The paperwork reduction act of 1995: A second chance for information resources management

Government Information Quarterly

Volumn 13, Issue 1, 1996, Pages 35-50

  Plocher, David ^a  

^a NONE

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EID: 0030525239     PISSN: 0740624X     EISSN: None     Source Type: Journal    
DOI: 10.1016/S0740-624X(96)90005-2     Document Type: Article

References (94)

1. General Accounting Office. Information Technology Investment: A Governmentwide Overview. July 1995;3 GAO, Washington, DC. (GAO/AIMD-95-208).
2. General Accounting Office. Information Technology Investment: A Governmentwide Overview. July 1995;10-21 GAO, Washington, DC. (GAO/AIMD-95-208).
3. See also Government Reform: Using Reengineering and Technology to Improve Government Performance. February 2, 1995;. testimony of Charles A. Bowsher, Comptroller General of the U.S., before the Committee on Governmental Affairs, U.S. Senate.
4. Government Information Technology Services (GITS). Working Group (National Performance Review). A Vision for Government Information Technology Services and the National Information Infrastructure. September 1994;U.S. GPO, Washington, DC.
5. Congress, Office of Technology Assessment. Making Government Work: Electronic Delivery of Federal Services. September 1993;GPO, Washington, DC.
6. 44 U.S.C. 3501, et seq.
7. Congress, Senate Committee on Governmental Affairs. Paperwork Reduction Act of 1994. S. Rept. 103-392. September 30, 1994;16-48.
8. See, for example General Accounting Office. Information Resources: Summary of Federal Agencies' Information Resources Management Problems. February 1992;GAO, Washington, DC. (GAO/IMTEC-92-13FS).
9. General Accounting Office. Improving Mission Performance through Strategic Information Management and Technology. May 1994;GAO, Washington, DC. (GAO/AIMD-94-115).
10. See Congressional Record. 141:August 4, 1995;11389-11392. Confirmation o f this approach is found in Senate action on S. 946, the "Information Technology Management Reform Act of 1995." This bill, introduced by Senator Cohen on June 20, 1995, implicitly questioned the viability of the IRM framework by, among other changes, significantly altering the OMB/agency IRM relationship. For example, it would have created a government-wide OMB Chief Information Officer (CIO) with operational responsibilities affecting agency systems acquisition and management decisions. The bill was discussed at a July 25, 1995, hearing before the Subcommittee on Oversight of Government Management and the District of Columbia of the Senate Committee on Governmental Affairs. Thereafter, the bill was substantially revised to eliminate the OMB CIO provisions and otherwise rewritten so as to, with regard to information technology management, prescribe detailed investment control and performance management procedures as supplemental requirements to aid in implementation of the 1995 Paperwork Reduction Act. As revised, in this and other ways, the bill was unanimously accepted by the Senate on August 4, 1995, as an amendment to the National Defense Authorization Act for Fiscal Year 1996 (S. 1026).
11. Congressional Record. 141:August 4, 1995;11461-11469.
12. The first purpose of the Act was "to minimize the Federal paperwork burden for individuals, small businesses, State and local governments, and other persons" (44 U.S.C. 3501(1), 94 Stat. 2812).
13. P.L. 77-831. See Commission on Federal Paperwork. The Reports Clearance Process: A Report of the Commission on Federal Paperwork. September 1977;GPO, Washington, DC, The paperwork clearance process required OMB (and the Bureau of the Budget, before it) to review Federal agency proposals to collect information - that is, to request the same information from 10 or more people. The 1980 Act removed exemptions that had been added to the 1942 Act and empowered OMB to determine whether virtually any agency's information collections are "necessary for the proper performance of the functions of the agency, including whether the information will have practical utility for the agency" (44 U.S.C. 3504(c), P.L. 96-511, 94 Stat. 2815).
14. Senate Committee on Governmental Affairs. Paperwork Reduction Act of 1980. S. Rept. 96-930. September 8, 1980;7-8 See the discussion of IRM in the 1980 Senate report on the Paperwork Reduction Act. Congress.
15. Commission on Federal Paperwork. Information Resources Management: A Report of the Commission on Federal Paperwork. September 1977;2 GPO, Washington, DC.
16. Commission on Federal Paperwork. Information Resources Management: A Report of the Commission on Federal Paperwork. September 1977;16 GPO, Washington, DC.
17. The Senate Committee on Governmental Affairs stated:
18. The Act's coordination of IRM functions in a single management system is one of several legislative efforts to construct a management infrastructure for the Federal government. Other such laws enacted over the last 15 years include the Federal Managers Financial Integrity Act (FMFIA, P.L. 97-255), the Chief Financial Officers Act (CFO Act, P.L. 101-576), the Government Performance and Results Act (GPRA, P.L. 103-62), and the Government Management Reform Act (GMRA, P.L. 103-356).
19. Hernon Peter. Information Life Cycle: Its Place in the Management of U.S. Government Information Resources. Government Information Quarterly. 11:1994;156-157.
20. 44 U.S.C. 3504(b)(1), P.L. 96-511, 94 Stat. 2815.
21. 44 U.S.C. 3504(b)(1), P.L. 96-511, 94 Stat. 2815., §3505(2)(A), 94 Stat. 2818.
22. 44 U.S.C. 3504(b)(1), P.L. 96-511, 94 Stat. 2815., §3505(2)(A), 94 Stat. 2818., §3505(3)(A), 94 Stat. 2818.
23. 44 U.S.C. 3504(b)(1), P.L. 96-511, 94 Stat. 2815., §3505(2)(A), 94 Stat. 2818., §3505(3)(A), 94 Stat, 2818. §3506(a), 94 Stat. 2819.
24. 44 U.S.C. 3504(b)(1), P.L. 96-511, 94 Stat. 2815., §3505(2)(A), 94 Stat. 2818., §3505(3)(A), 94 Stat, 2818. §3506(a), 94 Stat. 2819., §3506(c)(1), 94 Stat. 2819.
25. The Senate vote for the 1980 Act was unanimous. The House vote was 328 to 13. The law was enthusiastically signed into law by the outgoing Democratic president, Jimmy Carter, on December 11, 1980, and just as enthusiastically embraced by incoming Republican president, Ronald Reagan.
26. Executive Order No. 12291 created an OMB cost-benefit regulatory review process to be conducted by OIRA. The E.O. was issued by President Reagan on February 17, 1981, two months before the PRA became effective. E.O. 12291 was later supplemented by E.O. 12498, issued by President Reagan on January 4, 1985. OMB's regulatory review authority continues to this day under E.O. 12866, issued by President Clinton on September 30, 1993, which superseded E.O. 12291 and 12498.
27. See 1981 and 1982 testimony of the then-OIRA administrators, hearings before the Subcommittee on Federal Expenditures, Research, and Rules of the Senate Comm. on Governmental Affairs, March 18, 1981, p. 22, and April 14, 1982. Observers can easily and ironically contrast OIRA's "unified" approach to paperwork reduction and regulatory review with its statutorily mandated unified IRM approach to paperwork reduction and the management of other information activities.
28. Paperwork Reduction Act of 1994, pp. 34-37.
29. The Management of Federal Information Resources. Federal Register. 50:December 24, 1985;52730.
30. For background on OMB's record in this area, see Paperwork Reduction Act of 1994, pp. 39-40.
31. Bass Gary, Plocher David. Strengthening Federal Information Policy: Opportunities and Realities at OMB. Software Law Journal. III:September, 1989;413.
32. Hernon Peter, McClure Charles. Federal Information Policies in the 1980's: Conflicts and Issues. 1987;Ablex Publishing, Norwood, NJ.
33. For a summary of this oversight, see Paperwork Reduction Act of 1994, p. 23.
34. General Accounting Office. Implementing the Paperwork Reduction Act: Some Progress, But Many Problems Remain. April 1983;GAO, Washington, DC.
35. Congress Senate Committee on Governmental Affairs. Paperwork Reduction Act Amendments of 1984. S. Rept. 98-576. August 6, 1984;6.
36. 144 U.S.C. 3507(a)(2) & (h), and 3520(b) & (c), P.L. 99-591.
37. 144 U.S.C. 3507(a)(2) & (h), and 3520(b) & (c), P.L. 99-591., §3505(5).
38. 144 U.S.C. 3507(a)(2) & (h), and 3520(b) & (c), P.L. 99-591., §3505(5)., §3505(6)(A).
39. 144 U.S.C. 3507(a)(2) & (h), and 3520(b) & (c), P.L. 99-591., §3505(5)., §3505(6)(A)., §3505(3)(E).
40. 144 U.S.C. 3507(a)(2) & (h), and 3520(b) & (c), P.L. 99-591., §3505(5)., §3505(6)(A)., §3505(3)(E)., §3514(a)(9).
41. 144 U.S.C. 3507(a)(2) & (h), and 3520(b) & (c), P.L. 99-591., §3505(5)., §3505(6)(A)., §3505(3)(E)., §3514(a)(9)., §3506(c)(6).
42. 144 U.S.C. 3507(a)(2) & (h), and 3520(b) & (c), P.L. 99-591., §3505(5)., §3505(6)(A)., §3505(3)(E)., §3514(a)(9)., §3506(c)(6)., §3502(13). Note that the 1986 IRM definition is basically an expansion of the agency IRM responsibility provided in the 1980 Act at §3506(c)(1) (see note 20, above).
43. See Congress, Subcommittee on Government Information Regulation of the Senate Committee on Governmental Affairs. Reauthorization of the Paperwork Reduction Act. S. Hearing, 101-166. June 12 and 16, 1989.
44. Congress, Senate Committee on Governmental Affairs. Reauthorization of OMB's Office of Information and Regulatory Affairs. S. Hearing, 101-588. February 21 and 22, 1990.
45. 494 U.S. 26 (1990). The Dole decision involved a ruling that the PRA's "information collection" clearance requirements did not apply to "information disclosure" requirements, such as OSHA's Hazard Communication Standard that required employers to inform employees about the dangers of hazardous substances in the workplace. At basis, this ruling focused on the extent to which OIRA could use the paperwork clearance process to review a regulatory requirement.
46. S. 560 was introduced on March 10, 1993, by Senator Sam Nunn (D-GA). This bill reflected the paperwork reduction priorities of the small business community and was a revision of S. 1139 from the 102nd Congress. S. 681 was introduced on March 31, 1993, by Senator John Glenn (D-OH). This bill had a major emphasis on IRM and was a revision of S. 1044 from the previous Congress (and S. 1742 before it). The final compromise bill was reported out of the Committee on Governmental Affairs on August 2, 1994, as a substitute amendment to S. 560. See Paperwork Reduction Act of 1994.
47. See Congress, House of Representatives Committee on Government Reform Oversight. Paperwork Reduction Act of 1995. H. Rept. 104-37. February 15, 1995; H.R. 830 was introduced on February 6, 1995, and reported out of the House Committee on Government Reform and Oversight on February 10, 1995.
48. See Congress, Senate Committee on Governmental Affairs. Paperwork Reduction Act of 1995. S. Rept. 104-8. February, 1995; S. 244 was introduced on January 19, 1995, by Senator Nunn and cosponsored by Senators Roth, Glenn, and 19 other Senators. The bill was reported out of the Senate Governmental Affairs Committee on February 1, 1995.
49. See the conference report Congress, House of Representatives. Paperwork Reduction Act of 1995. H. Rept. 104-99. April 3, 1995.
50. The identity and origin of the 1995 legislation in S. 560, as passed by the Senate on October 6, 1994 (accompanied by S. Rept. 103-392), is seen in the virtually identical language of the 1995 legislation and reports (S. 244, accompanied by S. Rept. 104-8; and H.R. 830, accompanied by H. Rept. 104-37).
51. See, for example General Accounting Office. Defense Management: Stronger Support Needed for Corporate Information Management Initiative to Succeed. April, 1994;. (GAO/AIMD/NSIAD-94-101).
52. General Accounting Office. Defense Management: Impediments Jeopardize Logistics Corporate Information Management. October, 1994;. GAO/NSIAD-95-28.
53. General Accounting Office. Tax Systems Modernization: Management and Technical Weaknesses Must Be Corrected If Modernization Is to Succeed. July, 1995;. (GAO/AIMD-95-156).
54. General Accounting Office. Information Resources: Summary of Federal Agencies' Information Resources Management Problems. February, 1992;. (GAO/IMTEC-92-13FS).
55. General Accounting Office. Information Management and Technology Issues. December, 1992;. (GAO/OCG-93-5TR).
56. General Accounting Office. Information Technology Issues. November, 1988;. (GAO/OCG-89-6TR).
57. Paperwork Reduction Act of 1994, p. 19; Paperwork Reduction Act of 1995 (S. Rept. 104-8), p. 5; Paperwork Reduction Act of 1995 (H. Rept. 104-37), p. 6.
58. This same balance is seen in the establishment of OMB's Office of Federal Financial Management (OFFM) with counterpart financial management responsibilities vested in agency chief financial officers by the Chief Financial Officers Act of 1990 (P.L. 101-576).
59. See note 7, above, regarding the 1995 Cohen DoD amendment and continuing congressional commitment to OMB's IRM oversight role.
60. Improving Mission Performance through Strategic Information Management and Technology.
61. See, for example Reengineering through information Technology. Accompanying Report of the National Performance Review. September 1993;GPO, Washington, DC.
62. A Vision for Government Information Technology Services and the National Information Infrastructure. revisions to OMB Circular A-130 Federal Register. 59:July 25, 1994;37906.
63. 44 U.S.C. 3502(7), P.L. 104-13.
64. 44 U.S.C. 3502(7), P.L. 104-13., §3504(a)(1)). See also revised OMB tasks and deadlines, §3505(a)(1)(B) & (3)(A).
65. 44 U.S.C. 3502(7), P.L. 104-13. §3504(a)(1)). See also revised OMB tasks and deadlines, §3505(a)(1)(B) & (3)(A). §3506(a)(1). See also §3506(a)(4), (b)(1) & (b)(2).
66. 44 U.S.C. 3502(7), P.L. 104-13. §3504(a)(1)). See also revised OMB tasks and deadlines, §3505(a)(1)(B) & (3)(A). §3506(a)(1). See also §3506(a)(4), (b)(1) & (b)(2). §3506(b)(3)(C).
67. 44 U.S.C. 3502(7), P.L. 104-13. §3504(a)(1)). See also revised OMB tasks and deadlines, §3505(a)(1)(B) & (3)(A). §3506(a)(1). See also §3506(a)(4), (b)(1) & (b)(2). §3506(b)(3)(C). §3506(a)(1)&(4).
68. 44 U.S.C. 3502(7), P.L. 104-13. §3504(a)(1)). See also revised OMB tasks and deadlines, §3505(a)(1)(B) & (3)(A). §3506(a)(1). See also §3506(a)(4), (b)(1) & (b)(2). §3506(b)(3)(C). §3506(a)(1)&(4). §3506(a)(2)&(3), & (b)(3)(A). Note that the 1995 Act's strengthening of agency IRM responsibilities (e.g., through establishing a formal IRM office and requiring integration of IRM with budgetary, financial, and program planning) would be furthered by the Cohen DoD amendment (see note 7 above). That amendment would, among other things, prescribe much more detailed information technology investment planning and control requirements, and would transform the senior agency IRM official into a agency Chief Information Officer (CIO), as recommended by GAO.
69. Specifically, in 44 U.S.C. 3504(a), OMB is now required to "develop, coordinate and oversee the implementation" of IRM policies, instead of having to "develop and implement" those policies, as required by the 1980 Act (P.L. 96-511, 94 Stat. 2815).
70. Specifically, in 44 U.S.C. 3504(a), OMB is now required to "develop, coordinate and oversee the implementation" of IRM policies, instead of having to "develop and implement" those policies, as required by the 1980 Act (P.L. 96-511, 94 Stat. 2815). §3506(b)(2).
71. Specifically, in 44 U.S.C. 3504(a), OMB is now required to "develop, coordinate and oversee the implementation" of IRM policies, instead of having to "develop and implement" those policies, as required by the 1980 Act (P.L. 96-511, 94 Stat. 2815)., §3506(b)(3)(C).
72. Specifically, in 44 U.S.C. 3504(a), OMB is now required to "develop, coordinate and oversee the implementation" of IRM policies, instead of having to "develop and implement" those policies, as required by the 1980 Act (P.L. 96-511, 94 Stat. 2815)., §3506(b)(5).
73. Specifically, in 44 U.S.C. 3504(a), OMB is now required to "develop, coordinate and oversee the implementation" of IRM policies, instead of having to "develop and implement" those policies, as required by the 1980 Act (P.L. 96-511, 94 Stat. 2815). §3506(h)(5).
74. Acceptance of the 1995 Cohen DoD amendment (see note 7, above) reflects Clinton administration support for placing into statute a detailed information technology "capital planning and investment control" process explicitly designed "as part of the budget process" (§4122 & 4132) Congressional Record. August 4, 1995;11462-11463. explicitly linked to performance management requirements (§4123 & 4133, ibid.) The addition of this detail into the statutory requirements of the PRA is significant testimony to the commitment of OMB and the Clinton administration to improve return on information technology investments and leverage IRM mandates.
75. Paperwork Reduction Act of 1995(S. Rept. 104-8), pp. 24-30.
76. Congress, Office of Technology Assessment. Information Security and Privacy in Network Environments. See, for example, the issues raised in:September 1994;GPO, Washington, DC. and the subsequent Issue Update (June, 1995) The brief treatment of these subjects is not to minimize their importance or the need to address still outstanding issues that affect them.
77. See, for example Congress Senate Committee on Rules. Hearing on Proposals Regarding the Government Printing Office. February 10, 1994.
78. Reinventing Support Services: Accompanying Report of the National Performance Review. September 1993;GPO, Washington, DC.
79. General Accounting Office. Government Printing: Legal and Regulatory Framework Is Outdated for New Technological Environment. April 1994;GAO, Washington, DC. (GAO/NSIAD-94-157).
80. General Accounting Office. Government Printing Office: Monopoly-Like Status Contributes to Inefficiency and Ineffectiveness. September 1990;GAO, Washington, DC. (GAO/GGD-90-107).
81. For background on OMB's 1980's efforts to privatize and otherwise reduce agency information dissemination activities, see Paperwork Reduction Act of 1994, pp. 39-42.
82. "Strengthening Federal Information Policy: Opportunities and Realities at OMB," pp. 434-438.
83. Federal Information Policies in the 1980's: Conflicts and Issues.
84. See, for example Gellman Robert M. "Twin Evils: Government Copyright and Copyright-Like Controls Over Government Information" Syracuse Law Review. 45:1995;1000.
85. Congress House of Representatives Government Information Justice, Agriculture Subcommittee of the Committee on Government Operations. Federal Information Dissemination Policies and Practices. April 18, May 23, and July 11, 1989.
86. This effort was not unique to the 1995 legislation. Dissemination has been an integral part of the various reauthorization bills since 1989. The first presentation of new dissemination principles was in the "Information Policy Act of 1989" (H.R. 2381), introduced by Rep. Bob Wise on May 16, 1989. Congress, House of Representatives Committee on Government Operations. Paperwork Reduction and Federal Information Resources Management Act. H. Rept. 101-927. October 20, 1990;22-33. The first most detailed explication of these principles was in.
87. This effort was not unique to the 1995 legislation. Dissemination has been an integral part of the various reauthorization bills since 1989. The first presentation of new dissemination principles was in the "Information Policy Act of 1989" (H.R. 2381), introduced by Rep. Bob Wise on May 16, 1989. Congress, House of Representatives Committee on Government Operations. Paperwork Reduction and Federal Information Resources Management Act. The first most detailed explication of these principles was in H. Rept. 101-927. October 20, 1990;37-39.
88. This effort was not unique to the 1995 legislation. Dissemination has been an integral part of the various reauthorization bills since 1989. The first presentation of new dissemination principles was in the "Information Policy Act of 1989" (H.R. 2381), introduced by Rep. Bob Wise on May 16, 1989. Congress, House of Representatives Committee on Government Operations. Paperwork Reduction and Federal Information Resources Management Act. The first most detailed explication of these principles was in H. Rept. 101-927. October 20, 1990;44-57 The continuing effort is also seen in current OMB revisions to OMB Circular A-130 that more positively articulate agency dissemination responsibilities.
89. For the FILS story, see Bass Gary, Plocher David. Finding Government Information: The Federal Information Locator System (FILS). Government Information Quarterly. 8:1991;11 The mandate for the creation of GILS represents a tacit acknowledgment of OMB's failure to implement the Act's original requirement for the creation of a Federal Information Locator System (FILS).
90. Paperwork Reduction Act of 1994, p. 40.
91. Paperwork Reduction Act of 1995 (S. Rept. 104-8), p. 25.
92. Paperwork Reduction Act of 1995 (H. Rept. 104-37), p. 27.
93. Again, the 1995 Cohen DoD amendment (note 7, above) is striking for the elimination of the major organizational changes proposed in its original form as S. 946. The final form of the Senate amendment confirms the continuing commitment to the existing management framework in the PRA.
94. The 1995 Cohen DoD amendment (see note 7, above) requires that agency information technology investment decisions include an assessment of whether the activity could be better performed by the private sector (§4123(b)(2) & §4133(a)(3)). A new interest in alternative approaches to traditional agency functions also can be seen in current Clinton administration initiatives to facilitate competition and contracting out of administrative and other services, for example Proposed Revisions to OMB Circular A-76 Supplemental Handbook. July 1995; and National Performance Review-related proposals to take advantage of the franchise funds permitted by the Government Management Reform Act of 1994 (§403, P.L. 103-356, 108 Stat. 3413).