§ 3506. — Federal agency responsibilities.
[Laws in effect as of January 7, 2003]
[Document not affected by Public Laws enacted between
January 7, 2003 and December 19, 2003]
[CITE: 44USC3506]
TITLE 44--PUBLIC PRINTING AND DOCUMENTS
CHAPTER 35--COORDINATION OF FEDERAL INFORMATION POLICY
SUBCHAPTER I--FEDERAL INFORMATION POLICY
Sec. 3506. Federal agency responsibilities
(a)(1) The head of each agency shall be responsible for--
(A) carrying out the agency's information resources management
activities to improve agency productivity, efficiency, and
effectiveness; and
(B) complying with the requirements of this subchapter and
related policies established by the Director.
(2)(A) Except as provided under subparagraph (B), the head of each
agency shall designate a Chief Information Officer who shall report
directly to such agency head to carry out the responsibilities of the
agency under this subchapter.
(B) The Secretary of the Department of Defense and the Secretary of
each military department may each designate Chief Information Officers
who shall report directly to such Secretary to carry out the
responsibilities of the department under this subchapter. If more than
one Chief Information Officer is designated, the respective duties of
the Chief Information Officers shall be clearly delineated.
(3) The Chief Information Officer designated under paragraph (2)
shall head an office responsible for ensuring agency compliance with and
prompt, efficient, and effective implementation of the information
policies and information resources management responsibilities
established under this subchapter, including the reduction of
information collection burdens on the public. The Chief Information
Officer and employees of such office shall be selected with special
attention to the professional qualifications required to administer the
functions described under this subchapter.
(4) Each agency program official shall be responsible and
accountable for information resources assigned to and supporting the
programs under such official. In consultation with the Chief Information
Officer designated under paragraph (2) and the agency Chief Financial
Officer (or comparable official), each agency program official shall
define program information needs and develop strategies, systems, and
capabilities to meet those needs.
(b) With respect to general information resources management, each
agency shall--
(1) manage information resources to--
(A) reduce information collection burdens on the public;
(B) increase program efficiency and effectiveness; and
(C) improve the integrity, quality, and utility of
information to all users within and outside the agency,
including capabilities for ensuring dissemination of public
information, public access to government information, and
protections for privacy and security;
(2) in accordance with guidance by the Director, develop and
maintain a strategic information resources management plan that
shall describe how information resources management activities help
accomplish agency missions;
(3) develop and maintain an ongoing process to--
(A) ensure that information resources management operations
and decisions are integrated with organizational planning,
budget, financial management, human resources management, and
program decisions;
(B) in cooperation with the agency Chief Financial Officer
(or comparable official), develop a full and accurate accounting
of information technology expenditures, related expenses, and
results; and
(C) establish goals for improving information resources
management's contribution to program productivity, efficiency,
and effectiveness, methods for measuring progress towards those
goals, and clear roles and responsibilities for achieving those
goals;
(4) in consultation with the Director, the Administrator of
General Services, and the Archivist of the United States, maintain a
current and complete inventory of the agency's information
resources, including directories necessary to fulfill the
requirements of section 3511 of this subchapter; and
(5) in consultation with the Director and the Director of the
Office of Personnel Management, conduct formal training programs to
educate agency program and management officials about information
resources management.
(c) With respect to the collection of information and the control of
paperwork, each agency shall--
(1) establish a process within the office headed by the Chief
Information Officer designated under subsection (a), that is
sufficiently independent of program responsibility to evaluate
fairly whether proposed collections of information should be
approved under this subchapter, to--
(A) review each collection of information before submission
to the Director for review under this subchapter, including--
(i) an evaluation of the need for the collection of
information;
(ii) a functional description of the information to be
collected;
(iii) a plan for the collection of the information;
(iv) a specific, objectively supported estimate of
burden;
(v) a test of the collection of information through a
pilot program, if appropriate; and
(vi) a plan for the efficient and effective management
and use of the information to be collected, including
necessary resources;
(B) ensure that each information collection--
(i) is inventoried, displays a control number and, if
appropriate, an expiration date;
(ii) indicates the collection is in accordance with the
clearance requirements of section 3507; and
(iii) informs the person receiving the collection of
information of--
(I) the reasons the information is being collected;
(II) the way such information is to be used;
(III) an estimate, to the extent practicable, of the
burden of the collection;
(IV) whether responses to the collection of
information are voluntary, required to obtain a benefit,
or mandatory; and
(V) the fact that an agency may not conduct or
sponsor, and a person is not required to respond to, a
collection of information unless it displays a valid
control number; and
(C) assess the information collection burden of proposed
legislation affecting the agency;
(2)(A) except as provided under subparagraph (B) or section
3507(j), provide 60-day notice in the Federal Register, and
otherwise consult with members of the public and affected agencies
concerning each proposed collection of information, to solicit
comment to--
(i) evaluate whether the proposed collection of information
is necessary for the proper performance of the functions of the
agency, including whether the information shall have practical
utility;
(ii) evaluate the accuracy of the agency's estimate of the
burden of the proposed collection of information;
(iii) enhance the quality, utility, and clarity of the
information to be collected; and
(iv) minimize the burden of the collection of information on
those who are to respond, including through the use of automated
collection techniques or other forms of information technology;
and
(B) for any proposed collection of information contained in a
proposed rule (to be reviewed by the Director under section
3507(d)), provide notice and comment through the notice of proposed
rulemaking for the proposed rule and such notice shall have the same
purposes specified under subparagraph (A)(i) through (iv);
(3) certify (and provide a record supporting such certification,
including public comments received by the agency) that each
collection of information submitted to the Director for review under
section 3507--
(A) is necessary for the proper performance of the functions
of the agency, including that the information has practical
utility;
(B) is not unnecessarily duplicative of information
otherwise reasonably accessible to the agency;
(C) reduces to the extent practicable and appropriate the
burden on persons who shall provide information to or for the
agency, including with respect to small entities, as defined
under section 601(6) of title 5, the use of such techniques as--
(i) establishing differing compliance or reporting
requirements or timetables that take into account the
resources available to those who are to respond;
(ii) the clarification, consolidation, or simplification
of compliance and reporting requirements; or
(iii) an exemption from coverage of the collection of
information, or any part thereof;
(D) is written using plain, coherent, and unambiguous
terminology and is understandable to those who are to respond;
(E) is to be implemented in ways consistent and compatible,
to the maximum extent practicable, with the existing reporting
and recordkeeping practices of those who are to respond;
(F) indicates for each recordkeeping requirement the length
of time persons are required to maintain the records specified;
(G) contains the statement required under paragraph
(1)(B)(iii);
(H) has been developed by an office that has planned and
allocated resources for the efficient and effective management
and use of the information to be collected, including the
processing of the information in a manner which shall enhance,
where appropriate, the utility of the information to agencies
and the public;
(I) uses effective and efficient statistical survey
methodology appropriate to the purpose for which the information
is to be collected; and
(J) to the maximum extent practicable, uses information
technology to reduce burden and improve data quality, agency
efficiency and responsiveness to the public; and
(4) in addition to the requirements of this chapter regarding
the reduction of information collection burdens for small business
concerns (as defined in section 3 of the Small Business Act (15
U.S.C. 632)), make efforts to further reduce the information
collection burden for small business concerns with fewer than 25
employees.
(d) With respect to information dissemination, each agency shall--
(1) ensure that the public has timely and equitable access to
the agency's public information, including ensuring such access
through--
(A) encouraging a diversity of public and private sources
for information based on government public information;
(B) in cases in which the agency provides public information
maintained in electronic format, providing timely and equitable
access to the underlying data (in whole or in part); and
(C) agency dissemination of public information in an
efficient, effective, and economical manner;
(2) regularly solicit and consider public input on the agency's
information dissemination activities;
(3) provide adequate notice when initiating, substantially
modifying, or terminating significant information dissemination
products; and
(4) not, except where specifically authorized by statute--
(A) establish an exclusive, restricted, or other
distribution arrangement that interferes with timely and
equitable availability of public information to the public;
(B) restrict or regulate the use, resale, or redissemination
of public information by the public;
(C) charge fees or royalties for resale or redissemination
of public information; or
(D) establish user fees for public information that exceed
the cost of dissemination.
(e) With respect to statistical policy and coordination, each agency
shall--
(1) ensure the relevance, accuracy, timeliness, integrity, and
objectivity of information collected or created for statistical
purposes;
(2) inform respondents fully and accurately about the sponsors,
purposes, and uses of statistical surveys and studies;
(3) protect respondents' privacy and ensure that disclosure
policies fully honor pledges of confidentiality;
(4) observe Federal standards and practices for data collection,
analysis, documentation, sharing, and dissemination of information;
(5) ensure the timely publication of the results of statistical
surveys and studies, including information about the quality and
limitations of the surveys and studies; and
(6) make data available to statistical agencies and readily
accessible to the public.
(f) With respect to records management, each agency shall implement
and enforce applicable policies and procedures, including requirements
for archiving information maintained in electronic format, particularly
in the planning, design and operation of information systems.
(g) With respect to privacy and security, each agency shall--
(1) implement and enforce applicable policies, procedures,
standards, and guidelines on privacy, confidentiality, security,
disclosure and sharing of information collected or maintained by or
for the agency; and
(2) assume responsibility and accountability for compliance with
and coordinated management of sections 552 and 552a of title 5,
subchapter II of this chapter, and related information management
laws.
(h) With respect to Federal information technology, each agency
shall--
(1) implement and enforce applicable Governmentwide and agency
information technology management policies, principles, standards,
and guidelines;
(2) assume responsibility and accountability for information
technology investments;
(3) promote the use of information technology by the agency to
improve the productivity, efficiency, and effectiveness of agency
programs, including the reduction of information collection burdens
on the public and improved dissemination of public information;
(4) propose changes in legislation, regulations, and agency
procedures to improve information technology practices, including
changes that improve the ability of the agency to use technology to
reduce burden; and
(5) assume responsibility for maximizing the value and assessing
and managing the risks of major information systems initiatives
through a process that is--
(A) integrated with budget, financial, and program
management decisions; and
(B) used to select, control, and evaluate the results of
major information systems initiatives.
(i)(1) In addition to the requirements described in subsection (c),
each agency shall, with respect to the collection of information and the
control of paperwork, establish 1 point of contact in the agency to act
as a liaison between the agency and small business concerns (as defined
in section 3 of the Small Business Act (15 U.S.C. 632)).
(2) Each point of contact described under paragraph (1) shall be
established not later than 1 year after the date of enactment of the
Small Business Paperwork Relief Act of 2002.
(Added Pub. L. 104-13, Sec. 2, May 22, 1995, 109 Stat. 171; amended Pub.
L. 104-106, div. E, title LI, Sec. 5125(a), Feb. 10, 1996, 110 Stat.
684; Pub. L. 106-398, Sec. 1 [[div. A], title X, Sec. 1064(b)], Oct. 30,
2000, 114 Stat. 1654, 1654A-275; Pub. L. 107-198, Sec. 2(b), (c), June
28, 2002, 116 Stat. 729; Pub. L. 107-217, Sec. 3(l)(6), Aug. 21, 2002,
116 Stat. 1302; Pub. L. 107-296, title X, Sec. 1005(c)(3), Nov. 25,
2002, 116 Stat. 2273; Pub. L. 107-347, title III, Sec. 305(c)(3), Dec.
17, 2002, 116 Stat. 2961.)
References in Text
The date of enactment of the Small Business Paperwork Relief Act of
2002, referred to in subsec. (i)(2), is the date of enactment of Pub. L.
107-198, which was approved June 28, 2002.
Prior Provisions
A prior section 3506, added Pub. L. 96-511, Sec. 2(a), Dec. 11,
1980, 94 Stat. 2819; amended Pub. L. 99-500, Sec. 101(m) [title VIII,
Sec. 816], Oct. 18, 1986, 100 Stat. 1783-308, 1783-338, and Pub. L. 99-
591, Sec. 101(m) [title VIII, Sec. 816], Oct. 30, 1986, 100 Stat. 3341-
308, 3341-338, related to Federal agency responsibilities prior to the
general amendment of this chapter by Pub. L. 104-13.
Another prior section 3506, Pub. L. 90-620, Oct. 22, 1968, 82 Stat.
1303, provided for determination of necessity for information and
hearing thereon, prior to the general amendment of this chapter by Pub.
L. 96-511. See section 3508 of this title.
Amendments
2002--Subsec. (c)(4). Pub. L. 107-198, Sec. 2(c), added par. (4).
Subsec. (g)(1). Pub. L. 107-296, Sec. 1005(c)(3)(A), and Pub. L.
107-347, Sec. 305(c)(3)(A), amended par. (1) identically, inserting
``and'' at end.
Subsec. (g)(2). Pub. L. 107-296, Sec. 1005(c)(3)(B), and Pub. L.
107-347, Sec. 305(c)(3)(B), amended par. (2) identically, substituting
``subchapter II of this chapter'' for ``section 11332 of title 40'' and
a period for ``; and'' at end.
Pub. L. 107-217, Sec. 3(l)(6)(A), substituted ``section 11332 of
title 40'' for ``the Computer Security Act of 1987 (40 U.S.C. 759
note)''.
Subsec. (g)(3). Pub. L. 107-296, Sec. 1005(c)(3)(C), and Pub. L.
107-347, Sec. 305(c)(3)(C), amended subsec. (g) identically, striking
out par. (3) which read as follows: ``consistent with section 11332 of
title 40, identify and afford security protections commensurate with the
risk and magnitude of the harm resulting from the loss, misuse, or
unauthorized access to or modification of information collected or
maintained by or on behalf of an agency.''
Pub. L. 107-217, Sec. 3(l)(6)(B), substituted ``section 11332 of
title 40'' for ``the Computer Security Act of 1987 (40 U.S.C. 759
note)''.
Subsec. (i). Pub. L. 107-198, Sec. 2(b), added subsec. (i).
2000--Subsecs. (a)(1) to (3), (b)(4), (c)(1). Pub. L. 106-398
substituted ``subchapter'' for ``chapter'' wherever appearing.
1996--Subsec. (a)(2)(A). Pub. L. 104-106, Sec. 5125(a)(1)(A),
substituted ``Chief Information Officer'' for ``senior official''.
Subsec. (a)(2)(B). Pub. L. 104-106, Sec. 5125(a)(1)(B), substituted
``designate Chief Information Officers'' for ``designate senior
officials'', ``Chief Information Officer'' for ``official'', and ``the
Chief Information Officers'' for ``the officials''.
Subsec. (a)(3), (4). Pub. L. 104-106, Sec. 5125(a)(1)(C),
substituted ``Chief Information Officer'' for ``senior official''
wherever appearing.
Subsec. (c)(1). Pub. L. 104-106, Sec. 5125(a)(2), substituted
``Chief Information Officer'' for ``official'' in introductory
provisions.
Effective Date of 2002 Amendment
Amendment by Pub. L. 107-296 effective 60 days after Nov. 25, 2002,
see section 4 of Pub. L. 107-296, set out as an Effective Date note
under section 101 of Title 6, Domestic Security.
Effective Date of 2000 Amendment
Amendment by Pub. L. 106-398 effective 30 days after Oct. 30, 2000,
see section 1 [[div. A], title X, Sec. 1065] of Pub. L. 106-398, set out
as an Effective Date note under section 3531 of this title.
Effective Date of 1996 Amendment
Amendment by Pub. L. 104-106 effective 180 days after Feb. 10, 1996,
see section 5701 of Pub. L. 104-106, Feb. 10, 1996, 110 Stat. 702.
Ex. Ord. No. 13073. Year 2000 Conversion
Ex. Ord. No. 13073, Feb. 4, 1998, 63 F.R. 6467, as amended by Ex.
Ord. No. 13127, June 14, 1999, 64 F.R. 32793, provided:
The American people expect reliable service from their Government
and deserve the confidence that critical government functions dependent
on electronic systems will be performed accurately and in a timely
manner. Because of a design feature in many electronic systems, a large
number of activities in the public and private sectors could be at risk
beginning in the year 2000. Some computer systems and other electronic
devices will misinterpret the year ``00'' as 1900, rather than 2000.
Unless appropriate action is taken, this flaw, known as the ``Y2K
problem,'' can cause systems that support those functions to compute
erroneously or simply not run. Minimizing the Y2K problem will require a
major technological and managerial effort, and it is critical that the
United States Government do its part in addressing this challenge.
Accordingly, by the authority vested in me as President by the
Constitution and the laws of the United States of America, it is hereby
ordered as follows:
Section 1. Policy. (a) It shall be the policy of the executive
branch that agencies shall:
(1) assure that no critical Federal program experiences disruption
because of the Y2K problem;
(2) assist and cooperate with State, local, and tribal governments
to address the Y2K problem where those governments depend on Federal
information or information technology or the Federal Government is
dependent on those governments to perform critical missions;
(3) cooperate with the private sector operators of critical national
and local systems, including the banking and financial system, the
telecommunications system, the public health system, the transportation
system, and the electric power generation system, in addressing the Y2K
problem; and
(4) communicate with their foreign counterparts to raise awareness
of and generate cooperative international arrangements to address the
Y2K problem.
(b) As used in this order, ``agency'' and ``agencies'' refer to
Federal agencies that are not in the judicial or legislative branches.
Sec. 2. Year 2000 Conversion Council. There is hereby established
the President's Council on Year 2000 Conversion (the ``Council'').
(a) The Council shall be led by a Chair who shall be an Assistant to
the President, and it shall be composed of one representative from each
of the executive departments and from such other Federal agencies as may
be determined by the Chair of the Council (the ``Chair'').
(b) The Chair shall appoint a Vice Chair and assign other
responsibilities for operations of the council as he or she deems
necessary.
(c) The Chair shall oversee the activities of agencies to assure
that their systems operate smoothly through the year 2000, act as chief
spokesperson on this issue for the executive branch in national and
international fora, provide policy coordination of executive branch
activities with State, local, and tribal governments on the Y2K problem,
and promote appropriate Federal roles with respect to private sector
activities in this area.
(d) The Chair and the Director of the Office of Management and
Budget shall report jointly at least quarterly to me on the progress of
agencies in addressing the Y2K problem.
(e) The Chair shall identify such resources from agencies as the
Chair deems necessary for the implementation of the policies set out in
this order, consistent with applicable law.
Sec. 3. Responsibilities of Agency Heads. (a) The head of each
agency shall:
(1) assure that efforts to address the Y2K problem receive the
highest priority attention in the agency and that the policies
established in this order are carried out; and
(2) cooperate to the fullest extent with the Chair by making
available such information, support, and assistance, including
personnel, as the Chair may request to support the accomplishment of the
tasks assigned herein, consistent with applicable law.
(b) The heads of executive departments and the agencies designated
by the Chair under section 2(a) of this order shall identify a
responsible official to represent the head of the executive department
or agency on the Council with sufficient authority and experience to
commit agency resources to address the Y2K problem.
Sec. 4. Responsibilities of Interagency and Executive Office
Councils. Interagency councils and councils within the Executive Office
of the President, including the President's Management Council, the
Chief Information Officers Council, the Chief Financial Officers
Council, the President's Council on Integrity and Efficiency, the
Executive Council on Integrity and Efficiency, the National Science and
Technology Council, the National Performance Review, the National
Economic Council, the Domestic Policy Council, and the National Security
Council shall provide assistance and support to the Chair upon the
Chair's request.
Sec. 5. Information Coordination Center. (a) To assist the Chair in
the Y2K response duties included under section 2(c) of this order, there
shall be established the Information Coordination Center (ICC) in the
General Services Administration.
(b) At the direction of the Chair, the ICC will assist in making
preparations for information sharing and coordination within the Federal
Government and key components of the public and private sectors,
coordinating agency assessments of Y2K emergencies that could have an
adverse affect on U.S. interests at home and abroad, and, if necessary,
assisting Federal agencies and the Chair in reconstitution processes
where appropriate.
(c) The ICC will:
(1) consist of officials from executive agencies, designated by
agency heads under subsection 3(a)(2) of this order, who have expertise
in important management and technical areas, computer hardware, software
or security systems, reconstitution and recovery, and of additional
personnel hired directly or by contract, as required, to carry out the
duties described under section 5 of this order;
(2) work with the Council and the Office of Management and Budget to
assure that Federal efforts to restore critical systems are coordinated
with efforts managed by Federal agencies acting under existing emergency
response authorities.
(d) The Chair of the President's Council on Year 2000 Conversion
shall designate a Director of the ICC.
Sec. 6. Judicial Review. This Executive order is intended only to
improve the internal management of the executive branch and does not
create any right or benefit, substantive or procedural, enforceable at
law or equity by a party against the United States, its agencies, or
instrumentalities, its officers or employees, or any other person.
William J. Clinton.
Section Referred to in Other Sections
This section is referred to in sections 3505, 3507, 3520, 3534,
3544, 3603 of this title; title 10 section 2223; title 38 sections 308,
310; title 40 sections 11312, 11313, 11317; title 42 section 14953 of
this title.
