Source: https://www.federalregister.gov/documents/2013/05/13/2013-11139/federal-management-regulation-fmr-mail-management-financial-requirements-for-all-agencies
Timestamp: 2019-08-21 12:11:29
Document Index: 146822812

Matched Legal Cases: ['art 102', 'art 102', 'art 102', 'art 102', 'art 102', 'art 102', '§\u2009102', '§\u2009102', 'arts 100']

Federal Register :: Federal Management Regulation (FMR); Mail Management; Financial Requirements for All Agencies
27908-27913 (6 pages)
Proposed Changes to 41 CFR Part 102-192
Reporting Requirements for All Agencies
https://www.federalregister.gov/d/2013-11139 https://www.federalregister.gov/d/2013-11139
The General Services Administration (GSA) is proposing to amend the Federal Management Regulation (FMR) by revising its mail management policy. A major part of the proposed revision involves the removal of the agency requirement to pay the United States Postal Service (USPS) using commercial payment processes. This proposed rule also revises the term “commercial payment process”, removes the definition “large agency”, requires all agencies to provide an annual mail management report, changes the date of the annual report, removes the description of facility and program mail manager responsibilities, recommends all agencies implement the process of consolidation of mail and requires all agencies to expand existing mail security policy to include guidance for employees receiving incoming and sending outgoing official mail at an alternative worksite. Finally, this proposed rule encourages agencies to increase sustainable activities in their mail programs, and makes editorial and technical corrections. This case is included in GSA's retrospective review of existing regulations under Executive Order 13563. Additional information is available at www.gsa.gov/​improvingregulations.
Interested parties should submit written comments to the Regulatory Secretariat at one of the addressees shown below on or before July 12, 2013 to be considered in the formation of the final rule.
Submit comments in response to FMR Case 2008-102-4 by any of the following methods:
Regulations.gov: http://www.regulations.gov. Submit comments via the Federal eRulemaking portal by searching for “FMR Case 2008-102-4”. Follow the instructions provided at the “Submit a Comment” screen. Please include your name, company name (if any), and “FMR Case 2008-102-4” on your attached document.
Instructions: Please submit comments only and cite FMR Case 2008-102-4, in all correspondence related to this case. All comments received will be posted without change to http://www.regulations.gov, including any personal and/or business confidential information provided.
For clarification of content, contact Derrick Miliner, Office of Governmentwide Policy, Mail Management Program, at 202-273-3564, or email him at derrick.miliner@gsa.gov. Please cite FMR case 2008-102-4. For information pertaining to status or publication schedules, contact the Regulatory Secretariat (MVCB), 1275 First Street NE., Washington, DC 20417, 202-501-4755.
On June 6, 2002, GSA published an interim rule in the Federal Register (67 FR 38899) that required all payments to the United States Postal Service (USPS) be made using commercial payment processes, not the Official Mail Accounting System (OMAS). The initial conversion date of October 1, 2003, was subsequently changed to December 31, 2003 by an amendment published in the Federal Register on September 29, 2003 (68 FR 56112). Many agencies unfortunately were not able to meet this goal.
If agencies did not convert to the commercial payment process by that date, they were required to submit a deviation request for an extension. If granted, the deviation could last for no longer than a two-year period (per internal GSA policy), at which time agencies would have to request another deviation. FMR Bulletin G-01, published in the Federal Register on May 13, 2008 (73 FR 27540), granted a 12 month deviation from April 11, 2008 through April 13, 2009 for conversion to the commercial payment process. FMR Bulletin G-02 extended the period granted in FMR Bulletin G-01 to April 13, 2010. GSA granted agencies another automatic 12-month deviation and Start Printed Page 27909advised agencies that had unexpired deviations that they did not need to take any additional action because GSA was reassessing the policy. This proposed rule reflects agency comments and GSA's proposed change in policy, namely that agencies would not be required to switch payment systems with the USPS.
A proposed rule was published in the Federal Register on January 9, 2009 (74 FR 870), to allow agencies a choice of methods to best show their accountability for mail management. GSA received the following two comments:
1. The Department of State commented that agencies should be allowed to continue using OMAS as long as they can demonstrate savings and detailed accountability as described in 41 CFR part 102-192. For these reasons, the Department of State believes that deviations should still be accepted and granted on a case by case basis.
2. The Social Security Administration proposed that GSA amend subpart B of 41 CFR part 102-192 to include the following language: “Agencies with locations in areas where post offices cannot support the use of a commercial payment system shall be exempt from part 102-92 subpart B. Additionally, agencies whose mission critical operations would be comprised [sic] by converting to a commercial payment process shall be exempt from part 102-192 subpart B.”
The proposed rule published today reflects a new direction that would remove the requirement to pay the USPS using only commercial payment processes. If adopted as a final rule, agencies could continue to pay the USPS using their existing OMAS account. This approach would be consistent with both comments received on the proposed rule published in the Federal Register on January 9, 2009 (74 FR 870).
Additionally, publishing this proposed rule allows the opportunity to vet with all agencies several changes that GSA drafted in conjunction with the Federal Mail Executive Council. This new proposed rule allows those impacted, such as small agencies, as well as other interested parties, a period to comment and for GSA to respond to those comments prior to issuing a final rule.
Accordingly, this proposed rule, if adopted as a final rule, would:
1. Remove the agency requirement to pay the USPS using commercial payment processes and redefine the term “commercial payment process.”
2. Remove the definition of “large agency,” which is defined as an agency whose total payments to all mail service providers exceed $1 million per fiscal year.
3. With regard to the annual mail management report:
a. Require all agencies, regardless of size, to provide an annual mail management report. For agencies previously exempt from the reporting requirement (those below the “large agency” threshold) that are newly required to report, annual reporting beginning with FY 2013 data will begin in FY 2014.
b. Amend the annual reporting date. The report would be due on October 31 for information covering the previous fiscal year rather than on January 15 for the previous fiscal year.
c. Require agencies to submit an annual mail management report to the Office of Governmentwide Policy, Mail Management Policy, through the Simplified Mail Accountability Reporting Tool (SMART).
d. Point to an FMR bulletin that details the reporting requirements at www.gsa.gov/​fmrbulletin.
4. Remove the description of facility and program mail manager responsibilities and assign those responsibilities to the agency mail manager, who may choose to delegate part or all of these responsibilities.
5. Recommend all agencies implement the process of consolidation for internal and external mail.
6. Require all agencies to expand existing mail security policy to include guidance for employees receiving incoming and sending outgoing official mail at an alternative worksite.
7. Encourage agencies to increase sustainable activities in their mail programs.
8. Make editorial and technical corrections.
Executive Order (E.O.) 12866 of September 30, 1993 (“Regulatory Planning and Review”) and E.O. 13563 of January 18, 2011 (“Improving Regulation and Regulatory Review”) direct agencies to assess all costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits including potential economic, environmental, public health and safety effects, distributive impacts, and equity. E.O. 13563 emphasizes the importance of quantifying both costs and benefits, of reducing costs, of harmonizing rules, and of promoting flexibility. This proposed rule is not a significant regulatory action and, therefore, is not subject to review under Section 6(b) of E.O. 12866. This proposed rule is not a major rule under 5 U.S.C. 804.
This proposed rule will not have a significant economic impact on a substantial number of small entities within the meaning of the Regulatory Flexibility Act, 5 U.S.C. 601, et seq. This proposed rule is also exempt from the Administrative Procedure Act per 5 U.S.C. 553(a)(2) because it applies to agency management or personnel.
This proposed rule is exempt from Congressional review under 5 U.S.C. 801 since it relates solely to agency management or personnel.
For the reasons set forth in the preamble, GSA proposes to revise 41 CFR part 102-192 to read as follows:
To what types of mail and materials does this part apply?
Start Printed Page 27910 Subpart B—Agency Requirements Financial Requirements for All Agencies
This part prescribes policy and requirements for the effective, economical, and secure management of incoming, internal and outgoing mail and materials in Federal agencies.
This part is governed by Section 2 of Public Law 94-575, the Federal Records Management Amendments of 1976 (44 U.S.C. 2901-2904, as amended, that requires the Administrator of General Services to provide guidance and assistance to Federal agencies to ensure economical and effective records management and defines the processing of mail by Federal agencies as a records management activity.
In this part, “I,” “me,” and “you” in the singular refer to agency mail managers. The context makes it clear which usage is intended in each case. “We,” “us,” and “you” in the plural refer to your Federal agency.
(b) “Should” identifies steps that the GSA recommends.
Note to § 102-192.20:
In their internal policy statements, agencies may require steps that GSA recommends.
(a) This part applies to all materials that pass through a Federal mail center, including all incoming and outgoing materials, regardless of whether or not they currently pass through a mail center. This includes:
Accountable mail means any piece of mail for which a service provider and the mail center must maintain a record that shows where the mail piece is at any given time, and when and where it was delivered; examples include United States Postal Service (USPS) registered mail and all expedited mail.
Class of mail means one of the five categories of domestic mail as defined by the Mailing Standards of the USPS in the Domestic Mail Manual (DMM) located at http://pe.usps.gov/​.
(4) Standard mail, bulk marketing mail; and
Commercial payment process means paying for postage using the United States Postal Service's Centralized Account Processing System.
Consolidation of facilities means the process of combining more than one mail center into a central location. The decision to consolidate should be based on a cost analysis comparing the projected cost savings to the costs of implementation.
Expedited mail means mail designated for overnight and two or three day delivery by service providers. Examples of expedited mail include Dalsey, Hillblom, Lynn (DHL); Federal Express (FedEx); United Parcel Service (UPS); and United States Postal Service (USPS) express mail.
Federal agency or agency, as defined in 44 U.S.C. 2901(14), means—
(4) Any establishment in the legislative or judicial branch, except the Supreme Court, the Senate, the House of Representatives, the Architect of the Capitol, and all activities under the direction of the Architect of the Capitol.
Federal facility or facility means any office building, installation, base, etc., where Federal agency employees work. This includes any facility where the Federal Government pays postage expenses even though few or no Federal employees are involved in processing the mail.
Internal mail means mail generated within a Federal facility that is Start Printed Page 27911delivered within that facility or to a nearby facility of the same agency, so long as it is delivered by agency personnel or an agency contractor.
Mail expenditures means direct expenses for postage, fees and services and all other mail costs, meter fees, permit fees, etc. (e.g., payments to service providers, mail center personnel costs, mail center overhead, etc.).
Mail piece design means creating and printing items to be mailed so that they can be processed efficiently and effectively by automated mail processing equipment.
Official Mail Accounting System (OMAS) means the USPS government specific system used to track postage.
Program level means a component, bureau, regional office and/or a facility that generates outgoing mail.
Service provider means any agency or company that delivers materials and mail. Some examples of service providers are DHL, FedEx, UPS, USPS, courier services, the Department of Defense, the Department of State's Diplomatic Pouch and Mail Division, and other Federal agencies providing mail services.
Sustainability and Sustainable mean to create and maintain conditions under which humans and nature can exist in productive harmony, that permit fulfilling the social, economic, and other requirements of present and future generations.
Telework means a work flexibility arrangement under which an employee performs the duties and responsibilities of such employee's position, and other authorized activities, from an approved worksite other than the location from which the employee would otherwise work.
Worksharing is one way of processing outgoing mail so that the mail qualifies for reduced postage rates. Examples of worksharing include presorting, bar coding, consolidating, and commingling.
You can learn more about mail classes in the Domestic Mail Manual (DMM). The DMM is available online at http://pe.usps.gov or you can order a copy from: Superintendent of Documents, U.S. Government Printing Office, P.O. Box 979050, St. Louis, MO 63197-9000.
(a) All payments to the USPS must be made using either—
(1) The U.S. Treasury Intergovernmental Payment and Collection Payment (IPAC) process associated with the Official Mail Accounting System (OMAS), or
(2) The USPS Centralized Account Processing System (CAPS) associated with commercial payments.
(b) Payments made to service providers other than USPS must be made by U.S. Treasury payment methods such as automated clearing house-electronic funds transfer or a Personal Identification Number (PIN) based debit card.
Guidance on implementing payment processes can be found at http://www.fms.treas.gov/​index.html.
(b) Agencies also must have a written mail security plan for each facility that processes mail, regardless of the facility's mail volume.
(d) The scope and level of detail of each facility mail security plan should be commensurate with the size and responsibilities of each facility. For small facilities, agencies may use a general plan for similar locations. For larger locations, agencies must develop a plan that is specifically tailored to the threats and risks at your location. Agencies should determine which facilities they consider are small and large for the purposes of this section, so long as the basic requirements for a security plan are met at every facility.
(e) All mail managers are required to report annually the status of their mail security plans to agency headquarters. At a minimum, this report should assure that all mail security plans complies with the requirements of this part, Start Printed Page 27912including annual review by a subject matter expert and regular rehearsal of responses to various emergency situations by facility personnel.
(f) A security professional who has expertise in mail center security should review the agency's mail security plan and policies annually to include identification of any deficiencies. Review of facility mail security plans can be accomplished by subject matter experts such as agency security personnel. If these experts are not available within your agency, seek assistance from the U.S. Postal Inspection Service or the Federal Protective Service (FPS).
All Federal mail programs must identify, prioritize, and coordinate the protection of all mail processing facilities in order to prevent, deter, and mitigate the effects of deliberate efforts to destroy, incapacitate, or exploit the mail center or the national mail infrastructure. Homeland Security Presidential Directive (HSPD 7) at http://www.fas.org/​irp/​offdocs/​nspd/​hspd-7.html requires all agencies to protect key resources from terrorist attacks. All Federal mail centers are identified as key resources under the Postal and Shipping Sector Plan. Further details on the plan can be found at the Department of Homeland Security's (DHS) Web site.
All agencies regardless of size must provide an annual Mail Management Report to GSA. If your agency is a cabinet level or independent agency, the agency mail manager must compile all offices or components and submit one report for the department or agency as a whole, for example, the Department of Defense or the Department of Health and Human Services.
Your agency must provide an agency-wide response to the GSA requested data elements. GSA will provide the list of data elements in a Federal Management Regulation (FMR) Bulletin. GSA coordinates all mail management related FMR Bulletins with the Federal Mail Executive Council and updates them as necessary. FMR Bulletins are available at: http://www.gsa.gov/​bulletins.
(c) Allow GSA to fulfill its responsibilities under the Federal Records Act, especially with regards to sharing best practices, information on training, and promulgating standards, procedures, and guidelines.
You must submit annual reports using the GSA web based Simplified Mail Accountability Reporting Tool (SMART). Training is available from GSA to agency mail managers and other authorized users on how to use the SMART data reporting system. Contact the Mail Management Program office for access and training at 202-501-1777.
Your annual report is due on October 31 of each year for the previous fiscal year.
You must have performance measures for mail operations at the agency level and in all facilities and for all program levels.
Yes, every Federal agency as defined in § 102-192.35, must have an agency mail manager.
In addition to carrying out the responsibilities mentioned above, an agency mail manager should—
(1) Consolidating and presorting wherever practical, e.g., internal and external mail, and consolidation of agency-wide mail operations and official mail facilities; and
(2) Reducing the volume of Federal-agency to Federal-agency mail whenever possible.
(f) Ensure that all facility and program level mail personnel receive appropriate training and certifications to successfully perform their assigned duties;Start Printed Page 27913
(k) Represent the agency in its relations with service providers, other agency mail managers, and the GSA Office of Governmentwide Policy;
(l) Ensure agency policy incorporates Federal hazardous materials requirements set forth in 49 CFR parts 100-180; and
(m) Ensure agency sustainable activities become part of the mail program by incorporating strategies in accordance with Executive Order 13514 of October 5, 2009 (“Federal Leadership in Environmental, Energy, and Economic Performance”), specifically Sec. 8 that describes the Agency Strategic Sustainability Performance Plan.
(d) Establish one or more interagency committees (e.g., the Federal Mail Executive Council, and the Interagency Mail Policy Council) as necessary to provide an exchange of information among Federal agencies;
(3) Developing and providing access to a Governmentwide management information system for mail;
(b) For further information contact: U.S. General Services Administration, Office of Governmentwide Policy (MA), 1275 First Street NE., Washington, DC 20417; telephone 202-501-1777, or email: Federal.mail@gsa.gov.
[FR Doc. 2013-11139 Filed 5-10-13; 8:45 am]