NAO 205-13

INTERAGENCY REPORTS CLEARANCE AND REPORTING REQUIREMENTS

Issued 05/01/91; Effective 04/19/91

SECTION 1. PURPOSE.

This Order prescribes procedures for requesting the General Services Administration (GSA) clearance of interagency reports requested or required by the National Oceanic and Atmospheric Administration (NOAA).

SECTION 2. SCOPE.

This Order applies to all NOAA offices creating or responding to interagency reports.

SECTION 3. BACKGROUND.

Federal laws and regulations require that agencies obtain GSA clearance before requesting or requiring reports from other Federal agencies. Proposed and existing reports are reviewed to ensure that there is a valid need for the information, that it is gathered in the most cost-efficient manner, and that it complies with all applicable laws and regulations. These requirements are covered in Section 4. of this Order.

SECTION 4. REFERENCES.

.01 The Federal Records Act of 1950.

.02 5 CFR 1320.16, which implements the Paperwork Reduction Act of 1980.

.03 Federal Information Resources Management Regulation 201-45.6.

.04 Departmental Administrative Order (DAO) 205-13, Interagency Reports.

SECTION 5. DEFINITIONS.

.01 Clearance. A determination by NOAA, the Department of Commerce (DOC), and GSA that a report is necessary and that the information is being obtained in the most efficient manner. A clearance is valid for up to three (3) years, after which it must be renewed or the report discontinued. Other agencies cannot be required to respond to a reporting requirement if a clearance has not been obtained.

.02 Interagency Report. Any reporting requirement, whether response is voluntary or mandatory, imposed upon one or more other Federal agencies. A reporting requirement may be a one-time requirement or a recurring one. Operating documents, defined below, are excluded.

.03 Operating Document. A document used to facilitate, accomplish, or provide a record of a transaction, function, or event. Examples are applications, purchase orders, bills of lading, personnel actions, and management study or survey reports. Although data from these documents may be used in reports, that is not their primary purpose.

.04 Report. A transmission of data, information, or opinions, other than operating documents as defined above, to another agency in response to a direct request or requirement from that agency.

.05 Responding Agency/Office. The agency or office required or asked to respond to a reporting requirement.

.06 Sponsoring Office. The originating or responsible office for an interagency report.

SECTION 6. RESPONSIBILITIES.

.01 Operating Offices. Offices planning to ask other agencies to report information or which are being asked to respond to another agency's reporting request are responsible for the procedures detailed in Section 7. of this Order.

.02 Director, Information Systems and Finance Office, Office of Administration (OA1). The Director is responsible for ensuring overall NOAA compliance with the regulations applying to Interagency Reports.

.03 NOAA Reports Officer. The NOAA Reports Officer, located in the Information Resources Management Staff (OA1x1), Information Systems and Finance Office, Office of Administration, is responsible for the daily operation of the Interagency Reports Management Program. This includes providing guidance to operating offices, reviewing clearance requests, and maintaining an inventory of NOAA reports.

SECTION 7. PROCEDURES.

.01 Planning. A NOAA office seeking to establish a report should first clearly identify the information needed, the potential respondents, and the potential costs (see Appendix for guidance on developing rough cost estimates). If the report's costs appear justified, the office should contact the NOAA Reports Officer.

.02 Responding Agency Comments. The NOAA Reports Officer may advise the sponsoring office that the agencies that will be required to report will have to be contacted and asked to comment on the proposal. If the estimated reporting costs exceed $500,000, GSA may require a pilot test of the report with selected agencies.

.03 Request for Clearance. Formal requests for clearance should be submitted at least ten weeks prior to the desired approval date. The NOAA Reports Officer will supply the necessary forms and instructions for the request.

.04 Waivers. If the sponsoring office does not believe that it can comply with all of the justification requirements, it may request a waiver. A written explanation detailing the need for both the report and the waiver must be submitted to the NOAA Reports Officer. The request must include a summary cost estimate as shown in the Appendix to this Order.

.05 Clearance Approval/Disapproval. The requesting office will be notified in writing of the approval or disapproval of the request and informed of the procedures to appeal a disapproval. Approved requests will be assigned an Interagency Report Number and an expiration date for the clearance. These should be displayed in the upper right-hand corner of any forms used in the report.

.06 Clearance Renewals. Clearances are only valid for a maximum of three (3) years, therefore an on-going report must periodically have its clearance renewed. The NOAA Reports Officer will notify the sponsoring office of the pending expiration of clearance and of the procedures to be used.

.07 Discontinuing Reports. When the sponsoring office no longer needs the information being reported, it must cease to collect the information and notify both the responding agencies and the NOAA Reports Officer of this action.

.08 Changing Reports. Any substantive change in an approved report may require a new clearance. The sponsoring office should consult with the Reports Officer.

.09 Exemptions. No exemptions to the interagency report clearance process shall apply when NOAA is the sponsoring agency. NOAA may, however, be the responding agency to the following exempt requirements:

a. Legislative Branch requirements in statutes or congressional committee requests;

b. Office of Management and Budget (OMB) and other Executive Office of the President requirement; and

c. Judicial Branch requirements contained in court orders or decrees.

.10 Responding to Interagency Reports. Any NOAA office asked to respond to another agency's nonexempt reporting request does not have to respond if the request does not display an Interagency Report Number. The NOAA Reports Officer should be notified of such reports and of any requests from other agencies for cost estimates for proposed reports.

.11 Assistance.

Offices needing assistance on any matters discussed in this order should contact the NOAA Reports Officer, located in the Information Resources Management Staff, Information Systems and Finance Office, Office of Administration.

SECTION 8. EFFECT ON OTHER ISSUANCES.

This Order supersedes NOAA Directives Manual (NDM), Chapter 60-12, dated December 20, 1984.

SIGNED,
Director, Office of Administration

Appendix

Office of Primary Interest:
   Office of Administration
   Information Systems and Finance Office
   Information Resources Management Staff (OA1x1)