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More Guidance and Controls Needed Over Federal Recordkeeping Requirements Imposed on the Public

GGD-83-42 Published: Apr 28, 1983. Publicly Released: Apr 28, 1983.
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Highlights

GAO reviewed compliance with a provision of the Paperwork Reduction Act of 1980, which requires the Office of Management and Budget (OMB) to develop standards relating to federally imposed record retention requirements, to determine whether the government has acted to reduce the impact of those requirements.

Recommendations

Recommendations for Executive Action

Agency Affected Recommendation Status
Office of Management and Budget The Director, OMB, should direct the Office of Information and Regulatory Affairs (OIRA) to develop and place a higher priority on implementing a plan to establish and enforce record retention standards for recordkeeping requirements levied by agencies on businesses, individuals, and state and local governments.
Closed – Implemented
In 5 C.F.R. 1320, OMB established a single 3-year standard for all data which requires agencies to justify retention periods exceeding the 3-year period. This will result in different retention periods for different requirements but will not result in standardizing retention periods for individual types/classes of data.
Office of Management and Budget The Director, OMB, should direct the Administrator, OIRA, to work with the General Services Administration (GSA) in developing this plan, including assigning tasks and providing resources needed to accomplish these tasks.
Closed – Implemented
In 5 C.F.R. 1320, OMB established a single 3-year standard for all data which requires agencies to justify retention periods exceeding the 3-year period. This will result in different retention periods for different requirements but will not result in standardizing retention periods for individual types/classes of data.
Office of Management and Budget The Director, OMB, should direct the Administrator, OIRA, to require that agencies specify proposed retention periods and standard industrial classification data for all recordkeeping requirements submitted for review.
Closed – Not Implemented
OMB maintains that agencies are already specifying retention periods when they submit requirements for review. It has stopped requiring that agencies submit standard classification data because it does not use these data and does not want to overload its data bank, the Reports Management System.
Office of Management and Budget The Director, OMB, should direct the Administrator, OIRA, to ensure that the retention periods and standard industrial classification data are entered into the Reports Management System for future analysis.
Closed – Not Implemented
OMB stated that the Reports Management System was not designed to be used for such analysis. The system is primarily intended to monitor reporting burdenhours, and OMB does not want to impair its efficiency and effectiveness by adding other functions. The system does not contain the necessary type and quality of data.
Office of Management and Budget The Director, OMB, should direct the Administrator, OIRA, to work with GSA to reinstate publication of a guide to federal recordkeeping requirements.
Closed – Implemented
Responsibility for the publication was transferred to the National Archives and Records Administration (NARA) when it was created. The NARA Office of Federal Register stated that it began publishing the new guide in March 1986. OMB is not taking any action to implement this recommendation.

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Topics

Federal regulationsPaperwork reductionPrivate sectorRecords retentionReporting requirementsStandardsReports managementRecords managementNational archivesLocal governments