| CIRCULAR
NO. A-130, Revised,
(Transmittal Memorandum No. 4)
MEMORANDUM FOR
HEADS OF EXECUTIVE DEPARTMENTS AND AGENCIES
SUBJECT:
Management of Federal Information Resources
- Purpose
- Rescissions
- Authorities
- Applicability
and Scope
- Background
- Definitions
- Basic
Considerations and Assumptions
- Policy
- Assignment
of Responsibilities
- Oversight
- Effectiveness
- Inquiries
- Sunset
Review Date
Appendix
I, Federal Agency Responsibilities for Maintaining Records About
Individuals
Appendix II, Implementation of
the Government Paperwork Elimination Act
Appendix III, Security of Federal
Automated Information Resources
Appendix IV, Analysis of Key Sections
1.
Purpose: This Circular establishes policy for the management of Federal
information resources. OMB includes procedural and analytic guidelines
for implementing specific aspects of these policies as appendices.
2.
Rescissions: This Circular rescinds OMB Memoranda M-96-20, "Implementation
of the Information Technology Management Reform Act of 1996;" M-97-02,
"Funding Information Systems Investments;" M-97-09, "Interagency
Support for Information Technology;" M-97-15, "Local Telecommunications
Services Policy;" M-97-16, "Information Technology Architectures".
3.
Authorities: OMB issues this Circular pursuant to the Paperwork Reduction
Act (PRA) of 1980, as amended by the Paperwork Reduction Act of 1995 (44
U.S.C. Chapter 35); the Clinger-Cohen Act (also known as "Information
Technology Management Reform Act of 1996") (Pub. L. 104-106, Division
E); 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. 487); the Computer Security Act of
1987 (Pub. L. 100-235); the Budget and Accounting Act, as amended (31
U.S.C. Chapter 11); the Government Performance and Results Act of 1993(GPRA);
the Office of Federal Procurement Policy Act (41 U.S.C. Chapter 7); the
Government Paperwork Elimination Act of 1998 (Pub. L. 105-277, Title XVII),
Executive Order No. 12046 of March 27, 1978; Executive Order No. 12472
of April 3, 1984; and Executive Order No. 13011 of July 17, 1996.
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 Clinger-Cohen Act supplements the information resources
management policies contained in the PRA by establishing a comprehensive
approach for executive agencies to improve the acquisition and management
of their information resources, by:
- focusing information
resource planning to support their strategic missions;
- implementing a
capital planning and investment control process that links to budget
formulation and execution; and
- rethinking and
restructuring the way they do their work before investing in information
systems.
The PRA establishes
a broad mandate for agencies to perform their information resources
management activities in an efficient, effective, and economical manner.
To assist agencies in an integrated approach to information resources
management, the PRA 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 resources 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:
- 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.
- 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.
- The term "capital
planning and investment control process " means a management process
for ongoing identification, selection, control, and evaluation of investments
in information resources. The process links budget formulation and execution,
and is focused on agency missions and achieving specific program outcomes.
- The term "Chief
Information Officers Council" (CIO Council) means the Council established
in Section 3 of Executive Order 13011.
- 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.
- The term "executive
agency" has the meaning defined in section 4(1) of the Office of
Federal Procurement Policy Act (41 U.S.C. 403(1)).
- The term "full
costs," when applied to the expenses incurred in the operation
of an information processing service organization (IPSO), is comprised
of all direct, indirect, general, and administrative costs incurred
in the operation of an IPSO. These costs include, but are not limited
to, personnel, equipment, software, supplies, contracted services from
private sector providers, space occupancy, intra-agency services from
within the agency, inter-agency services from other Federal agencies,
other services that are provided by State and local governments, and
Judicial and Legislative branch organizations.
- The term "government
information" means information created, collected, processed, disseminated,
or disposed of by or for the Federal Government.
- 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)
- 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.
- 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.
- The term "information
life cycle" means the stages through which information passes,
typically characterized as creation or collection, processing, dissemination,
use, storage, and disposition.
- The term "information
management" means the planning, budgeting, manipulating, and controlling
of information throughout its life cycle.
- The term "information
resources" includes both government information and information
technology.
- The term "information
processing services organization" (IPSO) means a discrete set of
personnel, information technology, and support equipment with the primary
function of providing services to more than one agency on a reimbursable
basis.
- The term "information
resources management" means the process of managing information
resources to accomplish agency missions. The term encompasses both information
itself and the related resources, such as personnel, equipment, funds,
and information technology.
- The term "information
system" means a discrete set of information resources organized
for the collection, processing, maintenance, transmission, and dissemination
of information, in accordance with defined procedures, whether automated
or manual.
- The term "information
system life cycle" means the phases through which an information
system passes, typically characterized as initiation, development, operation,
and termination.
- The term "information
technology" means any equipment or interconnected system or subsystem
of equipment, that is used in the automatic acquisition, storage, manipulation,
management, movement, control, display, switching, interchange, transmission,
or reception of data or information by an executive agency. For purposes
of the preceding sentence, equipment is used by an executive agency
if the equipment is used by the executive agency directly or is used
by a contractor under a contract with the executive agency which (i)
requires the use of such equipment, or (ii) requires the use, to a significant
extent, of such equipment in the performance of a service or the furnishing
of a product. The term "information technology" includes computers,
ancillary equipment, software, firmware and similar procedures, services
(including support services), and related resources. The term "information
technology" does not include any equipment that is acquired by
a Federal contractor incidental to a Federal contract. The term "information
technology" does not include national security systems as defined
in the Clinger-Cohen Act of 1996 (40 U.S.C. 1452).
- The term "Information
Technology Resources Board" (Resources Board) means the board established
by Section 5 of Executive Order 13011.
- The term "major
information system" means an information system that requires special
management attention because of its importance to an agency mission;
its high development, operating, or maintenance costs; or its significant
role in the administration of agency programs, finances, property, or
other resources.
- The term "national
security system" means any telecommunications or information system
operated by the United States Government, the function, operation, or
use of which (1) involves intelligence activities; (2) involves cryptologic
activities related to national security; (3) involves command and control
of military forces; (4) involves equipment that is an integral part
of a weapon or weapons system; or (5) is critical to the direct fulfillment
of military or intelligence missions, but excluding any system that
is to be administrative and business applications (including payroll,
finance, logistics, and personnel management applications). The policies
and procedures established in this Circular will apply to national security
systems in a manner consistent with the applicability and related limitations
regarding such systems set out in Section 5141 of the Clinger-Cohen
Act (Pub. L. 104-106, 40 U.S.C. 1451). Applicability of Clinger-Cohen
Act to national security systems shall include budget document preparation
requirements set forth in OMB Circular A-11. The resultant budget document
may be classified in accordance with the provisions of Executive Order
12958.
- 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 successoras 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)
- 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))
- The term "service
recipient" means an agency organizational unit, programmatic entity,
or chargeable account that receives information processing services
from an information processing service organization (IPSO). A service
recipient may be either internal or external to the organization responsible
for providing information resources services, but normally does not
report either to the manager or director of the IPSO or to the same
immediate supervisor.
7.
Basic Considerations and Assumptions:
- 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.
- 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.
- 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.
- 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.
- 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.
- Because the public
disclosure of government information is essential to the operation of
a democracy, the management of Federal information resources should
protect the public's right of access to government information.
- The individual's
right to privacy must be protected in Federal Government information
activities involving personal information.
- 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.
- Strategic planning
improves the operation of government programs. The agency strategic
plan will shape the redesign of work processes and guide the development
and maintenance of an Enterprise Architecture and a capital planning
and investment control process. This management approach promotes the
appropriate application of Federal information resources.
- 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.
- 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.
- Information technology
is not an end in itself. It is one set of resources that can improve
the effectiveness and efficiency of Federal program delivery.
- Federal Government
information resources management policies and activities can affect,
and be affected by, the information policies and activities of other
nations.
- Users of Federal
information resources must have skills, knowledge, and training to manage
information resources, enabling the Federal government to effectively
serve the public through automated means.
- The application
of up-to-date information technology presents opportunities to promote
fundamental changes in agency structures, work processes, and ways of
interacting with the public that improve the effectiveness and efficiency
of Federal agencies.
- The availability
of government information in diverse media, including electronic formats,
permits agencies and the public greater flexibility in using the information.
- Federal managers
with program delivery responsibilities should recognize the importance
of information resources management to mission performance.
- The Chief Information
Officers Council and the Information Technology Resources Board will
help in the development and operation of interagency and interoperable
shared information resources to support the performance of government
missions.
8.
Policy:
- Information Management Policy
- How will agencies
conduct Information Management Planning?
Agencies must plan in an integrated manner for managing information
throughout its life cycle. Agencies will:
(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;
(c) Consider
the effects of their actions on State and local 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;
1.
Provide for public access to records where required or appropriate.
- What
are the guidelines for Information Collection?
Agencies
must collect or create only that information necessary for the proper
performance of agency functions and which has practical utility.
- What are the
guidelines for Electronic Information Collection?
Executive agencies under Sections 1703 and 1705 of the Government
Paperwork Elimination Act (GPEA), P. L. 105-277, Title XVII, are
required to provide, by October 21, 2003, the (1) option of the
electronic maintenance, submission, or disclosure of information,
when practicable as a substitute for paper; and (2) use and acceptance
of electronic signatures, when practicable. Agencies will follow
the provisions in OMB Memorandum M-00-10, "Procedures and Guidance
on Implementing of the Government Paperwork Elimination Act."
- How must agencies
implement Records Management?
Agencies will:
(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;
(c) In a timely fashion, establish, and obtain the approval of 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.
- How must an
agency provide information to the public?
Agencies have a responsibility to provide information to the public
consistent with their missions. Agencies will 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;
(c) Providing
such other information as is necessary or appropriate for the proper
performance of agency functions; and
(d) In
determining whether and how to disseminate information to the public,
agencies will:
(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.
- What
is an Information Dissemination Management System?
Agencies will maintain
and implement a management system for all information dissemination products
which must, 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;
(c) Establish and maintain inventories of all agency information 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.
- How
must agencies avoid improperly restrictive practices?
Agencies
will:
(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,
(c) Set user
charges for information dissemination products at a level sufficient
to recover the cost of dissemination but no higher. They must 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 theagency'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.
- How
will agencies carry out electronic information dissemination?
Agencies
will 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;
(c) The agency
disseminates the product frequently;
(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.
- What
safeguards must agencies follow?
Agencies
will:
(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 infor
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