[Federal Register Volume 67, Number 109 (Thursday, June 6, 2002)]
[Rules and Regulations]
[Pages 38896-38903]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-13834]
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GENERAL SERVICES ADMINISTRATION
41 CFR Parts 101-9 and 102-192
[FPMR Amendment A-58]
RIN 3090-AH13
Mail Management
AGENCY: Office of Governmentwide Policy, GSA.
ACTION: Interim rule.
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SUMMARY: The anthrax crisis has made the health and security of Federal
employees the primary concerns of the General Services Administration's
(GSA's) mail communications policy program. GSA published a proposed
rule in the Federal Register on May 29, 2001 (66 FR 29067) to solicit
opinions from the mail community on changes to the mail regulation. GSA
is publishing this interim rule now because it is critical that we
provide updated mail security requirements and guidance as quickly as
possible.
This is an interim rule because we recognize that the security and
financial requirements in this rule will continue to evolve. Before
formulation of the final rule, we will solicit agencies for comment. We
are allowing time for agencies to gain experience with this interim
rule prior to obtaining input for the final rule.
DATES: This interim rule is effective June 6, 2002.
ADDRESSESS: Send written comments to: Rodney Lantier, Regulatory
Secretariat, Acquisition Policy Division (MVP), General Services
Administration, 1800 F Street, NW., Washington, DC 20405. Send comments
by e-mail to: [email protected].
FOR FURTHER INFORMATION CONTACT: Henry Maury, Mail Communications
Policy Division (MTM) or [email protected].
SUPPLEMENTARY INFORMATION:
A. Background
The purposes of this interim rule are to update and clarify FPMR
part 101-9, Federal Mail Management, and move it into the Federal
Management Regulation (FMR). This interim rule is written in a plain
language, question and answer format. This style uses the active voice,
shorter sentences, and pronouns. A question and its answer combine to
establish a rule; that is, Federal agencies and Federal employees must
follow the language contained in both the question and its answer.
Section 2 of Public Law 94-575, the Federal Records Management
Amendments of 1976, as amended, directs the Administrator of General
Services to provide guidance and assistance to Federal agencies on
records management, including the processing of mail by Federal
agencies, and this interim rule implements that direction. In doing so,
this interim rule establishes four requirements for all agencies and
four additional requirements for agencies that mail over $1 million
annually. These requirements are described in sections 102-192.50 and
102-192.55 respectively.
Agency Comments on the Proposed Rule
In response to the proposed rule, we received comments from
nineteen agencies, two boards and one from the private sector. All
comments were considered in the formulation of this interim rule.
Several comments concerned the proper definition of ``user level''.
The concept here is that Federal mailers, or users, will better manage
their mailing expenses if they are charged for the actual cost of their
mailings. The definition of ``user level'' was deliberately vague to
allow agencies to define users in a way that best fit their
organizations. For instance, an agency could define ``user'' as an
organizational entity, program, or location. To make the concept
clearer, we have changed the term to ``program level''.
Many respondents were also unclear how we defined ``system'' in the
proposed regulation. We have added a definition in section 102-192.35
to explain the term.
To reduce the confusion over agency requirements, we have
reorganized the interim rule to separate required actions from
recommended actions.
The most frequent comment was that providing GSA with volumetric
and cost data from users at all levels within the agency would be
prohibitively expensive, would adversely impact mail delivery, and
would not provide a benefit to the agencies or GSA. This interim rule
alters the requirement by allowing agencies to gather the needed data
by any method they deem appropriate. When more agencies have availed
themselves of automated tools for gathering data on mail operations,
this requirement will be revisited.
The proposed regulation required that agencies' financial
accountability systems capture costs associated with mailing. So that
we may address agencies' security concerns quickly, we are temporarily
foregoing the financial accountability component of the proposed
regulation. We plan to implement this requirement when
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mailing and financial systems can more easily track costs. We will
continue to work with the agencies' mail management plans and promote
best practices towards this goal.
Many comments were received about the Official Mail Accounting
System (OMAS)--see definition in section 102-192.35. In most agencies,
OMAS does not account for mail below the Chief Financial Officer level
and its use creates no incentive to save money on mail; the people who
decide whether something should be mailed, what shape it should take,
what postage should be applied, and how many copies should go out, are
not the people who pay for the postage. Most Federal mailers,
therefore, have little incentive to limit mailing costs.
The General Services Administration has discussed this situation
with Federal financial experts, mail industry consultants, the Office
of Management and Budget, and many Federal mail managers. Every
private-sector expert that GSA has reached agrees that giving the
program managers information about, and responsibility for, the money
they spend on mail is critical to improved management and cost control.
We have also studied the experience of the five Federal agencies (most
notably the Department of Defense) that have converted all or part of
their postage to commercial payment processes. On the basis of this
discussion and consideration, the General Services Administration has
decided to direct the Federal agencies that fall within its authority
to stop using OMAS to account for postage and to pay for postage using
commercial payment processes. The effective date for this direction is
October 1, 2003.
When Federal line managers pay for postage the same way that
private sector organizations do, and account for postage costs through
their standard accounting and budget processes, they are able to:
Track postage costs in real time;
Measure performance;
Identify opportunities to save money before they spend it;
Identify instances of potential fraud;
Streamline operations and improve productivity;
Eliminate the extra administrative burden of a cumbersome system;
and
Increase their ability to react quickly to problems.
We recognize that the transition to commercial payment for postage
will be more complicated for some agencies than for others, but we have
determined that it will benefit all Federal agencies and the taxpayers
in the long run. We estimate savings resulting from Federal agencies'
withdrawal from OMAS will be approximately $70 million annually across
the government.
B. Executive Order 12866
GSA has determined that this interim rule is not a significant rule
for the purposes of Executive Order 12866 of September 30, 1993.
C. Regulatory Flexibility Act
This interim rule is not expected to 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.
D. Paperwork Reduction Act
The Paperwork Reduction Act does not apply because this interim
rule does not impose recordkeeping or information collection
requirements, or the collection of information from offerors,
contractors, or members of the public which require the approval of the
Office of Management and Budget (OMB) under 44 U.S.C. 3501, et seq.
E. Small Business Regulatory Enforcement Fairness Act
This interim rule is exempt from Congressional review prescribed
under 5 U.S.C. 801 since it relates solely to agency management and
personnel.
List of Subjects
41 CFR Part 101-9
Government property management.
41 CFR Part 102-192
Government contracts, Intergovernmental relations, Reporting and
recordkeeping requirements, Security measurements.
For the reasons set forth in the preamble, 41 CFR chapters 101 and
102 are amended as follows:
CHAPTER 101--[AMENDED]
1. Part 101-9 is revised to read as follows:
PART 101-9--FEDERAL MAIL MANAGEMENT
Authority: Sec. 2, Pub. L. 94-575, as amended, 44 U.S.C. 2904;
40 U.S.C. 486(c); Sec. 205(c), 63 Stat. 390.
Sec. 101-9.000 Cross-reference to the Federal Management Regulation
(FMR) (41 CFR chapter 102, parts 102-1 through 102-220).
For Federal mail management information previously contained in
this part, see FMR part 192 (41 CFR part 102-192).
CHAPTER 102--[AMENDED]
2. Part 102-192 is added to subchapter G to read as follows:
PART 102-192--MAIL MANAGEMENT
Subpart A--General Provisions
Sec.
102-192.5 What does this part cover?
102-192.10 What authority governs this part?
102-192.15 How are ``I'', ``you'', ``me'', ``we'', and ``us'' used
in this part?
102-192.20 How are ``must'' and ``should'' used in this part?
102-192.25 Does this part apply to me?
102-192.30 What types of mail does this part apply to?
102-192.35 What definitions apply to this part?
102-192.40 Where can I get more information about the classes of
mail?
102-192.45 How do we request a deviation from these requirements,
and who can approve it?
Subpart B--General Requirements
102-192.50 What must all agencies do to manage their mail
effectively and efficiently?
102-192.55 What are the additional requirements for large agencies?
Subpart C--Reporting Requirements
102-192.60 What must we report to GSA about our mail operations?
102-192.65 When must we submit reports to GSA about our mail?
102-192.70 What format should we use when reporting mail data to
GSA?
102-192.75 Where do we send our mail management reports and
security plan verifications?
102-192.80 Why does GSA require these mail reports?
Subpart D--Security Provisions
102-192.85 Must I have a mail security plan?
102-192.90 What must I include in the mail security plan?
102-192.95 What else should I include in the mail security plan?
Subpart E--Recommended Actions
102-192.100 What financial system features does GSA recommend for
finance systems to keep track of mail costs?
102-192.105 What performance goals and measures should we use?
102-192.110 What should your agency-wide mail management plan
include?
102-192.115 What less costly alternatives to expedited mail and
couriers should your agency-wide mail management plan address?
Subpart F--Agency Mail Manager Responsibilities
102-192.120 What is the appropriate managerial level for an agency
mail manager?
102-192.125 What are my general responsibilities as an agency mail
manager?
Subpart G--Facility Mail Manager Responsibilities
102-192.130 What are my general responsibilities as a facility mail
manager?
[[Page 38898]]
102-192.135 What should I include when contracting out all or part
of the mail function?
Subpart H--Program-Level Mail Responsibilities
102-192.140 Which program levels should have a mail manager?
102-192.145 What are the mail responsibilities at the program
level?
Subpart I--GSA's Responsibilities and Services
102-192.150 What are GSA's responsibilities in mail management?
102-192.155 What types of support does GSA offer to Federal agency
mail management programs?
Appendix A to Part 102-192--Large Agency Mailers
Appendix B to Part 102-192--Mail Center Security Plan
Authority: Sec. 2, Pub. L. 94-575, as amended, 44 U.S.C. 2904;
40 U.S.C. 486(c); Sec. 205(c), 63 Stat. 390.
Subpart A--General Provisions
Sec. 102-192.5 What does this part cover?
This part prescribes policy and requirements for the efficient,
effective, economical, and secure management of incoming, internal, and
outgoing mail in Federal agencies.
Sec. 102-192.10 What authority governs this part?
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, which requires the Administrator of General Services to
provide guidance and assistance to Federal agencies on records
management and defines the processing of mail by Federal agencies as a
records management activity.
Sec. 102-192.15 How are ``I'', ``you'', ``me'', ``we'', and ``us''
used in this part?
In this part, ``I'', ``me'', and ``you'' (in its singular sense)
refer to agency mail managers and/or facility mail managers; the
context makes it clear which usage is intended in each case. ``We'',
``us'', and ``you'' (in its plural sense) refer to your Federal agency.
Sec. 102-192.20 How are ``must'' and ``should'' used in this part?
In this part:
(a) ``Must'' identifies steps that Federal agencies are required to
take; and
(b) ``Should'' identifies steps that GSA recommends.
Sec. 102-192.25 Does this part apply to me?
Yes, this part applies to you if you work in a Federal agency, as
defined in Sec. 102-192.35.
Sec. 102-192.30 What types of mail does this part apply to?
This part applies to all materials that might pass through a
Federal mail processing center, including:
(a) All internal, incoming, and outgoing materials such as
envelopes, bulk mail, expedited mail, individual packages up to 70
pounds, publications, and postal cards, regardless of whether or not
they currently pass through a particular mail center;
(b) Similar materials carried by agency personnel, contractors, the
United States Postal Service (USPS), and all other carriers of such
items; and
(c) Electronic mail only if it is printed out and mailed as
described in paragraphs (a) and (b) of this section; however, this part
encourages agencies to maximize use of electronic mail in lieu of
printed media, so long as it is cost-effective.
Sec. 102-192.35 What definitions apply to this part?
The following definitions apply to this part:
Agency mail manager means the person who manages the overall mail
communications program of a Federal agency. The agency mail manager
also represents the agency in its relations with mail service
providers, other agency mail managers, and the GSA Office of
Governmentwide Policy.
Class of mail means the 5 categories of domestic mail as defined by
the United States Postal Service (USPS) in the Domestic Mail Manual,
(C100 through C600.1.z). These are:
(1) Express Mail and Priority Mail.
(2) First Class.
(3) Standard Mail (e.g., bulk marketing mail).
(4) Package Services.
(5) Periodicals.
Commingling means the merging of outgoing mail from one facility or
agency with outgoing mail from at least one other source.
Expedited mail is a generic term that means mail designated for
delivery more quickly than the USPS's normal delivery times (which vary
by class of mail). Examples of expedited mail include USPS Express Mail
and overnight and two-day delivery by other service providers.
Facility mail manager means the person responsible for mail in a
specific Federal facility. There may be many facility mail managers
within a Federal agency. See subpart G of this part for additional
information about facility mail managers.
Federal agency (or agency) means:
(1) Any executive department as defined in 5 U.S.C. 101;
(2) Any wholly owned Government corporation as defined in 31 U.S.C.
9101;
(3) Any independent establishment in the executive branch as
defined in 5 U.S.C. 104; and
(4) Any establishment in the legislative branch, except the Senate,
the House of Representatives, the Architect of the Capitol, and all
activities under the direction of the Architect of the Capitol (44
U.S.C. 2901(14)).
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 Federal employees are involved in processing
the mail.
Incoming mail means any mail that comes into the agency delivered
by any service provider, such as the USPS, UPS, FedEx, or DHL.
Internal mail means mail generated within a Federal facility that
is delivered within that facility or to a nearby facility of the same
agency, so long as it is delivered by agency personnel or a dedicated
agency contractor (i.e., not a service provider).
Large agency means a Federal agency whose total annual mail
payments to all service providers exceeds $1 million. See appendix A to
this part for a current list of the large agencies.
Mail means the types of mail described in Sec. 102-192.30.
Mail costs means allocations and expenses for postage and all other
mail costs (e.g., payments to service providers, mail center personnel
costs, mail center overhead, etc.).
Mail piece design means laying out and printing items to be mailed
such that they can be processed efficiently and effectively by
automated mail-processing equipment.
Mail system means all of the components of your mail operation
including your methods for capturing data on your mail users, their
volumes, and costs. The mail system includes the financial and
accounting systems. It can be automated, manual or both.
Official Mail Accounting System (OMAS) is the Postal Service's
government-unique system used to track postage used by most Federal
agencies. OMAS is used in conjunction with each agency's online payment
and accounting system (OPAC) account at the Treasury.
Outgoing mail means mail generated within a Federal facility that
is going outside that facility and is delivered by a service provider.
[[Page 38899]]
Postage means money due or paid to any service provider.
Presort means a mail preparation used to receive a discounted
mailing rate by sorting mail according to USPS standards.
Program Level means a subsidiary part of a Federal agency that
generates a significant quantity of outgoing mail. It could apply to an
agency organizational entity, program, or project. (See subpart H of
this part for additional information.)
Service provider means any agency or company that delivers mail.
Some examples of service providers are USPS, UPS, FedEx, DHL, courier
services, the Military Postal Service Agency, the State Department of
Diplomatic Pouch and Mail Division and other Federal agencies providing
mail services.
Special services means those mail services that require extra
payment over basic postage; e.g., certified mail, business reply mail,
registered mail, insurance, merchandise return service, certificates of
mailing, return receipts, and delivery confirmation.
Unauthorized use of agency postage means the use of penalty or
commercial mail stamps, meter impressions, or other postage indicia for
personal or unofficial use.
Worksharing means cost-effective ways of processing outgoing mail
that qualify for reduced postage rates; examples include presorting,
bar coding, consolidating, and commingling.
Sec. 102-192.40 Where can I get more information about the classes of
mail?
Details about mail classes can be found in the Domestic Mail Manual
(DMM). The DMM is available from New Orders, Superintendent of
Documents, U.S. Government Printing Office, P.O. Box 371954,
Pittsburgh, PA 15250-7954, http://pe.usps.gov/.
Sec. 102-192.45 How do we request a deviation from these requirements,
and who can approve it?
See Secs. 102-2.60 through 102-2.110 of this chapter to request a
deviation from the requirements of this part.
Subpart B--General Requirements
Sec. 102-192.50 What must all agencies do to manage their mail
effectively and efficiently?
All agencies are required to:
(a) Have written security plans for mail operations at the agency
level and in any facility where one or more full time personnel
processes mail.
(b) Ensure that mail costs are identified at the program level
within the agency; each agency will have to determine the appropriate
level for this requirement because the level at which it is cost-
beneficial differs widely. Program level costs can be identified from
tracking mailing expenses by program areas, cost estimates, financial
reports, reconciled Postal Service records, and reconciled vendor data.
(c) Beginning October 1, 2003, all payments to the United States
Postal Service must be made using commercial payment processes, not
OMAS.
(d) Have performance measures for mail operations at the agency
level and in all subordinate locations that spend more than $250,000
per year on postage; it is up to each agency to select the actual
performance measures used.
Sec. 192.55 What are the additional requirements for large agencies?
All agencies that spend more than $1 million per year on postage
are additionally required to develop and maintain an annual mail
management and security plan. The plan must:
(a) State total amounts paid to all service providers;
(b) Verify that facility security plans have been reviewed at the
agency level. A copy of at least one large facility plan must be
attached;
(c) Identify performance measures in use at the agency level;
(d) Identify the agency mail manager; and
(e) Describe the agency's plans to improve the economy and
efficiency of mail operations.
Subpart C--Reporting Requirements
Sec. 102-192.60 What must we report to GSA about our mail operations?
If you meet the definition of a large agency (see Sec. 102-192.35),
you must report to GSA annually either your mail management and
security plan, revised section(s) of that plan, or a statement
verifying that your plan has been reviewed and that there are no
changes to it. The annual report must state that all facility security
plans have been reviewed by a competent authority within the past year.
Sec. 102-192.65 When must we submit reports to GSA about our mail?
If you meet the requirement in Sec. 102-192.35, the first annual
agency mail management and security plan to GSA covering Fiscal Year
2001 is due September 4, 2002. Thereafter, fiscal year reports will be
due annually on March 30. You must promptly report the name of the
agency mail manager whenever it changes. GSA maintains an updated list
of Federal agency mail managers at http://www.gsa.gov/mailpolicy.
Sec. 102-192.70 What format should we use when reporting mail data to
GSA?
GSA will provide the format and reporting process for submitting
the agency's annual mail management and security plan. These will be
developed in collaboration with the Interagency Mail Policy Council.
The final reporting format will be posted on the Mail Policy
Communications home page at http://www.gsa.gov/mailpolicy.
Sec. 102-192.75 Where do we send our mail management reports and
security plan verifications?
Submit hardcopy mail reports to: General Services Administration,
Office of Governmentwide Policy, Mail Communications Policy Division
(MTM), 1800 F Street, NW., STE 1221, Washington, DC 20405-0002.
Electronic submissions are encouraged. Submit electronic reports to:
[email protected].
Sec. 102-192.80 Why does GSA require these mail reports?
GSA requires these annual agency mail management and security plans
to:
(a) Ensure that the large Federal mail programs have the tools and
procedures in place to manage their operations efficiently and
effectively;
(b) Ensure that appropriate security measures are in place; and
(c) Allow GSA to fulfill its responsibilities under the Federal
Records Act, especially with regards to sharing best practices,
training, standards, and guidelines.
Subpart D--Security Provisions
Sec. 102-192.85 Must I have a mail security plan?
Every Federal agency and agency location where an agency has one or
more full time personnel processing mail must implement a written mail
security plan. The size and scope of the security plan should be
commensurate with the size and responsibilities of each agency or
location. The security plan should be updated whenever circumstances
warrant. As a minimum, it should be reviewed annually.
Sec. 102-192.90 What must I include in the mail security plan?
Your security plan must include polices and procedures for safe and
secure operations consistent with your agency's core mission. It must
also include:
(a) Procedures for handling all incoming mail, regardless of
service provider;
(b) Plans for security training for mail center personnel;
(c) Procedures for ensuring compliance with the standards
[[Page 38900]]
established by the Interagency Security Committee that was established
in accordance with Executive Order 12977, dated October 19, 1995 (3
CFR, 1995 Comp., p. 413). These standards can be found at http://www.oca.gsa.gov;
(d) A list of all large facilities, their points of contact and
telephone numbers; and
(e) Plans for annual reviews of the agency's security plan and
facility-level security plans.
Sec. 102-192.95 What else should I include in the mail security plan?
Additionally, your plan should ensure that:
(a) Facility mail managers participate in their building security
committees, wherever such committees exist;
(b) Mail is transported in a safe manner;
(c) X-raying of mail occurs where appropriate; and
(d) The standards outlined in appendix B to this part are
implemented.
Subpart E--Recommended Actions
Sec. 102-192.100 What financial system features does GSA recommend for
finance systems to keep track of mail costs?
Agencies should develop or use a financial accountability system
that separately tracks all mail costs to the program area or below. The
system should:
(a) Show allocations and expenses for postage and all other mail
costs (e.g., payments to service providers, mail center personnel
costs, mail center overhead, etc.) separate from all other
administrative expenses;
(b) Assign control of funds for postage to the same person who has
overall authority to control mail decisions for the program area;
(c) Allow mail centers to establish systems to charge their
customers for postage; and
(d) Identify and charge mail costs that are part of printing
contracts to the program level.
Sec. 102-192.105 What performance goals and measures should we use?
Section 102-192.50 requires all large agencies to have performance
measures for mail operations at the agency level and in all subordinate
locations that spend more than $250,000 per year on postage. All other
agencies are also encouraged to identify performance goals and measures
for incoming and outgoing mail operations. Your performance measurement
efforts should be focused on the large facilities that generate most of
your mail. The range of measures will depend on the size of your agency
or facility, your mission, and the life cycle cost of data collection.
GSA will provide suggested performance measures through its mail policy
website.
Sec. 102-192.110 What should your agency-wide mail management plan
include?
Your agency-wide mail management plan should address:
(a) The ways in which mail management supports your agency's
mission;
(b) Information about your agency's primary facilities;
(c) Opportunities for reducing costs and/or enhancing your agency's
ability to perform its mission through better mail management;
(d) How you choose the lowest cost and/or best value service
provider(s) for outgoing mail, while ensuring that the Private Express
Statutes and all USPS regulations are followed;
(e) Opportunities for centralized mail processing, worksharing,
consolidation, and commingling to obtain postage savings;
(f) How and to what extent you will move toward ensuring that the
person who controls mail decisions is the same person who controls the
funds for postage;
(g) How and to what extent you will move toward ensuring that your
financial systems show allocations and expenses for postage and all
other mail costs separately from all other administrative expenses; and
(h) How you are developing specific performance goals, maintaining
performance data systems and relating mail management goals to your
agency's mission-related goals.
Sec. 102-192.115 What less costly alternatives to expedited mail and
couriers should your agency-wide mail management plan address?
Your plan should address the following alternatives to expedited
mail and couriers:
(a) First Class and Priority Mail from the USPS;
(b) Package delivery services from other service providers; and
(c) Electronic transmission via e-mail, facsimile transmission,
electronic commerce, the Internet, etc.
Subpart F--Agency Mail Manager Responsibilities
Sec. 102-192.120 What is the appropriate managerial level for an
agency mail manager?
The agency mail manager should be at a managerial level that
enables him or her to fulfill the requirements of Secs. 102-192.50
through 102-192.65 and Sec. 102-192.125.
Sec. 102-192.125 What are my general responsibilities as an agency
mail manager?
In addition to carrying out the responsibilities in Sec. 192.50, an
agency mail manager should:
(a) Establish written policies and procedures to provide timely and
cost effective dispatch and delivery of mail;
(b) Ensure agency-wide awareness and compliance with standards and
operational procedures established by all service providers used by the
agency;
(c) Monitor the agency's mailings and other mail management
activities, especially expedited mail, mass mailings, mailing lists,
and couriers, and seek opportunities to implement cost-effective
improvements and/or to enhance performance of the agency's mission;
(d) Develop and direct agency programs and plans for proper and
cost-effective use of transportation, equipment, and supplies used for
mail;
(e) Although not required for other than large agencies, develop,
implement and provide to GSA the agency's annual mail management and
mail security plan (see subpart C) of this part;
(f) Ensure that facility mail managers receive the training they
need to perform their assigned duties;
(g) Ensure that users at the program level receive the training
needed to reduce, track and budget for their mailing expenses;
(h) Ensure that expedited mail and couriers are used only when
authorized by the Private Express Statutes (39 U.S.C. 601-606) and when
necessary and cost-effective;
(i) Establish written policies and procedures to minimize personal
mail in incoming, outgoing, and internal agency mail;
Note to paragraph (i):
An agency may decide to accept and process personal mail for
personnel living on a Federal facility, personnel stationed outside
the United States, or personnel in other situations who would
otherwise suffer hardship. Mailing costs associated with filing
travel vouchers and payment of Government sponsored charge card
billings are considered as ``incidental expenses'' as defined in the
``Per Diem Allowance'' in the Federal Travel Regulations (41 CFR
300-3.1).
(j) Establish and maintain a system that tracks the financial and
other performance data discussed in Secs. 102-192.50 and 102-192.100;
(k) Work with agency executives to ensure that, to the maximum
practical extent, the person who makes the decision to mail any
significant number of pieces of mail is the same person who controls
the funds for postage;
(l) Work with agency accounting personnel to ensure that financial
[[Page 38901]]
systems show allocations and expenses for postage and all other mail
costs separately from all other administrative expenses; and
(m) Ensure that bills from all service providers are reconciled and
paid on a timely basis.
Subpart G--Facility Mail Manager Responsibilities
Sec. 102-192.130 What are my general responsibilities as a facility
mail manager?
As a Federal facility mail manager you should:
(a) Implement policies and procedures developed by the agency mail
manager, including cost control procedures;
(b) Work to improve, streamline, and reduce the cost of mail
practices and procedures by continually reviewing work processes
throughout the facility and seeking opportunities for cost-effective
change;
(c) Work closely with all facility personnel, especially the
program level users who develop large mailings, to minimize postage and
associated printing expenses through improved mail piece design, mail
list management, electronic transmission of data in lieu of mail, and
other appropriate measures; keeping current on new technologies that
could be applied to reduce your mailing costs;
(d) Work with local managers to ensure that, to the maximum
practical extent, the person who makes the decision to mail any
significant number of pieces of mail is the same person who controls
the funds for postage;
(e) Ensure that expedited mail and couriers are used only when
authorized by the Private Express Statutes (39 U.S.C. 601-606) and when
necessary and cost-effective;
(f) Provide centralized control of all mail processing activities
at the facility, including all regularly scheduled, small package, and
expedited service providers, couriers, equipment and personnel;
(g) Review unauthorized use, loss, or theft of postage, including
any unauthorized use of penalty or commercial mail stamps, meter
impressions or other postage indicia, and immediately report such
incidents to the agency Inspector General, internal security office, or
other appropriate authority;
(h) Provide training opportunities for all levels of agency
personnel at the facility on cost-effective mailing practices for
incoming, outgoing, internal mail and security;
(i) Ensure that outgoing mail meets all the standards established
by your service provider(s) for weight, size, hazardous materials
content, etc.;
(j) Produce and implement an agency mail management and mail
security plan; and
(k) Respond to the requirements of this part.
Sec. 102-192.135 What should I include when contracting out all or
part of the mail function?
Any contract for a mail function should require compliance with:
(a) This part;
(b) The Private Express Statutes (39 U.S.C. 601-606); and
(c) All agency policies, procedures, and plans, including the
agency wide mail management and mail security plan and, if applicable,
facility mail security plans.
Subpart H--Program-Level Mail Responsibilities
Sec. 102-192.140 Which program levels should have a mail manager?
Every program level within a Federal agency that generates a
significant quantity of outgoing mail should have a mail manager at the
program level. It is up to each agency to decide which programs will
have a full-time or part-time mail manager. In making this
determination, the agency should consider the total volume of outgoing
mail that is put into the mail stream by the program itself or by a
printer, presort contractor, or other contractor on the program's
behalf.
Sec. 102-192.145 What are the mail responsibilities at the program
level?
Your responsibilities at the program level include:
(a) Ensuring that your program complies with all applicable mail
policies and procedures, including this part;
(b) Working closely with your program personnel to minimize postage
and associated printing expenses through improved mail piece design,
mail list management, electronic transmission of data in lieu of mail,
and other appropriate measures;
(c) Keeping current on new technologies and practices that could
reduce your mailing costs and/or make your use of mail more effective;
(d) Coordinating all of your program's large mailings and print
jobs to ensure that the most efficient and effective procedures are
used;
(e) Providing training opportunities to your program personnel; and
(f) Working closely with the agency mail manager, mail managers at
all agency facilities that handle significant quantities of mail or
print functions for your program, and mail technical experts.
Subpart I--GSA's Responsibilities and Services
Sec. 102-192.150 What are GSA's responsibilities in mail management?
Under the Federal Records Management Amendments of 1976, as amended
(44 U.S.C 2904), GSA is required to provide guidance and assistance to
Federal agencies to ensure economical and effective records management
by such agencies (mail is one type of record, according to the Act). In
carrying out its responsibilities under the Act, GSA is required to:
(a) Promulgate standards, procedures, and guidelines;
(b) Conduct research to improve practices and programs;
(c) Collect and disseminate information on training programs,
technological developments, etc.;
(d) Establish an interagency committee (i.e., the Interagency Mail
Policy Council) to provide an exchange of information among Federal
agencies;
(e) Conduct studies, inspections, or surveys;
(f) Promote economy and efficiency in the selection and utilization
of space, staff, equipment, and supplies; and
(g) In the event of an emergency, communicate with agencies.
Sec. 102-192.155 What types of support does GSA offer to Federal
agency mail management programs?
GSA supports Federal agency mail management programs by:
(a) Assisting development of agency policy and guidance in mail
management and mail operations;
(b) Identifying better business practices and sharing them with
Federal agencies;
(c) Developing and providing access to a Governmentwide management
information system for mail;
(d) Helping agencies develop performance measures and management
information systems for mail;
(e) Maintaining a current list of Agency Mail Managers;
(f) Establishing, developing and maintaining interagency mail
committees;
(g) Maintaining liaison with the USPS and other service providers
at the national level;
(h) Maintaining a website for mail communications policy; and
(i) Serving as a point of contact for mail issues. You may also
contact GSA at: General Services Administration, Office of
Governmentwide Policy, Mail Communications Policy Division (MTM), 1800
F Street, NW., STE 1221,
[[Page 38902]]
Washington, DC 20405; e-mail: [email protected].
Appendix A To Part 102-192--Large Agency Mailers
As of December 2000, the following 26 large agencies met the
definition of ``large agency'' in Sec. 102-192.35:
Department of Agriculture
Department of Commerce
Department of Defense
Department of Education
Department of Energy
Department of Health and Human Services
Department of Housing and Urban Development
Department of Interior
Department of Justice
Department of Labor
Department of State
Department of Transportation
Department of Treasury
Department of Veterans Affairs
Environmental Protection Agency
Equal Employment Opportunity
Federal Deposit Insurance Corporation
Federal Emergency Management Agency
General Services Administration
Government Printing Office
Library Of Congress
National Aeronautics and Space Administration
National Science Foundation
Small Business Administration
Smithsonian Institution
Social Security Administration
Appendix B To Part 102-192--Mail Center Security Plan
Introduction
I. The mail center is a major gateway into any business or
government agency. Each day, the typical mail center handles
hundreds or thousands of items from routine letters to confidential
documents, high value parcels, and even money. Security is critical
for this critical nerve center. An effective mail center security
program should address:
A. Risk Analysis
B. Employee Safety
C. Physical Security
D. Inbound Mail Procedures
E. Postage Security
F. Contractors
G. Continuity of Operations Planning
H. Communications
I. Training
J. Plan Review
II. Some agencies have satellite locations with no official mail
centers. Responsibilities for processing mail are divided among
administrative and support staff. Although the security plan for
mail operations may be limited for these smaller sites, each of the
sections A. through J. of the appendix should be adopted when
appropriate.
III. A strong plan supplemented with regular training and
reviews will help instill a culture that emphasizes the importance
of good security. Maximize the success of the security plan by
involving all members of your team--managers, employees, security
managers and union representatives--during development.
A. Risk Analysis
The first step in effective security is to conduct a risk
analysis for your mail operation. While there are minimum standards
that every agency should follow, your particular posture should
reflect the mission of your agency.
B. Employee Safety
The anthrax attacks reminded us all how important employee
safety is. We do not know whether there will be another attack, so
we should take the proper steps to ensure the safety of our
employees.
1. Personal protection equipment should be made available for
all employees. These include gloves and masks. When using any form
of respiratory equipment, the manager must make sure that proper
OSHA standards are met. See appendix D of OSHA's Respiratory
Protection standard for information about the use of respirators
when such use is voluntary (29 CFR 1910.134, appendix D).
2. Also, instruct employees to wash hands regularly with soap
and water. At a minimum, hands should be washed when gloves are
removed, before eating, and at the end of a shift.
C. Physical Security
Managers need to address the physical security of the mail
center.
1. Place the mail center in an enclosed room, with defined
points of entry. Limit access to those employees who work in the
mail center, or who have immediate need for access, such as known
couriers.
2. Where appropriate, install controlled access equipment; key
control, card readers or buzz entry are a few options. Additionally,
each access point should be alarmed and monitored for after hours
activity. Secure areas, such as safes or locked cabinets, should be
established inside the mail center for meters, express shipments and
valuables.
3. Managers should draft detailed procedures for opening and
closing the mail center. Logs with checklists should be posted and
signed daily.
D. Inbound Mail Procedures
1. The inbound mail operation should be separate from the rest
of the mail center. All incoming mail should be isolated in an area
where it can be inspected. Delivery personnel should have limited
access to the facility and should be serviced at a counter.
2. Establish a closed-loop manifest system for all accountable
letters and packages (e.g., certified mail, UPS, FedEx). Verify the
delivery manifest sheet to ensure that you have received all
packages listed. All accountable mail should be signed for whenever
possession changes. Always require a signature at the final point of
delivery. File copies of the manifest by date.
3. If possible, acquire an x-ray machine to scan mail. All mail,
regardless of carrier, should be x-rayed. If volume does not permit
this, x-ray all packages.
4. Mail center employees should be trained to recognize and
report suspicious packages. Characteristics of a suspicious package
or letter can vary depending upon the type of mail your operation
regularly processes (see http://www.fbi.gov/pressrel/pressrel01/mail3.pdf for more information).
E. Postage Security
Postage theft is a Federal offense and managers should be
proactive in this area.
1. Managers should integrate accounting procedures for all forms
of postage--meters, stamps and permits. Meter logs must be
accurately kept, and meters should be locked when not in use. Where
feasible, the meter should be removed from the equipment and stored
in a locked cabinet during off-hours.
2. Establish additional controls to ensure proper access and
accountability for permit envelopes and labels. Controls should be
established for stamps and other carriers as well.
F. Contractors
Some agencies use contractors to process their mail. This could
be either an outsource provider that runs your mail center or a
lettershop that handles your presort. It's important to remember
that security of the mail is still the responsibility of the agency.
Include the key points from your security plan in every contract,
and conduct periodic reviews separate from the contract process.
G. Continuity of Operations Planning
1. Managers should have a written continuity of operations plan
(COOP) to deal with emergency situations. The plan should include:
a. Name(s) of Mail Security Coordinator/Response Team
b. Procedures on how to respond to a threat or incident
c. Who to contact in the event of an emergency
d. Location and contents of ``fly-away kit''
e. Location/phone numbers of backup facility
f. A list of critical documents and mail required for the agency
to complete its mission
2. Copies of this plan should be stored in easily accessible
areas, including off-site.
3. Also, you need to test the plan on a quarterly basis. Verify
that all the information is up-to-date, that contacts, facilities
access, and the call trees are correct.
H. Communications
A good communications program is part of any successful mail
operation and is critical for security issues. Make sure that the
information being shared is factual, not opinion, and verify that it
is up-to-date.
1. Schedule regular meetings with a representative from the
senior management of your agency (Executive Secretariat,
Administrator, etc.). Review the steps you've taken to secure the
mail, and address any outstanding issues.
2. Develop a communications plan to be executed when responding
to a threat. This plan should cover how to both acquire and
distribute information. Prepare a list of trusted resources to
acquire timely and accurate information (e.g., GSA, USPS, CDC,
etc.). Organize a protocol for the approval and distribution of
information on the status of the mail operation.
[[Page 38903]]
I. Training
Education and awareness are the essential ingredients to
preparedness. Employees must remain aware of their surroundings and
the packages they handle. You must carefully design and vigorously
monitor your security program to reduce the risk for all.
1. Through training you can develop a culture of security
awareness in your operation. Essential to ensuring employee
confidence in their safety is the inclusion of union representatives
or other employee representatives in developing and giving training.
Managers should consider security training a critical element of
their job.
2. A complete training program will include:
a. Basic security procedures;
b. Recognizing and reporting suspicious packages;
c. Proper use of personal protection equipment;
d. Responding to a biological threat; and
e. Responding to a bomb threat.
3. Maintain a log of all employees and training attended,
including the date completed. Follow up with refresher training on a
regular basis.
4. In addition to educating the employees who work for you, you
must educate all employees who work in the facility on best mail
practices including security measures. Employee awareness of the
measures you have taken leads to confidence in the safety of the
packages that are delivered to their desktops.
J. Plan Review
The General Services Administration strongly recommends external
review of your security plan. This may include a review by a
consultant, your agency security department, or a peer review.
Dated: May 16, 2002.
Stephen A. Perry,
Administrator of General Services.
[FR Doc. 02-13834 Filed 6-5-02; 8:45 am]
BILLING CODE 6820-24-P