A-3, Government Publications,

which is rescinded.

Section 8a(7). Avoiding Improperly Restrictive Practices. Section

8a(7) states a new policy concerning agency control over

information that it intends to disseminate. This section also

states policy regarding user charges for information

dissemination products.

Section 8a(8). Electronic Information Dissemination. New section

8a(8) sets forth policy about when agencies should consider

disseminating information in electronic format. This section

parallels section 8a(3) concerning electronic information

collection.

Section 8a(9). Information Safeguards. Section 8a(9) incorporates

policy statements found in the existing Circular at 8a(3) through

(6).

Section 9. Assignment of Responsibilities. New section 9(a)(10)

carries over the requirement in Circular No. A-114 that the head

of each agency designate an office with responsibility for

management oversight of agency audiovisual productions,

facilities and activities. Section 9(a)(11) adds a requirement

that the agency designated IRM official monitor agency compliance

with the policies contained in the Circular and act as an

ombudsman to consider alleged instances of agency failure to

comply.

Appendix I: Federal Agency Responsibilities for Maintaining

Records About Individuals. Changes to agency responsibilities

resulting from recent enactments of privacy legislation have

previously been issued in OMB guidance, and are incorporated into

Appendix I.

Appendix IV: Analysis of Key Sections. This appendix is

completely revised and provides a general context and explanation

of the contents of the key sections of the Circular. It explains

the changes made to the original Circular by this notice, and

reflects OMB's consideration and resolution of the comments

received in response to the revisions proposed on April 29, 1992

(57 FR 18296).

Plans for Development of Other Topics

The second phase of revisions to Circular No. A-130, which is

being published separately, will address the following areas:

Section 8b. Information Systems and Information Technology

Management. The revisions to Section 8b of the circular will

focus on strategic IRM planning and analysis of proposed

investments in information technology. The Circular will state

policy principles to guide agency planning and explain OMB's

expectations when reviewing agency budget requests for

investments in information technology. OMB intends to make more

explicit the policy connections between A-130 and OMB policy

documents including Circular Nos. A-109, A-123 and A-127, with

the goal of avoiding unnecessary overlap and harmonizing

definitions among all four. It will link the management of

information technology to agency strategic planning, stress

incorporating user needs when preparing requirements analyses,

and suggest policy level control and review mechanisms for IRM

policies and life cycle management of projects.

Appendix II: Cost Accounting, Cost Recovery, and Interagency

Sharing of Information Technology Facilities. OMB will revise

Appendix II to reflect changes in law made by the Chief Financial

Officers Act and the Budget Enforcement Act of 1990. These

requirements include ensuring that accounting and reimbursements

for sharing of information technology facilities are monitored

and approved. The revision will also address the use of revolving

funds for cost recovery and accounting for inter-agency and

intra-agency reimbursements. In addition, the revision will

address the budgetary scoring of capital leases and

lease-to-purchase agreements for information technology.

Appendix III: Security of Federal Automated Information Systems.

OMB will revise Appendix III to incorporate requirements of the

Computer Security Act of 1987, including requirements for

security plans described in OMB Bulletin 90-08. Those revisions

will incorporate changes based on the experience gained in recent

computer security visits to major agencies. OMB will also work

with the National Institute of Standards and Technology to

implement recommendations of the Computer Security and Privacy

Advisory Board (established by the Computer Security Act)

regarding better coordination between this Circular and OMB

Circular No. A-123.

Accordingly, Circular No. A-130 is revised as set forth below.

Sally Katzen,

Administrator,

Office of Information and Regulatory Affairs.

Circular No. A-130_Revised

Transmittal Memorandum No. 1

To the Heads of Executive Departments and Establishments

Subject: Management of Federal Information Resources.

Circular No. A-130 provides uniform government-wide information

resources management policies as required by the Paperwork

Reduction Act of 1980, 44 U.S.C. Chapter 35. This Transmittal

Memorandum contains updated guidance on those portions of the

Circular dealing with information resources management planning,

records management and information dissemination policy. It also

contains a revised Appendix I, ``Federal Agency Responsibilities

for Maintaining Records About Individuals,'' and a revised

Appendix IV, ``Analysis of Key Sections.''

This Circular replaces and rescinds OMB Circular No. A-3,

``Government Publications,'' dated May 2, 1985, and OMB Circular

No. A-114, ``Management of Federal Audiovisual Activities,''

dated March 20, 1985.

Leon E. Panetta,

Director.

Circular No. A-130_Revised

Transmittal Memorandum No. 1

Memorandum for Heads of Executive Departments and Establishments

Subject: Management of Federal Information Resources.

1. Purpose: This Circular establishes policy for the management

of Federal information resources. Procedural and analytic

guidelines for implementing specific aspects of these policies

are included as appendices.

2. Rescissions: This Circular rescinds OMB Circulars No.

A-3, A-71, A-90, A-108, A-114, and A-121, and all Transmittal

Memoranda to those circulars.

3. Authorities: This Circular is issued pursuant to the Paperwork

Reduction Act (PRA), as amended (44 U.S.C. Chapter 35); the

Privacy Act, as amended (5 U.S.C. 552a); the Chief Financial

Officers Act (31 U.S.C. 3512 et seq.); the Federal Property and

Administrative Services Act, as amended (40 U.S.C. 759 and 487);

the Computer Security Act (40 U.S.C. 759 note); the Budget and

Accounting Act, as amended (31 U.S.C. Chapter 11); Executive

Order No. 12046 of March 27, 1978; and Executive Order No. 12472

of April 3, 1984.

4. Applicability and Scope:

a. The policies in this Circular apply to the information

activities of all agencies of the executive branch of the Federal

Government.

b. Information classified for national security purposes should

also be handled in accordance with the appropriate national

security directives. National security emergency preparedness

activities should be conducted in accordance with Executive Order

No. 12472.

5. Background: The Paperwork Reduction Act establishes a broad

mandate for agencies to perform their information management

activities in an efficient, effective, and economical manner. To

assist agencies in an integrated approach to information

resources management, the Act requires that the Director of OMB

develop and implement uniform and consistent information

resources management policies; oversee the development and

promote the use of information management principles, standards,

and guidelines; evaluate agency information management practices

in order to determine their adequacy and efficiency; and

determine compliance of such practices with the policies,

principles, standards, and guidelines promulgated by the

Director.

6. Definitions:

a. The term ``agency'' means any executive department, military

department, government corporation, government controlled

corporation, or other establishment in the executive branch of

the Federal Government, or any independent regulatory agency.

Within the Executive Office of the President, the term includes

only OMB and the Office of Administration.

b. The term ``audiovisual production'' means a unified

presentation, developed according to a plan or script, containing

visual imagery, sound or both, and used to convey information.

c. The term ``dissemination'' means the government initiated

distribution of information to the public. Not considered

dissemination within the meaning of this Circular is distribution

limited to government employees or agency contractors or

grantees, intra- or inter-agency use or sharing of government

information, and responses to requests for agency records under

the Freedom of Information Act (5 U.S.C. 552) or Privacy Act.

d. The term ``government information'' means information created,

collected, processed, disseminated, or disposed of by or for the

Federal Government.

e. The term ``government publication'' means information which is

published as an individual document at government expense, or as

required by law. (44 U.S.C. 1901)

f. The term ``information'' means any communication or

representation of knowledge such as facts, data, or opinions in

any medium or form, including textual, numerical, graphic,

cartographic, narrative, or audiovisual forms.

g. The term ``information dissemination product'' means any book,

paper, map, machine-readable material, audiovisual production, or

other documentary material, regardless of physical form or

characteristic, disseminated by an agency to the public.

h. The term ``information life cycle'' means the stages through

which information passes, typically characterized as creation or

collection, processing, dissemination, use, storage, and

disposition.

i. The term ``information resources management'' means the

planning, budgeting, organizing, directing, training, and

administrative control associated with government information

resources. The term encompasses both information itself and the

related resources, such as personnel, equipment, funds, and

information technology.

j. The term ``information system'' means the organized

collection, processing, maintenance, transmission, and

dissemination of information in accordance with defined

procedures, whether automated or manual.

k. The term ``information technology'' means the hardware and

software operated by a Federal agency or by a contractor of a

Federal agency or other organization that processes information

on behalf of the Federal Government to accomplish a Federal

function, regardless of the technology involved, whether

computers, telecommunications, or others. It includes automatic

data processing equipment as that term is defined in Section

111(a)(2) of the Federal Property and Administrative Services Act

of 1949. For the purposes of this Circular, automatic data

processing and telecommunications activities related to certain

critical national security missions, as defined in 44 U.S.C.

3502(2) and 10 U.S.C. 2315, are excluded.

l. The term ``information technology facility'' means an

organized grouping of personnel, hardware, software, and physical

facilities, a primary function of which is the operation of

information technology.

m. The term ``major information system'' means an information

system that requires special continuing management attention

because of its importance to an agency mission; its high

development, operating, or maintenance costs; or its significant

impact on the administration of agency programs, finances,

property, or other resources.

n. The term ``records'' means all books, papers, maps,

photographs, machine-readable materials, or other documentary

materials, regardless of physical form or characteristics, made

or received by an agency of the United States Government under

Federal law or in connection with the transaction of public

business and preserved or appropriate for preservation by that

agency or its legitimate successor as evidence of the

organization, functions, policies, decisions, procedures,

operations, or other activities of the government or because of

the informational value of the data in them. Library and museum

material made or acquired and preserved solely for reference or

exhibition purposes, extra copies of documents preserved only for

convenience of reference, and stocks of publications and of

processed documents are not included. (44 U.S.C. 3301)

o. The term ``records management'' means the planning,

controlling, directing, organizing, training, promoting, and

other managerial activities involved with respect to records

creation, records maintenance and use, and records disposition in

order to achieve adequate and proper documentation of the

policies and transactions of the Federal Government and effective

and economical management of agency operations. (44 U.S.C.

2901(2))

7. Basic Considerations and Assumptions:

a. The Federal Government is the largest single producer,

collector, consumer, and disseminator of information in the

United States. Because of the extent of the government's

information activities, and the dependence of those activities

upon public cooperation, the management of Federal information

resources is an issue of continuing importance to all Federal

agencies, State and local governments, and the public.

b. Government information is a valuable national resource. It

provides the public with knowledge of the government, society,

and economy_past, present, and future. It is a means to ensure

the accountability of government, to manage the government's

operations, to maintain the healthy performance of the economy,

and is itself a commodity in the marketplace.

c. The free flow of information between the government and the

public is essential to a democratic society. It is also essential

that the government minimize the Federal paperwork burden on the

public, minimize the cost of its information activities, and

maximize the usefulness of government information.

d. In order to minimize the cost and maximize the usefulness of

government information, the expected public and private benefits

derived from government information should exceed the public and

private costs of the information, recognizing that the benefits

to be derived from government information may not always be

quantifiable.

e. The nation can benefit from government information

disseminated both by Federal agencies and by diverse nonfederal

parties, including State and local government agencies,

educational and other not-for-profit institutions, and for-profit

organizations.

f. Because the public disclosure of government information is

essential to the operation of a democracy, management of Federal

information resources should protect the public's right of access

to government information.

g. The individual's right to privacy must be protected in Federal

Government information activities involving personal information.

h. Systematic attention to the management of government records

is an essential component of sound public resources management

which ensures public accountability. Together with records

preservation, it protects the government's historical record and

guards the legal and financial rights of the government and the

public.

i. Strategic planning is basic to the operation of sound

government programs. This planning ensures that the management of

information resources reflects agency strategic priorities within

budgetary limitations.

j. Because State and local governments are important producers of

government information for many areas such as health, social

welfare, labor, transportation, and education, the Federal

Government must cooperate with these governments in the

management of information resources.

k. The open and efficient exchange of scientific and technical

government information, subject to applicable national security

controls and the proprietary rights of others, fosters excellence

in scientific research and effective use of Federal research and

development funds.

l. Modern information technology presents opportunities to

improve the management of government programs to provide better

service to the public. The availability of government information

in diverse media, including electronic formats, permits the

public greater flexibility in using the information.

m. Federal Government information resources management policies

and activities can affect, and be affected by, the information

policies and activities of other nations.

8. Policy_a. Information Management Policy

(1) Information Management Planning. Agencies shall plan in an

integrated manner for managing information throughout its life

cycle. Agencies shall:

(a) Consider, at each stage of the information life cycle, the

effects of decisions and actions on other stages of the life

cycle, particularly those concerning information dissemination;

(b) Consider the effects of their actions on members of the

public and ensure consultation with the public as appropriate;

governments and ensure consultation with those governments as

appropriate;

(d) Seek to satisfy new information needs through interagency or

intergovernmental sharing of information, or through commercial

sources, where appropriate, before creating or collecting new

information;

(e) Integrate planning for information systems with plans for

resource allocation and use, including budgeting, acquisition,

and use of information technology;

(f) Train personnel in skills appropriate to management of

information;

(g) Protect government information commensurate with the risk and

magnitude of harm that could result from the loss, misuse, or

unauthorized access to or modification of such information;

(h) Use voluntary standards and Federal Information Processing

Standards where appropriate or required;

(i) Consider the effects of their actions on the privacy rights

of individuals, and ensure that appropriate legal and technical

safeguards are implemented;

(j) Record, preserve, and make accessible sufficient information

to ensure the management and accountability of agency programs,

and to protect the legal and financial rights of the Federal

Government;

(k) Incorporate records management and archival functions into

the design, development, and implementation of information

systems;

(l) Provide for public access to records where required or

appropriate.

(2) Information Collection. Agencies shall collect or create only

that information necessary for the proper performance of agency

functions and which has practical utility.

(3) Electronic Information Collection. Agencies shall use

electronic collection techniques where such techniques reduce

burden on the public, increase efficiency of government programs,

reduce costs to the government and the public, and/or provide

better service to the public. Conditions favorable to electronic

collection include:

(a) The information collection seeks a large volume of data

and/or reaches a large proportion of the public;

(b) The information collection recurs frequently;

sought by the information collection does not change

significantly over several years;

(d) The agency routinely converts the information collected to

electronic format;

(e) A substantial number of the affected public are known to have

ready access to the necessary information technology and to

maintain the information in electronic form;

(f) Conversion to electronic reporting, if mandatory, will not

impose substantial costs or other adverse effects on the public,

especially State and local governments and small business

entities.

(4) Records Management. Agencies shall:

(a) Ensure that records management programs provide adequate and

proper documentation of agency activities;

(b) Ensure the ability to access records regardless of form or

medium;

the Archivist of the United States for, retention schedules for

Federal records; and

(d) Provide training and guidance as appropriate to all agency

officials and employees and contractors regarding their Federal

records management responsibilities.

(5) Providing Information to the Public. Agencies have a

responsibility to provide information to the public consistent

with their missions. Agencies shall discharge this responsibility

by:

(a) Providing information, as required by law, describing agency

organization, activities, programs, meetings, systems of records,

and other information holdings, and how the public may gain

access to agency information resources;

(b) Providing access to agency records under provisions of the

Freedom of Information Act and the Privacy Act, subject to the

protections and limitations provided for in these Acts;

appropriate for the proper performance of agency functions; and

(d) In determining whether and how to disseminate information to

the public, agencies shall:

(i) Disseminate information in a manner that achieves the best

balance between the goals of maximizing the usefulness of the

information and minimizing the cost to the government and the

public;

(ii) Disseminate information dissemination products on equitable

and timely terms;

(iii) Take advantage of all dissemination channels, Federal and

nonfederal, including State and local governments, libraries and

private sector entities, in discharging agency information

dissemination responsibilities;

(iv) Help the public locate government information maintained by

or for the agency.

(6) Information Dissemination Management System. Agencies shall

maintain and implement a management system for all information

dissemination products which shall, at a minimum:

(a) Assure that information dissemination products are necessary

for proper performance of agency functions (44 U.S.C. 1108);

(b) Consider whether an information dissemination product

available from other Federal or nonfederal sources is equivalent

to an agency information dissemination product and reasonably

fulfills the dissemination responsibilities of the agency;

dissemination products;

(d) Develop such other aids to locating agency information

dissemination products including catalogs and directories, as may

reasonably achieve agency information dissemination objectives;

(e) Identify in information dissemination products the source of

the information, if from another agency;

(f) Ensure that members of the public with disabilities whom the

agency has a responsibility to inform have a reasonable ability

to access the information dissemination products;

(g) Ensure that government publications are made available to

depository libraries through the facilities of the Government

Printing Office, as required by law (44 U.S.C. Part 19);

(h) Provide electronic information dissemination products to the

Government Printing Office for distribution to depository

libraries;

(i) Establish and maintain communications with members of the

public and with State and local governments so that the agency

creates information dissemination products that meet their

respective needs;

(j) Provide adequate notice when initiating, substantially

modifying, or terminating significant information dissemination

products; and

(k) Ensure that, to the extent existing information dissemination

policies or practices are inconsistent with the requirements of

this Circular, a prompt and orderly transition to compliance with

the requirements of this Circular is made.

(7) Avoiding Improperly Restrictive Practices. Agencies shall:

(a) Avoid establishing, or permitting others to establish on

their behalf, exclusive, restricted, or other distribution

arrangements that interfere with the availability of information

dissemination products on a timely and equitable basis;

(b) Avoid establishing restrictions or regulations, including the

charging of fees or royalties, on the reuse, resale, or

redissemination of Federal information dissemination products by

the public; and,

level sufficient to recover the cost of dissemination but no

higher. They shall exclude from calculation of the charges costs

associated with original collection and processing of the

information. Exceptions to this policy are:

(i) Where statutory requirements are at variance with the policy;

(ii) Where the agency collects, processes, and disseminates the

information for the benefit of a specific identifiable group

beyond the benefit to the general public;

(iii) Where the agency plans to establish user charges at less

than cost of dissemination because of a determination that higher

charges would constitute a significant barrier to properly

performing the agency's functions, including reaching members of

the public whom the agency has a responsibility to inform; or

(iv)Where the Director of OMB determines an exception is

warranted.

(8) Electronic Information Dissemination. Agencies shall use

electronic media and formats, including public networks, as

appropriate and within budgetary constraints, in order to make

government information more easily accessible and useful to the

public. The use of electronic media and formats for information

dissemination is appropriate under the following conditions:

(a) The agency develops and maintains the information

electronically;

(b) Electronic media or formats are practical and cost effective

ways to provide public access to a large, highly detailed volume

of information;

(d) The agency knows a substantial portion of users have ready

access to the necessary information technology and training to

use electronic information dissemination products;

(e) A change to electronic dissemination, as the sole means of

disseminating the product, will not impose substantial

acquisition or training costs on users, especially State and

local governments and small business entities.

(9) Safeguards. Agencies shall:

(a) Ensure that information is protected commensurate with the

risk and magnitude of the harm that would result from the loss,

misuse, or unauthorized access to or modification of such

information;

(b) Limit the collection of information which identifies

individuals to that which is legally authorized and necessary for

the proper performance of agency functions;

or contains proprietary information to that which is legally

authorized, and impose appropriate conditions on use where a

continuing obligation to ensure the confidentiality of the

information exists;

(d) Provide individuals, upon request, access to records about

them maintained in Privacy Act systems of records, and permit

them to amend such records as are in error consistent with the

provisions of the Privacy Act.

b. Information Systems and Information Technology Management.

[This Section is unaffected by this revision. See 50 FR 52730

(December 24, 1985).]

9. Assignment of Responsibilities_a. All Federal Agencies. The

head of each agency shall:

(1) Have primary responsibility for managing agency information

resources;

(2) Ensure that the information policies, principles, standards,

guidelines, rules, and regulations prescribed by OMB are

implemented appropriately within the agency;

(3) Develop internal agency information policies and procedures

and oversee, evaluate, and otherwise periodically review agency

information resources management activities for conformity with

the policies set forth in this Circular;

(4) Develop agency policies and procedures that provide for

timely acquisition of required information technology;

(5) Maintain an inventory of the agencies' major information

systems and information dissemination programs;

(6) Create, maintain, and dispose of a record of agency

activities in accordance with the Federal Records Act of 1950, as

amended;

(7) Identify to the Director, OMB, statutory, regulatory, and

other impediments to efficient management of Federal information

resources and recommend to the Director legislation, policies,

procedures, and other guidance to improve such management;

(8) Assist OMB in the performance of its functions under the PRA

including making services, personnel, and facilities available to

OMB for this purpose to the extent practicable;

(9) Appoint a senior official, as required by 44 U.S.C. 3506(b),

who shall report directly to the agency head to carry out the

responsibilities of the agency under the PRA. The head of the

agency shall keep the Director, OMB, advised as to the name,

title, authority, responsibilities, and organizational resources

of the senior official. For purposes of this paragraph, military

departments and the Office of the Secretary of Defense may each

appoint one official.

(10) Designate an office with responsibility for management

oversight of agency audiovisual productions and establish an

appropriate program for the management of audiovisual

productions, facilities, and activities in conformance with the

requirements contained at 36 CFR 1232.4.

(11) Direct the senior official appointed pursuant to 44 U.S.C.

3506(b) to monitor agency compliance with the policies,

procedures, and guidance in this Circular. Acting as an

ombudsman, the senior official shall consider alleged instances

of agency failure to comply with this Circular and recommend or

take corrective action as appropriate. The senior official shall

report annually, not later than February 1st of each year, to the

Director those instances of alleged failure to comply with this

Circular and their resolution.

b. Department of State. The Secretary of State shall:

(1) Advise the Director, OMB, on the development of United States

positions and policies on international information policy issues

affecting Federal Government information activities and ensure

that such positions and policies are consistent with Federal

information resources management policy;

(2) Ensure, in consultation with the Secretary of Commerce, that

the United States is represented in the development of

international information technology standards, and advise the

Director, OMB, of such activities.

c. Department of Commerce. The Secretary of Commerce shall:

(1) Develop and issue Federal Information Processing Standards

and guidelines necessary to ensure the efficient and effective

acquisition management security, and use of information

technology;

(2) Advise the Director, OMB, on the development of policies

relating to the procurement and management of Federal

tele-communications resources;

(3) Provide OMB and the agencies with scientific and technical

advisory services relating to the development and use of

information technology;

(4) Conduct studies and evaluations concerning telecommunications

technology, and concerning the improvement, expansion, testing,

operation, and use of Federal tele-communications systems and

advise the Director, OMB, and appropriate agencies of the

recommendations that result from such studies;

(5) Develop, in consultation with the Secretary of State and the

Director of OMB, plans, policies, and programs relating to

international telecommunications issues affecting government

information activities;

(6) Identify needs for standardization of telecommunications and

information processing technology, and develop standards, in

consultation with the Secretary of Defense and the Administrator

of General Services, to ensure efficient application of such

technology;

(7) Ensure that the Federal Government is represented in the

development of national and, in consultation with the Secretary

of State, international information technology standards, and

advise the Director, OMB, of such activities.

d. Department of Defense. The Secretary of Defense shall develop,

in consultation with the Administrator of General Services,

uniform Federal telecommunications standards and guidelines to

ensure national security, emergency preparedness, and continuity

of government.

e. General Services Administration. The Administrator of General

Services shall:

(1) Advise the Director, OMB, and agency heads on matters

affecting the procurement of information technology;

(2) Coordinate and, when required, provide for the purchase,

lease, and maintenance of information technology required by

Federal agencies;

(3) Develop criteria for timely procurement of information

technology and delegate procurement authority to agencies that

comply with the criteria;

(4) Provide guidelines and regulations for Federal agencies, as

authorized by law, on the acquisition, maintenance, and

disposition of information technology;

(5) Develop policies and guidelines that facilitate the sharing

of information technology among agencies as required by this

Circular;

(6) Review agencies' information resources management activities

to meet the objectives of the triennial reviews required by the

PRA and report the results to the Director, OMB;

(7) Manage the Automatic Data Processing Fund and the Federal

Telecommunications Fund in accordance with the Federal Property

and Administrative Services Act as amended;

(8) Establish procedures for approval, implementation, and

dissemination of Federal telecommunications standards and

guidelines and for implementation of Federal Information

Processing Standards.

f. Office of Personnel Management. The Director, Office of

Personnel Management, shall:

(1) Develop and conduct training programs for Federal personnel

on information resources management including end-user computing;

(2) Evaluate periodically future personnel management and

staffing requirements for Federal information resources

management;

(3) Establish personnel security policies and develop training

programs for Federal personnel associated with the design,

operation, or maintenance of information systems.

g. National Archives and Records Administration. The Archivist of

the United States shall:

(1) Administer the Federal records management program in

accordance with the National Archives and Records Act;

(2) Assist the Director, OMB, in developing standards and

guidelines relating to the records management program.

h. Office of Management and Budget. The Director of the Office of

Management and Budget shall:

(1) Provide overall leadership and coordination of Federal

information resources management within the executive branch;

(2) Serve as the President's principal adviser on procurement and

management of Federal telecommunications systems, and develop and

establish policies for procurement and management of such

systems;

(3) Issue policies, procedures, and guidelines to assist agencies

in achieving integrated, effective, and efficient information

resources management;

(4) Initiate and review proposals for changes in legislation,

regulations, and agency procedures to improve Federal information

resources management;

(5) Review and approve or disapprove agency proposals for

collection of information from the public, as defined by 5 CFR

1320.7;

(6) Develop and publish annually in consultation with the

Administrator of General Services, a five-year plan for meeting

the information technology needs of the Federal Government;

(7) Evaluate agencies' information resources management and

identify cross-cutting information policy issues through the

review of agency information programs, information collection

budgets, information technology acquisition plans, fiscal

budgets, and by other means;

(8) Provide policy oversight for the Federal records management

function conducted by the National Archives and Records

Administration and coordinate records management policies and

programs with other information activities;

(9) Review, with the advice and assistance of the Administrator

of General Services, selected agencies' information resources

management activities to meet the objectives of the triennial

reviews required by the PRA;

(10) Review agencies' policies, practices, and programs

pertaining to the security, protection, sharing, and disclosure

of information, in order to ensure compliance with the Privacy

Act and related statutes;

(11) Resolve information technology procurement disputes between

agencies and the General Services Administration pursuant to

Section 111 of the Federal Property and Administrative Services

Act;

(12) Review proposed U.S. Government Position and Policy

statements on international issues affecting Federal Government

information activities and advise the Secretary of State as to

their consistency with Federal information resources management

policy.

10. Oversight:

a. The Director, OMB, will use information technology planning

reviews, fiscal budget reviews, information collection budget

reviews, management reviews, GSA reviews of agency information

resources management measures, and such other measures as he

deems necessary to evaluate the adequacy and efficiency of each

agency's information resources management and compliance with

this Circular.

b. The Director, OMB, may, upon written request of an agency,

grant a waiver from particular requirements of this Circular.

Requests for waivers must detail the reasons why a particular

waiver is sought, identify the duration of the waiver sought, and

include a plan for the prompt and orderly transition to full

compliance with the requirements of this Circular. Notice of each

waiver request shall be published promptly by the agency in the

Federal Register, with a copy of the waiver request made

available to the public on request.

11. Effectiveness: This Circular is effective upon issuance.

Nothing in this Circular shall be construed to confer a private

right of action on any person.

12. Inquiries: All questions or inquiries should be addressed to

the Office of Information and Regulatory Affairs, Office of

Management and Budget, Washington, D.C. 20503. Telephone: (202)

395-4814.

13. Sunset Review Date: OMB will review this Circular three years

from the date of issuance to ascertain its effectiveness.

Appendix I to OMB Circular No. A-130

Federal Agency Responsibilities for Maintaining Records About

Individuals

1. Purpose and Scope. This Appendix describes agency

responsibilities for implementing the reporting and publication

requirements of the Privacy Act of 1974, 5 U.S.C. 552a, as

amended (hereinafter ``the Act''). It applies to all agencies

subject to the Act. Note that this Appendix does not rescind

other guidance OMB has issued to help agencies interpret the

Privacy Act's provisions, e.g., Privacy Act Guidelines (40 FR

28949-28978, July 9, 1975), or Final Guidance for Conducting

Matching Programs (54 FR at 25819, June 19, 1989).

2. Definitions.

a. The terms ``agency,'' ``individual,'' ``maintain,''

``record,'' ``system of records,'' and ``routine use,'' as used

in this Appendix, are defined in the Act (5 U.S.C. 552a(a)).

b. Matching Agency. Generally, the Recipient Federal agency (or

the Federal source agency in a match conducted by a nonfederal

agency) is the matching agency and is responsible for meeting the

reporting and publication requirements associated with the

matching program. However, in large, multi-agency matching

programs, where the recipient agency is merely performing the

matches and the benefit accrues to the source agencies, the

partners should assign responsibility for compliance with the

administrative requirements in a fair and reasonable way. This

may mean having the matching agency carry out these requirements

for all parties, having one participant designated to do so, or

having each source agency do so for its own matching program(s).

c. Nonfederal Agency. Nonfederal agencies are State or local

governmental agencies receiving records from a Federal agency's

automated system of records to be used in a matching program.

d. Recipient Agency. Recipient agencies are Federal agencies or

their contractors receiving automated records from the Privacy

Act systems of records of other Federal agencies, or from State

or local governments, to be used in a matching program as defined

in the Act.

e. Source Agency. A source agency is a Federal agency that

discloses automated records from a system of records to another

Federal agency or to a State or local agency to be used in a

matching program. It is also a State or local agency that

discloses records to a Federal agency for use in a matching

program.

3. Assignment of Responsibilities.

a. All Federal Agencies. In addition to meeting the agency

requirements contained in the Act and the specific reporting and

publication requirements detailed in this Appendix, the head of

each agency shall ensure that the following reviews are conducted

as often as specified below, and be prepared to report to the

Director, OMB, the results of such reviews and the corrective

action taken to resolve problems uncovered. The head of each

agency shall:

(1) Section (m) Contracts. Review every two years a random

sample of agency contracts that provide for the maintenance of a

system of records on behalf of the agency to accomplish an agency

function, in order to ensure that the wording of each contract

makes the provisions of the Act binding on the contractor and his

or her employees. (See 5 U.S.C. 552a(m)(1))

(2) Recordkeeping Practices. Review annually agency

recordkeeping and disposal policies and practices in order to

assure compliance with the Act, paying particular attention to

the maintenance of automated records.

(3) Routine Use Disclosures. Review every four years the

routine use disclosures associated with each system of records in

order to ensure that the recipient's use of such records

continues to be compatible with the purpose for which the

disclosing agency collected the information.

(4) Exemption of Systems of Records. Review every four years

each system of records for which the agency has promulgated

exemption rules pursuant to Section (j) or (k) of the Act in

order to determine whether such exemption is still needed.

(5) Matching Programs. Review annually each ongoing matching

program in which the agency has participated during the year,

either as a source or as a matching agency, in order to ensure

that the requirements of the Act, the OMB guidance, and any

agency regulations, operating instructions, or guidelines have

been met.

(6) Privacy Act Training. Review annually agency training

practices in order to ensure that all agency personnel are

familiar with the requirements of the Act, with the agency's

implementing regulation, and with any special requirements of

their specific jobs.

(7) Violations. Review annually the actions of agency personnel

that have resulted either in the agency being found civilly

liable under Section (g) of the Act, or an employee being found

criminally liable under the provisions of Section (i) of the Act,

in order to determine the extent of the problem and to find the

most effective way to prevent recurrence of the problem.

(8) Systems of Records Notices. Review annually each system of

records notice to ensure that it accurately describes the system

of records. Where minor changes are needed, e.g., the name of

the system manager, ensure that an amended notice is published in

the Federal Register. Agencies may choose to make one annual

comprehensive publication consolidating such minor changes. This

requirement is distinguished from and in addition to the

requirement to report to OMB and Congress significant changes to

systems of records and to publish those changes in the Federal

b. Department of Commerce. The Secretary of Commerce shall,

consistent with guidelines issued by the Director, OMB, develop

and issue standards and guidelines for ensuring the security of

information protected by the Act in automated information

systems.

c. The Department of Defense, General Services Administration,

and National Aeronautics and Space Administration. These

agencies shall, consistent with guidelines issued by the

Director, OMB, ensure that instructions are issued on what

agencies must do in order to comply with the requirements of

Section (m) of the Act when contracting for the operation of a

system of records to accomplish an agency purpose.

d. Office of Personnel Management. The Director of the Office

of Personnel Management shall, consistent with guidelines issued

by the Director, OMB:

(1) Develop and maintain governmentwide standards and procedures

for civilian personnel information processing and recordkeeping

directives to assure conformance with the Act.

(2) Develop and conduct Privacy Act training programs for agency

personnel, including both the conduct of courses in various

substantive areas (e.g., administrative, information technology)

and the development of materials that agencies can use in their

own courses. The assignment of this responsibility to OPM does

not affect the responsibility of individual agency heads for

developing and conducting training programs tailored to the

specific needs of their own personnel.

e. National Archives and Records Administration. The Archivist

of the United States through the Office of the Federal Register,

shall, consistent with guidelines issued by the Director, OMB:

(1) Issue instructions on the format of the agency notices and

rules required to be published under the Act.

(2) Compile and publish every two years, the rules promulgated

under 5 U.S.C. 552a(f) and agency notices published under 5

U.S.C. 552a(e)(4) in a form available to the public at low cost.

(3) Issue procedures governing the transfer of records to

Federal Records Centers for storage, processing, and servicing

pursuant to 44 U.S.C. 3103. For purposes of the Act, such

records are considered to be maintained by the agency that

deposited them. The Archivist may disclose deposited records

only according to the access rules established by the agency that

deposited them.

f. Office of Management and Budget. The Director of the Office

of Management and Budget will:

(1) Issue guidelines and directives to the agencies to implement

the Act.

(2) Assist the agencies, at their request, in implementing their

Privacy Act programs.

(3) Review new and altered system of records and matching

program reports submitted pursuant to Section (o) of the Act.

(4) Compile the biennial report of the President to Congress in

accordance with Section (s) of the Act.

(5) Compile and issue a biennial report on the agencies'

implementation of the computer matching provisions of the Privacy

Act, pursuant to Section (u)(6) of the Act.

4. Reporting Requirements. (See Table 1 at the end of this

Appendix for due dates and recipient addresses.)

a. Biennial Privacy Act Report. To provide the necessary

information for the biennial report of the President, agencies

shall submit a biennial report to OMB, covering their Privacy Act

activities for the calendar years covered by the reporting

period. The exact format of the report will be established by

OMB. At a minimum, however, agencies should collect and be

prepared to report the following data on a calendar year basis:

(1) A listing of publication activity during each year showing

the following:

* Total Number of Systems of Records (Exempt/NonExempt)

* Number of New Systems of Records Added (Exempt/NonExempt)

* Number Routine Uses Added

* Number Exemptions Added to Existing Systems

* Number Exemptions Deleted from Existing Systems

* Total Number of Automated Systems of Records (Exempt/NonExempt)

The agency should provide a brief narrative describing those

activities in detail, e.g., ``the Department added a (k)(1)

exemption to an existing system of records entitled

``Investigative Records of the Office of Investigations;'' or

``the agency added a new routine use to a system of records

entitled ``Employee Health Records'' that would permit disclosure

of health data to researchers under contract to the agency to

perform workplace risk analysis.''

(2) A brief description of any public comments received on

agency publication and implementation activities, and agency

response.

(3) Number of access and amendment requests from record subjects

citing the Privacy Act that were received during the calendar

year of the report. Also the disposition of requests from any

year that were completed during the calendar year of the report:

* Total Number of Access Requests

Number Granted in Whole

Number Granted in Part

Number Wholly Denied

Number For Which No Record Found

* Total Amendment Requests

Number Granted in Whole

Number Granted in Part

Number Wholly Denied

* Number of Appeals of Denials of Access

Number Granted in Whole

Number Granted in Part

Number Wholly Denied

Number For Which No Record Found

* Number of Appeals of Denials of Amendment

Number Granted in Whole

Number Granted in Part

Number Wholly Denied

(4) Number of instances in which individuals brought suit under

section (g) of the Privacy Act against the agency and the results

of any such litigation that resulted in a change to agency

practices or affected guidance issued by OMB.

(5) Results of any reviews undertaken in response to paragraph

3a of this Appendix.

(6) Description of agency Privacy Act training activities

conducted in accordance with paragraph 3a(6) of this Appendix.

b. Biennial Matching Activity Report. (See 5 U.S.C.

552a(u)(3)(D)). At the end of each calendar year, the Data

Integrity Board of each agency that has participated in matches

covered by the computer matching provisions of the Privacy Act

will collect data summarizing that year's matching activity. The

Act requires that such activity be reported every two years. OMB

will establish the exact format of the report, but agencies' Data

Integrity Boards should be prepared to report the data identified

below both to the agency head and to OMB.

(1) A listing of the names and positions of the members of the

Data Integrity Board and showing separately the name of the Board

Secretary, his or her agency mailing address, and telephone

number. Also show and explain any changes in membership or

structure occurring during the reporting year.

(2) A listing of each matching program, by title and purpose, in

which the agency participated during the reporting year. This

listing should show names of participant agencies, give a brief

description of the program, and give a citation including the

date to the Federal Register notice describing the program.

(3) For each matching program, an indication of whether the

cost/benefit analysis performed resulted in a favorable ratio.

The Data Integrity Board should explain why the agency proceeded

with any matching program for which an unfavorable ratio was

reached.

(4) For each program for which the Board waived a cost/benefit

analysis, reasons for the waiver and the results of match, if

tabulated.

(5) A description of each matching agreement the Board rejected

and an explanation of why it was rejected.

(6) A listing of any violations of matching agreements that have

been alleged or identified, and a discussion of any action taken.

(7) A discussion of any litigation involving the agency's

participation in any matching program.

(8) For any litigation based on allegations of inaccurate

records, an explanation of the steps the agency used to ensure

the integrity of its data as well as the verification process it

used in the matching program, including an assessment of the

adequacy of each.

c. New and Altered System of Records Report. The Act requires

agencies to publish notices in the Federal Register describing

new or altered systems of records, and to submit reports to OMB,

and to the Chair of the Committee on Government Operations of the

House of Representatives, and the Chair of the Committee on

Governmental Affairs of the Senate. The reports must be

transmitted at least 40 days prior to the operation of the new

system of records or the date on which the alteration to an

existing system takes place.

(1) When to Report Altered Systems of Records. Minor changes to

systems of records need not be reported. For example, a change

in the designation of the system manager due to a reorganization

would not require a report, so long as an individual's ability to

gain access to his or her records is not affected. Other

examples include changing applicable safeguards as a result of a

risk analysis, or deleting a routine use when there is no longer

a need for the disclosure. The following changes are those for

which a report is required:

(a) A significant increase in the number of individuals about

whom records are maintained. For example, a decision to expand a

system that originally covered only residents of public housing

in major cities to cover such residents nationwide would require

a report. Increases attributable to normal growth should not be

reported.

(b) A change that expands the types or categories of information

maintained. For example, a file covering physicians that has

been expanded to include other types of healthcare providers,

e.g., nurses, technicians, etc., would require a report.

is used.

(d) A change to equipment configuration (either hardware or

software) that creates substantially greater access to the

records in the system of records. For example, locating

interactive terminals at regional offices for accessing a system

formerly accessible only at the headquarters would require a

report.

(e) The addition of an exemption pursuant to Section (j) or (k)

of the Act. Note that, in examining a rulemaking for a Privacy

Act exemption as part of a report of a new or altered system of

records, OMB will also review the rule under applicable

regulatory review procedures and agencies need not make a

separate submission for that purpose.

(f) The addition of a routine use pursuant to 5 U.S.C.

552a(b)(3).

(2) Reporting Changes to Multiple Systems of Records. When an

agency makes a change to an information technology installation

or a telecommunication network, or makes any other general

changes in information collection, processing, dissemination, or

storage that affect multiple systems of records, it may submit a

single, consolidated report, with changes to existing notices and

supporting documentation included in the submission.

(3) Contents of the New or Altered System Report. The report

for a new or altered system has three elements: a transmittal

letter, a narrative statement, and supporting documentation that

includes a copy of the proposed Federal Register notice. There

is no prescribed format for either the letter or the narrative

statement. The notice must appear in the format prescribed by

the Office of the Federal Register's Document Drafting Handbook.

(a) Transmittal Letter. The transmittal letter should be signed

by the senior agency official responsible for implementation of

the Act within the agency and should contain the name and

telephone number of the individual who can best answer questions

about the system of records. The letter should contain the

agency's assurance that the proposed system does not duplicate

any existing agency or governmentwide systems of records. The

letter sent to OMB may also include requests for waiver of the

time period for the review. The agency should indicate why it

cannot meet the established review period and what will be the

consequences of not obtaining the waiver, (see paragraph 4e

below).

(b) Narrative Statement. The narrative statement should be

brief. It should make reference, as appropriate, to information

in the supporting documentation rather than restating such

information. The statement should:

1. Describe the purpose for which the agency is establishing the

system of records.

2. Identify the authority under which the system of records is

maintained. The agency should avoid citing housekeeping

statutes, but rather cite the underlying programmatic authority

for collecting, maintaining, and using the information. When the

system is being operated to support an agency housekeeping

program, e.g., a carpool locator, the agency may, however, cite a

general housekeeping statute that authorizes the agency head to

keep such records as necessary.

3. Provide the agency's evaluation of the probable or potential

effect of the proposal on the privacy of individuals.

4. Provide a brief description of the steps taken by the agency

to minimize the risk of unauthorized access to the system of

records. A more detailed assessment of the risks and specific

administrative, technical, procedural, and physical safeguards

established shall be made available to OMB upon request.

5. Explain how each proposed routine use satisfies the

compatibility requirement of subsection (a)(7) of the Act. For

altered systems, this requirement pertains only to any newly

proposed routine use.

6. Provide OMB Control Numbers, expiration dates, and titles of

any OMB approved information collection requests (e.g., forms,

surveys, etc.) contained in the system of records. If the

request for OMB clearance of an information collection is

pending, the agency may simply state the title of the collection

and the date it was submitted for OMB clearance.

or altered system of records reports:

1. A copy of the new or altered system of records notice in

Federal Register format, consistent with the provisions of 5

U.S.C. 552a(e)(4). For proposed altered systems the agency should

supply a copy of the original system of records notice to ensure

that reviewers can understand the changes proposed.

2. A copy in Federal Register format of any new exemption rules

or changes to published rules (consistent with the provisions of

5 U.S.C. 552a(f),(j), or (k)) that the agency proposes to issue

for the new or altered system.

(4) OMB Concurrence. Agencies may assume that OMB concurs in

the Privacy Act aspects of their proposal if OMB has not

commented within 40 days from the date the transmittal letter was

signed. Agencies should ensure that letters are transmitted

expeditiously after they are signed. Agencies may publish system

of records and routine use notices as well as proposed exemption

rules in the Federal Register at the same time that they send the

new or altered system report to OMB and Congress. The period for

OMB and congressional review and the notice and comment period

for routine uses and exemptions will then run concurrently. Note

that exemptions must be published as final rules before they are

effective.

d. New or Altered Matching Program Report. The Act requires

agencies to publish notices in the Federal Register describing

new or altered matching programs, and to submit reports to OMB,

and to Congress. The report must be received at least 40 days

prior to the initiation of any matching activity carried out

under a new or substantially altered matching program. For

renewals of continuing programs, the report must be dated at

least 40 days prior to the expiration of any existing matching

agreement.

(1) When to Report Altered Matching Programs. Agencies need not

report minor changes to matching programs. The term ``minor

change to a matching program'' means a change that does not

significantly alter the terms of the agreement under which the

program is being carried out. Examples of significant changes

include:

(a) Changing the purpose for which the program was established.

(b) Changing the matching population, either by including new

categories of record subjects or by greatly increasing the

numbers of records matched.

(d) Changing the source or recipient agencies involved in the

matching program.

(2) Contents of New or Altered Matching Program Report. The

report for a new or altered matching program has three elements:

a transmittal letter, a narrative statement, and supporting

documentation that includes a copy of the proposed Federal

letter or the narrative statement. The notice must appear in the

format prescribed by the Office of the Federal Register's

Document Drafting Handbook.

(a) Transmittal Letter. The transmittal letter should be signed

by the senior agency official responsible for implementation of

the Privacy Act within the agency and should contain the name and

telephone number of the individual who can best answer questions

about the matching program. The letter should state that a copy

of the matching agreement has been distributed to Congress as the

Act requires. The letter to OMB may also include a request for

waiver of the review time period.

(b) Narrative Statement. The narrative statement should be

brief. It should make reference, as appropriate, to information

in the supporting documentation rather than restating such

information. The statement should provide:

1. A description of the purpose of the matching program and the

authority under which it is being carried out.

2. A description of the security safeguards used to protect

against any unauthorized access or disclosure of records used in

the match.

3. If the cost/benefit analysis required by Section (u)(4)(A)

indicated an unfavorable ratio or was waived pursuant to OMB

guidance, an explanation of the basis on which the agency

justifies conducting the match.

1. A copy of the Federal Register notice describing the matching

program.

2. For the Congressional report only, a copy of the matching

agreement.

(3) OMB Concurrence. Agencies may assume that OMB concurs in the

Privacy Act aspects of their proposal if OMB has not commented

within 40 days from the date the transmittal letter was signed.

Agencies should ensure that letters are transmitted expeditiously

after they are signed. Agencies may publish matching program

notices in the Federal Register at the same time that they send

the matching program report to OMB and Congress. The period for

OMB and congressional review and the notice and comment period

will then run concurrently.

e. Expediting the Review Process. The Director, OMB, may grant

a waiver of the 40-day review period for either systems of

records or matching program reviews. The agency must ask for the

waiver in the transmittal letter and demonstrate compelling

reasons. When a waiver is granted, the agency is not thereby

relieved of any other requirement of the Act. If no waiver is

granted, agencies may presume concurrence at the expiration of

the 40 day review period. Note that OMB cannot waive time

periods specifically established by the Act such as the 30 days

notice and comment period required for the adoption of a routine

use proposal pursuant to Section (b)(3) of the Act.

5. Publication Requirements. The Privacy Act requires agencies to

publish notices or rules in the Federal Register in the following

circumstances: when adopting a new or altered system of records,

when adopting a routine use or exemption for a system of records,

or when proposing to carry out a new or altered matching program.

(See paragraph 4c(1) and 4d(1) above on what constitutes a

reportable alteration.)

a. Publishing New or Altered Systems of Records Notices and

Exemption Rules.

(1) Who Publishes. The agency responsible for operating the

system of records makes the necessary publication. Publication

should be carried out at the departmental or agency level. Where

a system of records is to be operated exclusively by a component,

the department rather than the component should publish the

notice. Thus, for example, the Department of the Treasury would

publish a system of records notice covering a system operated

exclusively by the Internal Revenue Service. Note that if the

agency is proposing to exempt the system under Section (j) or (k)

of the Act, it must publish a rule in addition to the system of

records notice.

(a) Governmentwide Systems of Records. Certain agencies publish

systems of records containing records for which they have

governmentwide responsibilities. The records may be located in

other agencies, but they are being used under the authority of

and in conformance with the rules mandated by the publishing

agency. The Office of Personnel Management for example, has

published a number of governmentwide systems of records relating

to the operation of the government's personnel program. Agencies

should not publish systems of records that wholly or partly

duplicate existing governmentwide systems of records.

(b) Section (m) Contract Provisions. When an agency provides by

contract for the operation of a system of records, it should

ensure that a system of records notice describing the system has

been published. It should also review the notice to ensure that

it contains a routine use under Section (e)(4)(D) of the Act

permitting disclosure to the contractor and his or her personnel.

(2) When to Publish.

(a) System Notice. It must appear in the Federal Register

before the agency begins to operate the system, e.g., collect and

use the information.

(b) Routine Use. Must be published in the Federal Register 30

days before agency discloses records pursuant to its terms. If

the sole change to an existing system of records is to add a

routine use, the agency should either republish the entire system

of records notice, a condensed description of the system of

records, or a citation to the last full text Federal Register

publication. (Note that the addition of a routine use to an

existing system of records requires a report to OMB and Congress,

and that the review period for this report is 40 days.)

rulemaking pursuant to the Administrative Procedure Act. This

process generally requires publication of a proposed rule, a

period during which the public may comment, publication of a

final rule, and the adoption of the final rule. Agencies may not

withhold records under an exemption until these requirements have

been met.

(3) Format. Agencies should follow the publication format

contained in the Office of the Federal Register Document Drafting

Handbook obtainable from the Government Printing Office.

b. Publishing Matching Notices.

(1) Who Publishes. Generally, the Recipient Federal agency (or

the Federal source agency in a match conducted by a nonfederal

agency) is responsible for publishing in the Federal Register a

notice describing the new or altered matching program. However,

in large, multi-agency matching programs, where the recipient

agency is merely performing the matches, and the benefit accrues

to the source agencies, the partners should assign responsibility

for compliance with the administrative requirements in a fair and

reasonable way. This may mean having the matching agency carry

out these requirements for all parties, having one participant

designated to do so, or having each source so for its own

matching program(s).

(2) Timing. Publication must occur at least 30 days prior to the

initiation of any matching activity carried out under a new or

substantially altered matching program. For renewals of

programs agencies wish to continue past the 30 month period of

initial eligibility (i.e., the initial 18 months plus a 1 year

extension), publication must occur at least 30 days prior to the

expiration of the existing matching agreement. (But note that a

report to OMB and the Congress is also required with a 40 day

review period).

(3) Format. The matching notice shall be in the format

prescribed by the Office of the Federal Register Document

Drafting Handbook and contain the following information:

(a) The name of the Recipient Agency.

(b) The Name(s) of the Source Agencies.

(d) A brief description of the matching program, including its

purpose; the legal authorities authorizing its operation;

categories of individuals involved; and identification of records

used, including name(s) of Privacy Act Systems of records.

(e) The identification, address, and telephone number of a

Recipient Agency official who will answer public inquiries about

the program.

*THIS IS THE START OF A TABLE*

*TABLE TITLE*Table 1_Reporting Requirements

*BOX HEAD*Report

*BOX HEAD*When Due

*BOX HEAD*Recipient**

*END OF BOXHEAD*

Biennial Privacy Act Report ...June 30, 1994, 1996, 1998, 2000

...Administrator, OIRA

Biennial Matching Activity Report ...June 30, 1994, 1996, 1998,

2000 ...Administrator, OIRA

New System of Records Report ...When establishing a system of

records_at least 40 days before operating system*

...Administrator, OIRA, Congress

Altered System of Records Report ...When adding a new routine

use, exemption, or otherwise significantly altering an existing

system of records_at least 40 days before change to system takes

place* ...Administrator, OIRA, Congress

New Matching Program Report ...When establishing new matching

program_at least 40 days before operating program*

...Administrator, OIRA, Congress

Renewal of Existing Matching Program ...At least 40 days prior to

expiration of one year extension of original program_treat as new

program ...Administrator, OIRA, Congress

Altered Matching Program ...When making a significant change to

an existing matching program_at least 40 days before operating

altered program* ...Administrator, OIRA, Congress

Matching Agreements ...At least 40 days prior to start of

matching program* ...Congress

*TABLE FOOTNOTE*

* Review Period: Note that the statutory reporting requirement

is 30 days prior; the additional 10 days will ensure that OMB and

Congress have sufficient time to review the proposal. Agencies

should therefore ensure that reports are mailed expeditiously

after being signed.

*TABLE FOOTNOTE*

** Recipient Addresses: At bottom of envelope print ``PRIVACY ACT

REPORT''

*TABLE FOOTNOTE*

House of Representatives: The Chair of the House Committee on

Government Operations, 2157 RHOB, Washington, D.C. 20515-6143.

*TABLE FOOTNOTE*

Senate: The Chair of the Senate Committee on Governmental

Affairs, 340 SDOB, Washington, D.C. 20510-6250.

*TABLE FOOTNOTE*

Office of Management and Budget: The Administrator of the Office

of Information and Regulatory Affairs, Office of Management and

Budget, ATTN: Docket Library, NEOB Room 3201, Washington, D.C.

20503.

*THIS IS THE END OF A TABLE*

Appendix II to OMB Circular No. A-130

Cost Accounting, Cost Recovery, and Interagency Sharing of

Information Technology Facilities

[This Appendix is unchanged by this revision. See 50 FR 52730

(December 24, 1985).]

Appendix III to OMB Circular No. A-130

Security of Federal Automated Information Systems

[This Appendix is unchanged by this revision. See 50 FR 52730

(December 24, 1985).]

Appendix IV to OMB Circular No. A-130

Analysis of Key Sections

1. Purpose

The purpose of this Appendix is to provide a general context and

explanation for the contents of the key Sections of the Circular.

2. Background

The Paperwork Reduction Act (PRA) of 1980, Public Law 96-511, 94

Stat. 2812, codified at Chapter 35 of Title 44 of the United

States Code, establishes a broad mandate for agencies to perform

their information activities in an efficient, effective, and

economical manner. Section 3504 of the Act provides authority to

the Director, OMB, to develop and implement uniform and

consistent information resources management policies; oversee the

development and promote the use of information management

principles, standards, and guidelines; evaluate agency

information management practices in order to determine their

adequacy and efficiency, and determine compliance of such

practices with the policies, principles, standards, and

guidelines promulgated by the Director.

The Circular implements OMB authority under the Act with respect

to Section 3504(b), general information policy, Section 3504(e),

records management, Section 3504(f), privacy, and Section

3504(g), Federal automatic data processing and

telecommunications; the Privacy Act of 1974 (5 U.S.C. 552a); the

Chief Financial Officers Act (31 U.S.C. 3512 et seq.); Sections

111 and 206 of the Federal Property and Administrative Services

Act of 1949, as amended (40 U.S.C. 759 and 487, respectively);

the Computer Security Act, (40 U.S.C. 759 note); the Budget and

Accounting Act of 1921 (31 U.S.C. 1 et seq.); and Executive Order

No. 12046 of March 27, 1978, and Executive Order No. 12472 of

April 3, 1984, Assignment of National Security and Emergency

Telecommunications Functions. The Circular complements 5 CFR Part

1320, Controlling Paperwork Burden on the Public, which

implements other Sections of the PRA dealing with controlling the

reporting and recordkeeping burden placed on the public.

In addition, the Circular revises and consolidates policy and

procedures in seven previous OMB directives and rescinds those

directives, as follows:

A-3_Government Publications

A-71_Responsibilities for the Administration and Management of

Automatic Data Processing Activities Transmittal Memorandum No. 1

to Circular No. A-71_Security of Federal Automated lnformation

Systems

A-90_Cooperating with State and Local Governments to Coordinate

and Improve Information Systems

A-108_Responsibilities for the Maintenance of Records about

lndividuals by Federal Agencies

A-114_Management of Federal Audiovisual Activities

A-121_Cost Accounting, Cost Recovery, and Interagency Sharing of

Data Processing Facilities

3. Analysis

Section 6, Definitions. Access and Dissemination. The original

Circular No. A-130 distinguished between the terms ``access to

information'' and ``dissemination of information'' in order to

separate statutory requirements from policy considerations. The

first term means giving members of the public, at their request,

information to which they are entitled by a law such as the FOIA.

The latter means actively distributing information to the public

at the initiative of the agency. The distinction appeared useful

at the time Circular No. A-130 was written, because it allowed

OMB to focus discussion on Federal agencies' responsibilities for

actively distributing information. However, popular usage and

evolving technology have blurred differences between the terms

``access'' and ``dissemination'' and readers of the Circular were

confused by the distinction. For example, if an agency

``disseminates'' information via an online computer system, one

speaks of permitting users to ``access'' the information, and

online ``access'' becomes a form of ``dissemination.''

Thus, the revision defines only the term ``dissemination.''

Special considerations based on access statutes such as the

Privacy Act and the FOIA are explained in context.

Government Information

The definition of ``government information'' includes information

created, collected, processed, disseminated, or disposed of both

by and for the Federal Government. This recognizes the

increasingly distributed nature of information in electronic

environments. Many agencies, in addition to collecting

information for government use and for dissemination to the

public, require members of the public to maintain information or

to disclose it to the public. Sound information resources

management dictates that agencies consider the costs and benefits

of a full range of alternatives to meet government objectives. In

some cases, there is no need for the government actually to

collect the information itself, only to assure that it is made

publicly available. For example, banks insured by the FDIC must

provide statements of financial condition to bank customers on

request. Particularly when information is available in electronic

form, networks make the physical location of information

increasingly irrelevant.

The inclusion of information created, collected, processed,

disseminated, or disposed of for the Federal Government in the

definition of ``government information'' does not imply that

responsibility for implementing the provisions of the Circular

itself extends beyond the executive agencies to other entities.

Such an interpretation would be inconsistent with Section 4,

Applicability, and with existing law. For example, the courts

have held that requests to Federal agencies for release of

information under the FOIA do not always extend to those

performing information activities under grant or contract to a

Federal agency. Similarly, grantees may copyright information

where the government may not. Thus the information

responsibilities of grantees and contractors are not identical to

those of Federal agencies except to the extent that the agencies

make them so in the underlying grants or contracts. Similarly,

agency information resources management responsibilities do not

extend to other entities.

Information Dissemination Product

This notice defines the term ``information dissemination

product'' to include all information that is disseminated by

Federal agencies. While the provision of access to online

databases and search software included on compact disk, read-only

memory (CD-ROM) are often called information services rather than

products, there is no clear distinction and, moreover, no real

difference for policy purposes between the two. Thus, the term

``information dissemination product'' applies to both products

and services, and makes no distinction based on how the

information is delivered.

Section 8a(1). Information Management Planning. Parallel to new

Section 7, Basic Considerations and Assumptions, Section 8a

begins with information resources management planning. Planning

is the process of establishing a course of action to achieve

desired results with available resources. Planners translate

organizational missions into specific goals and, in turn, into

measurable objectives.

The PRA introduced the concept of information resources

management and the principle of information as an institutional

resource which has both value and associated costs. Information

resources management is a tool that managers use to achieve

agency objectives. Information resources management is successful

if it enables managers to achieve agency objectives efficiently

and effectively.

Information resources management planning is an integral part of

overall mission planning. Agencies need to plan from the outset

for the steps in the information life cycle. When creating or

collecting information, agencies must plan how they will process

and transmit the information, how they will use it, how they will

protect its integrity, what provisions they will make for access

to it, whether and how they will disseminate it, how they will

store and retrieve it, and finally, how the information will

ultimately be disposed of. They must also plan for the effects

their actions and programs will have on the public and State and

local governments.

The Role of State and Local Governments

OMB made additions at Sections 7a, 7e, and 7j, Basic

Considerations and Assumptions, concerning State and local

governments, and also in policy statements at Sections 8a(1)(c),

(3)(f), (6)(c), 9(e), and 10(c).

State and local governments, and tribal governments, cooperate as

major partners with the Federal Government in the collection,

processing, and dissemination of information. For example, State

governments are the principal collectors and/or producers of

information in the areas of health, welfare, education, labor

markets, transportation, the environment, and criminal justice.

The States supply the Federal Government with data on aid to

families with dependent children; medicare; school enrollments,

staffing, and financing; statistics on births, deaths, and

infectious diseases; population related data that form the basis

for national estimates; employment and labor market data; and

data used for census geography. National information resources

are greatly enhanced through these major cooperating efforts.

Federal agencies need to be sensitive to the role of State and

local governments, and tribal governments, in managing

information and in managing information technology. When

planning, designing, and carrying out information collections,

agencies should systematically consider what effect their

activities will have on cities, counties, and States, and take

steps to involve these governments as appropriate. Agencies

should ensure that their information collections impose the

minimum burden and do not duplicate or conflict with local

efforts or other Federal agency requirements or mandates. The

goal is that Federal agencies routinely integrate State and local

government concerns into Federal information resources management

practices. This goal is consistent with standards for State and

local government review of Federal policies and programs.

Training

Training is particularly important in view of the changing nature

of information resources management. Decentralization of

information technology has placed the management of automated

information and information technology directly in the hands of

nearly all agency personnel rather than in the hands of a few

employees at centralized facilities. Agencies must plan for

incorporating policies and procedures regarding computer

security, records management, protection of privacy, and other

safeguards into the training of every employee and contractor.

Section 8a(2). Information Collection. The PRA requires that the

creation or collection of information be carried out in an

efficient, effective, and economical manner. When Federal

agencies create or collect information_just as when they perform

any other program functions_they consume scarce resources. Such

activities must be continually evaluated for their relevance to

agency missions.

Agencies must justify the creation or collection of information

based on their statutory functions. Policy statement 8a(2) uses

the justification standard_``necessary for the proper performance

of the functions of the agency''_established by the PRA (44

U.S.C. 3504(c)(2)). Furthermore, the policy statement includes

the requirement that the information have practical utility, as

defined in the PRA (44 U.S.C. 3502(16)) and elaborated in 5 CFR

Part 1320. Practical utility includes such qualities of

information as accuracy, adequacy, and reliability. In the case

of general purpose statistics or recordkeeping, practical utility

means that actual uses can be demonstrated (5 CFR 1320.7(o)). It

should be noted that OMB's intent in placing emphasis on reducing

unjustified burden in collecting information, an emphasis

consistent with the Act, is not to diminish the importance of

collecting information whenever agencies have legitimate program

reasons for doing so. Rather, the concern is that the burdens

imposed should not exceed the benefits to be derived from the

information. Moreover, if the same benefit can be obtained by

alternative means that impose a lesser burden, that alternative

should be adopted.

Section 8a(3). Electronic Information Collection. Section 7l

articulates a basic assumption of the Circular that modern

information technology can help the government provide better

service to the public through improved management of government

programs. One potentially useful application of information

technology is in the government's collection of information.

While some information collections may not be good candidates for

electronic techniques, many are. Agencies with major electronic

information collection programs have found that automated

information collections allow them to meet program objectives

more efficiently and effectively. Electronic data interchange

(EDI) and related standards for the electronic exchange of

information will ease transmission and processing of routine

business transaction information such as invoices, purchase

orders, price information, bills of lading, health insurance

claims, and other common commercial documents. EDI holds similar

promise for the routine filing of regulatory information such as

tariffs, customs declarations, license applications, tax

information, and environmental reports.

Benefits to the public and agencies from electronic information

collection appear substantial. Electronic methods of collection

reduce paperwork burden, reduce errors, facilitate validation,

and provide increased convenience and more timely receipt of

benefits.

The policy in Section 8a(3) encourages agencies to explore the

use of automated techniques for collection of information, and

sets forth conditions conducive to the use of those techniques.

Section 8a(4). Records Management. Section 8a(4) begins with the

fundamental requirement for Federal records management, namely,

that agencies create and keep adequate and proper documentation

of their activities. Federal agencies cannot carry out their

missions in a responsible and responsive manner without adequate

recordkeeping. Section 7h articulates the basic considerations

concerning records management. Policy statements concerning

records management are also interwoven throughout Section 8a,

particularly in subsections on planning (8a(1)(i)), information

dissemination (8a(7)), and safeguards (8a(10)).

Records support the immediate needs of government_administrative,

legal, fiscal_and ensure its continuity. Records are essential

for protecting the rights and interests of the public, and for

monitoring the work of public servants. The government needs

records to ensure accountability to the public which includes

making the information available to the public.

Each stage of the information life cycle carries with it records

management responsibilities. Agencies need to record their plans,

carefully document the content and procedures of information

collection, ensure proper documentation as a feature of every

information system, keep records of dissemination programs, and,

finally, ensure that records of permanent value are preserved.

Preserving records for future generations is the archival

mission. Advances in technology affect the amount of information

that can be created and saved, and the ways this information can

be made available. Technological advances can ease the task of

records management; however, the rapid pace of change in modern

technology makes decisions about the appropriate application of

technology critical to records management. Increasingly the

records manager must be concerned with preserving valuable

electronic records in the context of a constantly changing

technological environment.

Records schedules are essential for the appropriate maintenance

and disposition of records. Records schedules must be prepared in

a timely fashion, implement the General Records Schedules issued

by the National Archives and Records Administration, be approved

by the Archivist of the United States, and be kept accurate and

current. (See 44 U.S.C. 3301 et seq.) The National Archives and

Records Administration and the General Services Administration

provide guidance and assistance to agencies in implementing

records management responsibilities. They also evaluate agencies'

records management programs to determine the extent to which they

are appropriately implementing their records management

responsibilities.

Sections 8a(5) and 8a(6). Information Dissemination Policy.

Section 8a(5). Providing information to the public. Every agency

has a responsibility to inform the public within the context of

its mission. This responsibility requires that agencies

distribute information at the agency's initiative, rather than

merely responding when the public requests information.

The FOIA requires each agency to publish in the Federal Register

current descriptions of agency organization, where and how the

public may obtain information, the general methods and procedural

requirements by which agency functions are determined, rules of

procedure, descriptions of forms and how to obtain them,

substantive regulations, statements of general policy, and

revisions to all the foregoing (5 U.S.C. 552(a)(1)). The Privacy

Act also requires publication of information concerning ``systems

of records'' which are records retrieved by individual identifier

such as name, Social Security Number, or fingerprint. The

government in the Sunshine Act requires agencies to publish

meeting announcements (5 U.S.C. 552b (e)(1)). The PRA (44 U.S.C.

3507(a)(2)) and its implementing regulations (5 CFR Part 1320)

require agencies to publish notices when they submit information

collection requests for OMB approval. The public's right of

access to government information under these statutes is balanced

against other concerns, such as an individual's right to privacy

and protection of the government's deliberative process.

As agencies satisfy these requirements, they provide the public

basic information about government activities. Other statutes

direct specific agencies to issue specific information

dissemination products or to conduct information dissemination

programs. Beyond generic and specific statutory requirements,

agencies have responsibilities to disseminate information as a

necessary part of performing their functions. For some agencies

the responsibility is made explicit and sweeping; for example,

the Agriculture Department is directed to ``.1A.1A. diffuse among

people of the United States, useful information on subjects

connected with agriculture. .1A.1A.'' (7 U.S.C. 2201) For other

agencies, the responsibility may be much more narrowly drawn.

Information dissemination is also a consequence of other agency

activities. Agency programs normally include an organized effort

to inform the public about the program. Most agencies carry out

programs that create or collect information with the explicit or

implicit intent that the information will be made public.

Disseminating information is in many cases the logical extension

of information creation or collection.

In other cases, agencies may have information that is not meant

for public dissemination but which may be the subject of requests

from the public. When the agency establishes that there is public

demand for the information and that it is in the public interest

to disseminate the information, the agency may decide to

disseminate it automatically.

The policy in Section 8a(5)(d) sets forth several factors for

agencies to take into account in conducting their information

dissemination programs. First, agencies must balance two goals:

maximizing the usefulness of the information to the government

and the public, and minimizing the cost to both. Deriving from

the basic purposes of the PRA (44 U.S.C. 3501), the two goals are

frequently in tension because increasing usefulness usually costs

more. Second, Section 8a(5)(d)(ii) requires agencies to conduct

information dissemination programs equitably and in a timely

manner. The word ``equal'' was removed from this Section since

there may be instances where, for example, an agency determines

that its mission includes disseminating information to certain

specific groups or members of the public, and the agency

determines that user charges will constitute a significant

barrier to carrying out this responsibility.

Section 8a(5)(d)(iii), requiring agencies to take advantage of

all dissemination channels, recognizes that information reaches

the public in many ways. Few persons may read a Federal Register

notice describing an agency action, but those few may be major

secondary disseminators of the information. They may be

affiliated with publishers of newspapers, newsletters,

periodicals, or books; affiliated with online database providers;

or specialists in certain information fields. While millions of

information users in the public may be affected by the agency's

action, only a handful may have direct contact with the agency's

own information dissemination products. As a deliberate strategy,

therefore, agencies should cooperate with the information's

original creators, as well as with secondary disseminators, in

order to further information dissemination goals and foster a

diversity of information sources. An adjunct responsibility to

this strategy is reflected in Section 8a(5)(d)(iv), which directs

agencies to assist the public in finding government information.

Agencies may accomplish this, for example, by specifying and

disseminating ``locator'' information, including information

about content, format, uses and limitations, location, and means

of access.

Section 8a(6). Information Dissemination Management System. This

Section requires agencies to maintain an information

dissemination management system which can ensure the routine

performance of certain functions, including the essential

functions previously required by Circular No. A-3. Smaller

agencies need not establish elaborate formal systems, so long as

the heads of the agencies can ensure that the functions are being

performed.

Subsection (6)(a) carries over a requirement from OMB Circular

No. A-3 that agencies' information dissemination products are to

be, in the words of 44 U.S.C. 1108, ``necessary in the

transaction of the public business required by law of the

agency.'' (Circular No. A-130 uses the expression ``necessary for

the proper performance of agency functions,'' which OMB considers

to be equivalent to the expression in 44 U.S.C. 1108.) The point

is that agencies should determine systematically the need for

each information dissemination product.

Section 8a(6)(b) recognizes that to carry out effective

information dissemination programs, agencies need knowledge of

the marketplace in which their information dissemination products

are placed. They need to know what other information

dissemination products users have available in order to design

the best agency product. As agencies are constrained by finite

budgets, when there are several alternatives from which to

choose, they should not expend public resources filling needs

which have already been met by others in the public or private

sector. Agencies have a responsibility not to undermine the

existing diversity of information sources.

At the same time, an agency's responsibility to inform the public

may be independent of the availability or potential availability

of a similar information dissemination product. That is, even

when another governmental or private entity has offered an

information dissemination product identical or similar to what

the agency would produce, the agency may conclude that it

nonetheless has a responsibility to disseminate its own product.

Agencies should minimize such instances of duplication but could

reach such a conclusion because legal considerations require an

official government information dissemination product.

Section 8a(6)(c) makes the Circular consistent with current

practice (See OMB Bulletins 88-15, 89-15, 90-09, and 91-16), by

requiring agencies to establish and maintain inventories of

information dissemination products. (These bulletins eliminated

annual reporting to OMB of title-by-title listings of

publications and the requirement for agencies to obtain OMB

approval for each new periodical. Publications are now reviewed

as necessary during the normal budget review process.)

Inventories help other agencies and the public identify

information which is available. This serves both to increase the

efficiency of the dissemination function and to avoid unnecessary

burdens of duplicative information collections. A corollary,

enunciated in Section 8a(6)(d), is that agencies can better serve

public information needs by developing finding aids for locating

information produced by the agencies. Finally, Section 8a(6)(f)

recognizes that there will be situations where agencies may have

to take appropriate steps to ensure that members of the public

with disabilities whom the agency has a responsibility to inform

have a reasonable ability to access the information dissemination

products.

Depository Library Program

Sections 8a(6)(g) and (h) pertain to the Federal Depository

Library Program. Agencies are to establish procedures to ensure

compliance with 44 U.S.C. 1902, which requires that government

publications (defined in 44 U.S.C. 1901 and repeated in Section 6

of the Circular) be made available to depository libraries

through the Government Printing Office (GPO).

Depository libraries are major partners with the Federal

Government in the dissemination of information and contribute

significantly to the diversity of information sources available

to the public. They provide a mechanism for wide distribution of

government information that guarantees basic availability to the

public. Executive branch agencies support the depository library

program both as a matter of law and on its merits as a means of

informing the public about the government. On the other hand, the

law places the administration of depository libraries with GPO.

Agency responsibility for the depository libraries is limited to

supplying government publications through GPO.

Agencies can improve their performance in providing government

publications as well as electronic information dissemination

products to the depository library program. For example, the

proliferation of ``desktop publishing'' technology in recent

years has afforded the opportunity for many agencies to produce

their own printed documents. Many such documents may properly

belong in the depository libraries but are not sent because they

are not printed at GPO. The policy requires agencies to establish

management controls to ensure that the appropriate documents

reach the GPO for inclusion in the depository library program.

At present, few agencies provide electronic information

dissemination products to the depository libraries. At the same

time, a small but growing number of information dissemination

products are disseminated only in electronic format.

OMB believes that, as a matter of policy, electronic information

dissemination products generally should be provided to the

depository libraries. Given that production and supply of

information dissemination products to the depository libraries is

primarily the responsibility of GPO, agencies should provide

appropriate electronic information dissemination products to GPO

for inclusion in the depository library program.

While cost may be a consideration, agencies should not conclude

without investigation that it would be prohibitively expensive to

place their electronic information dissemination products in the

depository libraries. For electronic information dissemination

products other than online services, agencies may have the option

of having GPO produce the information dissemination product for

them, in which case GPO would pay for depository library costs.

Agencies should consider this option if it would be a cost

effective alternative to the agency making its own arrangements

for production of the information dissemination product. Using

GPO's services in this manner is voluntary and at the agency's

discretion. Agencies could also consider negotiating other terms,

such as inviting GPO to participate in agency procurement orders

in order to distribute the necessary copies for the depository

libraries. With adequate advance planning, agencies should be

able to provide electronic information dissemination products to

the depository libraries at nominal cost.

In a particular case, substantial cost may be a legitimate reason

for not providing an electronic information dissemination product

to the depository library program. For example, for an agency

with a substantial number of existing titles of electronic

information dissemination products, furnishing copies of each to

the depository libraries could be prohibitively expensive. In

that situation, the agency should endeavor to make available

those titles with the greatest general interest, value, and

utility to the public. Substantial cost could also be an

impediment in the case of some online information services where

the costs associated with operating centralized databases would

make provision of unlimited direct access to numerous users

prohibitively expensive. In both cases, agencies should consult

with the GPO, in order to identify those information

dissemination products with the greatest public interest and

utility for dissemination. In all cases, however, where an agency

discontinues publication of an information dissemination product

in paper format in favor of electronic formats, the agency should

work with the GPO to ensure availability of the information

dissemination product to depository libraries.

Notice to the Public

Sections 8a(6)(i) and (j) present new practices for agencies to

observe in communicating with the public about information

dissemination. Among agencies' responsibilities for dissemination

is an active knowledge of, and regular consultation with, the

users of their information dissemination products. A primary

reason for communication with users is to gain their contribution

to improving the quality and relevance of government

information_how it is created, collected, and disseminated.

Consultations with users might include participation at

conferences and workshops, careful attention to correspondence

and telephone communications (e.g., logging and analyzing

inquiries), or formalized user surveys.

A key part of communicating with the public is providing adequate

notice of agency information dissemination plans. Because

agencies' information dissemination actions affect other agencies

as well as the public, agencies must forewarn other agencies of

significant actions. The decision to initiate, terminate, or

substantially modify the content, form, frequency, or

availability of significant products should also trigger

appropriate advance public notice. Where appropriate, the

Government Printing Office should be notified directly.

Information dissemination products deemed not to be significant

require no advance notice.

Examples of significant products (or changes to them) might be

those that:

(a) are required by law; e.g., a statutorily mandated report to

Congress;

(b) involve expenditure of substantial funds;

continuing public interest; e.g., a key economic indicator;

(d) by reason of the time value of the information, command

public interest; e.g., monthly crop reports on the day of their

release;

(e) will be disseminated in a new format or medium; e.g.,

disseminating a printed product in electronic medium, or

disseminating a machine-readable data file via on-line access.

Where members of the public might consider a proposed new agency

product unnecessary or duplicative, the agency should solicit and

evaluate public comments. Where users of an agency information

dissemination product may be seriously affected by the

introduction of a change in medium or format, the agency should

notify users and consider their views before instituting the

change. Where members of the public consider an existing agency

product important and necessary, the agency should consider these

views before deciding to terminate the product. In all cases,

however, determination of what is a significant information

dissemination product and what constitutes adequate notice are

matters of agency judgment.

Achieving Compliance with the Circular's Requirements

Section 8a(6)(k) requires that the agency information

dissemination management system ensure that, to the extent

existing information dissemination policies or practices are

inconsistent with the requirements of this Circular, an orderly

transition to compliance with the requirements of this Circular

is made. For example, some agency information dissemination

products may be priced at a level which exceeds the cost of

dissemination, or the agency may be engaged in practices which

are otherwise unduly restrictive. In these instances, agencies

must plan for an orderly transition to the substantive policy

requirements of the Circular. The information dissemination

management system must be capable of identifying these situations

and planning for a reasonably prompt transition. Instances of

existing agency practices which cannot immediately be brought

into conformance with the requirements of the Circular are to be

addressed through the waiver procedures of Section 10(b).

Section 8a(7). Avoiding Improperly Restrictive Practices. Federal

agencies are often the sole suppliers of the information they

hold. The agencies have either created or collected the

information using public funds, usually in furtherance of unique

governmental functions, and no one else has it. Hence agencies

need to take care that their behavior does not inappropriately

constrain public access to government information.

When agencies use private contractors to accomplish

dissemination, they must take care that they do not permit

contractors to impose restrictions that undercut the agencies'

discharge of their information dissemination responsibilities.

The contractual terms should assure that, with respect to

dissemination, the contractor behaves as though the contractor

were the agency. For example, an agency practice of selling,

through a contractor, on-line access to a database but refusing

to sell copies of the database itself may be improperly

restrictive because it precludes the possibility of another firm

making the same service available to the public at a lower price.

If an agency is willing to provide public access to a database,

the agency should be willing to sell copies of the database

itself.

By the same reasoning, agencies should behave in an even-handed

manner in handling information dissemination products. If an

agency is willing to sell a database or database services to some

members of the public, the agency should sell the same products

under similar terms to other members of the public, unless

prohibited by statute. When an agency decides it has public

policy reasons for offering different terms of sale to different

groups in the public, the agency should provide a clear statement

of the policy and its basis.

Agencies should not attempt to exert control over the secondary

uses of their information dissemination products. In particular,

agencies should not establish exclusive, restricted, or other

distribution arrangements which interfere with timely and

equitable availability of information dissemination products, and

should not charge fees or royalties for the resale or

redissemination of government information. These principles

follow from the fact that the law prohibits the Federal

Government from exercising copyright.

Agencies should inform the public as to the limitations inherent

in the information dissemination product (e.g., possibility of

errors, degree of reliability, and validity) so that users are

fully aware of the quality and integrity of the information. If

circumstances warrant, an agency may wish to establish a

procedure by which disseminators of the agency's information may

at their option have the data and/or value-added processing

checked for accuracy and certified by the agency. Using this

method, rediseminators of the data would be able to respond to

the demand for integrity from purchasers and users. This approach

could be enhanced by the agency using its authority to trademark

its information disseminaton product, and requiring that

redisseminators who wish to use the trademark agree to

appropriate integrity procedures. These methods have the

possibility of promoting diversity, user responsiveness, and

efficiency as well as integrity. However, an agency's

responsibility to protect against misuse of a government

information dissemination product does not extend to restricting

or regulating how the public actually uses the information.

Agencies should not attempt to condition the resale or

redissemination of its information dissemination products by

members of the public.

User charges

Title 5 of the Independent Offices Appropriations Act of 1952 (31

U.S.C. 9701) establishes Federal policy regarding fees assessed

for government services, and for sale or use of government

property or resources. OMB Circular No. A-25, User Charges,

implements the statute. It provides for charges for government

goods and services that convey special benefits to recipients

beyond those accruing to the general public. It also establishes

that user charges should be set at a level sufficient to recover

the full cost of providing the service, resource, or property.

Since Circular No. A-25 is silent as to the extent of its

application to government information dissemination products,

full cost recovery for information dissemination products might

be interpreted to include the cost of collecting and processing

information rather than just the cost of dissemination. The

policy in Section 8a(8)(c) clarifies the policy of Circular No.

A-25 as it applies to information dissemination products.

Statutes such as FOIA and the Government in the Sunshine Act

establish a broad and general obligation on the part of Federal

agencies to make government information available to the public

and to avoid erecting barriers that impede public access. User

charges higher than the cost of dissemination may be a barrier to

public access. The economic benefit to society is maximized when

government information is publicly disseminated at the cost of

dissemination. Absent statutory requirements to the contrary, the

general standard for user charges for government information

dissemination products should be to recover no more than the cost

of dissemination. It should be noted in this connection that the

government has already incurred the costs of creating and

processing the information for governmental purposes in order to

carry out its mission.

Underpinning this standard is the FOIA fee structure which

establishes limits on what agencies can charge for access to

Federal records. That Act permits agencies to charge only the

direct reasonable cost of search, reproduction and, in certain

cases, review of requested records. In the case of FOIA requests

for information dissemination products, charges would be limited

to reasonable direct reproduction costs alone. No search would be

needed to find the product, thus no search fees would be charged.

Neither would the record need to be reviewed to determine if it

could be withheld under one of the Act's exemptions since the

agency has already decided to release it. Thus, FOIA provides an

information ``safety net'' for the public.

While OMB does not intend to prescribe procedures for pricing

government information dissemination products, the cost of

dissemination may generally be thought of as the sum of all costs

specifically associated with preparing a product for

dissemination and actually disseminating it to the public. When

an agency prepares an information product for its own internal

use, costs associated with such production would not generally be

recoverable as user charges on subsequent dissemination. When the

agency prepares the product for public dissemination, and

disseminates it, costs associated with preparation and actual

dissemination would be recoverable as user charges.

When agencies provide custom tailored information services to

specific individuals or groups, full cost recovery, including the

costs of collection and processing, is appropriate. For example,

if an agency prepares special tabulations or similar services

from its databases in answer to a specific request from the

public, all costs associated with fulfilling the request would be

charged, and the requester should be so informed before work is

begun.

In a few cases, agencies engaging in information collection

activities augment the information collection at the request of,

and with funds provided by, private sector groups. Since the

1920s, the Bureau of the Census has carried out, on request,

surveys of certain industries at greater frequency or at a

greater level of detail than Federal funding would permit,

because gathering the additional information is consistent with

Federal purposes and industry groups have paid the additional

information collection and processing costs. While the results of

these surveys are disseminated to the public at the cost of

dissemination, the existence and availability of the additional

government data are special benefits to certain recipients beyond

those accruing to the public. It is appropriate that those

recipients should bear the full costs of information collection

and processing, in addition to the normal costs of dissemination.

Agencies must balance the requirement to establish user charges

and the level of fees charged against other policies,

specifically, the proper performance of agency functions and the

need to ensure that information dissemination products reach the

public for whom they are intended. If an agency mission includes

disseminating information to certain specific groups or members

of the public and the agency determines that user charges will

constitute a significant barrier to carrying out this

responsibility, the agency may have grounds for reducing or

eliminating its user charges for the information dissemination

product, or for exempting some recipients from the charge. Such

reductions or eliminations should be the subject of agency

determinations on a case by case basis and justified in terms of

agency policies.

Section 8a(8). Electronic Information Dissemination. Advances in

information technology have changed government information

dissemination. Agencies now have available new media and formats

for dissemination, including CD-ROM, electronic bulletin boards,

and public networks. The growing public acceptance of electronic

data interchange (EDI) and similar standards enhances their

attractiveness as methods for government information

dissemination. For example, experiments with the use of

electronic bulletin boards to advertise Federal contracting

opportunities and to receive vendor quotes have achieved wider

dissemination of information about business opportunities with

the Federal Government than has been the case with traditional

notices and advertisements. Improved information dissemination

has increased the number of firms expressing interest in

participating in the government market and decreased prices to

the government due to expanded competition. In addition, the

development of public electronic information networks, such as

the Internet, provides an additional way for agencies to increase

the diversity of information sources available to the public.

Emerging standards such as Wide Area Information Servers (using

the NISO Z39.50 standard) will be used increasingly to facilitate

dissemination of government information such as environmental

data, international trade information, and economic statistics in

a networked environment.

A basic purpose of the PRA is ``to maximize the usefulness of

information collected, maintained, and disseminated by the

Federal Government.'' (44 U.S.C. 3501(3)) Agencies can frequently

enhance the value and practical utility of government information

as a national resource by disseminating information in electronic

media. Electronic collection and dissemination may substantially

increase the usefulness of government information dissemination

products for three reasons. First, information disseminated

electronically is likely to be more timely and accurate because

it does not require data re-entry. Second, electronic records

often contain more complete and current information because,

unlike paper, it is relatively easy to make frequent changes.

Finally, because electronic information is more easily

manipulated by the user and can be tailored to a wide variety of

needs, electronic information dissemination products are more

useful to the recipients.

As stated at Section 8a(1)(h), agencies should use voluntary

standards and Federal Information Processing Standards to the

extent appropriate in order to ensure the most cost effective and

widespread dissemination of information in electronic formats.

Agencies can frequently make government information more

accessible to the public and enhance the utility of government

information as a national resource by disseminating information

in electronic media. Agencies generally do not utilize data in

raw form, but edit, refine, and organize the data in order to

make it more accessible and useful for their own purposes.

Information is made more accessible to users by aggregating data

into logical groupings, tagging data with descriptive and other

identifiers, and developing indexing and retrieval systems to

facilitate access to particular data within a larger file. As a

general matter, and subject to budgetary, security, or legal

constraints, agencies should make available such features

developed for internal agency use as part of their information

dissemination products.

There will also be situations where the agency determines that

its mission will be furthered by providing enhancements beyond

those needed for its own use, particularly those that will

improve the public availability of government information over

the long term. In these instances, the agency should evaluate the

expected usefulness of the enhanced information in light of its

mission, and where appropriate construct partnerships with the

private sector to add these elements of value. This approach may

be particularly appropriate as part of a strategy to utilize new

technology enhancements, such as graphic images, as part of a

particular dissemination program.

Section 8a(9). Information Safeguards. The basic premise of this

Section is that agencies should provide an appropriate level of

protection to government information, given an assessment of the

risks associated with its maintenance and use. Among the factors

to be considered include meeting the specific requirements of the

Privacy Act of 1974 and the Computer Security Act of 1987.

In particular, agencies are to ensure that they meet the

requirements of the Privacy Act regarding information retrievable

by individual identifier. Such information is to be collected,

maintained, and protected so as to preclude intrusion into the

privacy of individuals and the unwarranted disclosure of personal

information. Individuals must be accorded access and amendment

rights to records, as provided in the Privacy Act. To the extent

that agencies share information which they have a continuing

obligation to protect, agencies should see that appropriate

safeguards are instituted. Appendix I prescribes agency

procedures for the maintenance of records about individuals,

reporting requirements to OMB and Congress, and other special

requirements of specific agencies, in accordance with the Privacy

Act.

This Section also incorporates the requirement of the Computer

Security Act of 1987 that agencies plan to secure their systems

commensurate with the risk and magnitude of loss or harm that

could result from the loss, misuse, or unauthorized access to

information contained in those systems. It includes assuring the

integrity, availability, and appropriate confidentiality of

information. It also involves protection against the harm that

could occur to individuals or entities outside of the Federal

Government as well as the harm to the Federal Government. Such

protection includes limits on collection and sharing of

information and procedures to assure the integrity of information

as well as requirements to adequately secure the information.

Incorporation of Circular No. A-114

OMB Circular No. A-114, Management of Federal Audiovisual

Activities, last revised on March 20, 1985, prescribes policies

and procedures to improve Federal audiovisual management.

Although OMB will rescind Circular No. A-114, its essential

policies and procedures will continue. This revision provides

information resources management policies and principles

independent of medium, including paper, electronic, or

audiovisual. By including the term ``audiovisual'' in the

definition of ``information,'' audiovisual materials are

incorporated into all policies of this Circular.

The requirement in Circular No. A-114 that the head of each

agency designate an office with responsibility for the management

oversight of an agency's audiovisual productions and that an

appropriate program for the management of audiovisual productions

in conformance with 36 CFR 1232.4 is incorporated into this

Circular at Section 9a(10). The requirement that audiovisual

activities be obtained consistent with OMB Circular No. A-76 is

covered by Sections 8a(1)(d), 8a(5)(d)(i) and 8a(6)(b).

Procurement policies contained in Circular No. A-114 will be

incorporated into an Office of Federal Procurement Policy Letter.

The National Archives and Records Administration will continue to

prescribe the records management and archiving practices of

agencies with respect to audiovisual productions at 36 CFR

1232.4, ``Audiovisual Records Management.''

Section 9a(11). Ombudsman. The senior agency official designated

by the head of each agency under 44 U.S.C. 3506(b) is charged

with carrying out the responsibilities of the agency under the

PRA. Agency senior information resources management officials are

responsible for ensuring that their agency practices are in

compliance with OMB policies. It is envisioned that the agency

senior information resources management official will work as an

ombudsman to investigate alleged instances of agency failure to

adhere to the policies set forth in the Circular and to recommend

or take corrective action as appropriate. Agency heads should

continue to use existing mechanisms to ensure compliance with

laws and policies.

* * * * *

[The remainder of Appendix IV, which covers sections not changed

in this revision, is also unchanged. See 50 FR 52730 (December

24, 1985).]

[FRDoc. ??-???? Filed ?-??-93; 8:45 am]

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