NIH POLICY MANUAL
6308 - ACQUISITION OF PRINTING REQUIREMENTS AT THE NIH
Issuing Office: OA/OAMP/DAPE 301-496-6014
Release Date: 02/04/02
-
Explanation of Material Transmitted: This
Chapter is being revised in order to comply with recommendations by the
NIH Office of Management Assessment in a November 2001, Corrective Action
Report. One of the recommendations was to incorporate as a best practice
the Government Printing Office (GPO) policy emphasis on online
distribution of publications to Federal Depository Libraries and the
online use of the Form 3868. This Manual Chapter update complies with the
recommendation and brings the NIH into compliance with statute, regulation
and policy. The Chapter discusses the direct acquisition for printing, as
well as printing that is a peripheral deliverable in a contract for a
larger purpose.
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A. Purpose: This
Chapter is being revised in order to comply with recommendations by the NIH
Office of Management Assessment in a November 2001, Corrective Action
Report. One of the recommendations was to incorporate as a best practice the
Government Printing Office (GPO) policy emphasis on online distribution of
publications to Federal Depository Libraries and the online use of the Form
3868. This Manual Chapter update complies with the recommendation and brings
the NIH into compliance with statute, regulation and policy. The guidance in
this Chapter pertains to direct acquisition of printing requirements, as
well as incidental printing that is a part of a contract for a larger
purpose (e.g., an R&D contract for a study, the results of which are to
be published).
B. Background: Chapter
5 of Title 44 of the United States Code, 44 U.S.C. §501, generally requires
all printing by Government agencies to be done through the GPO.
The Government Printing and
Binding Regulations (GP&BR), published by the Congressional Joint
Committee on Printing (JCP), pursuant to its authority under 44 U.S.C.
§§103, 501, and 502, provide rules for printing, binding and distribution
of public documents produced under 44 U.S.C. §501. The JCP rules implement
44 U.S.C. §§103, 501, and 502, and therefore apply only to printing that
is consistent with these provisions.
The Federal Acquisition
Regulation (FAR) Subpart 8.8, "Acquisition of Printing and Related
Supplies," promulgated under 40 U.S.C. §486(c), provides policy for
all Federal agencies for acquisition of Government printing and related
supplies. The FAR Section 8.802(a) states that Government printing must be
done by the GPO unless, among other things, the printing is specifically
authorized by statute to be done by an entity other than the GPO.
The Public Health Service (PHS)
Act, 42 U.S.C. §284(c)(4), states that Directors of Institutes "may
publish, or arrange for the publication of, information with respect to the
purpose of the Institute without regard to Section 501 of Title 44, United
States Code." Printing by the NIH Institute Directors, therefore, is
not subject to the GP&BR that implement 44 U.S.C. §§103, 501 and 502,
or the Departmental approval process for printing by the GPO.
The NIH Manual 1130,
"Delegations of Authority,"
General Administration No. 4 (June 12,
1985), states that the authority of the NIH Director to procure printing,
duplicating, and related services from the GPO and from commercial and other
Federal Government sources on an NIH-wide basis is delegated to the NIH
Printing Officer1 and his/her alternate. The NIH Director has no
independent authority under the PHS Act to procure printing from entities
other than the GPO. Any acquisition of printing by the NIH Director or any
other entity within NIH other than an Institute, is subject to 44 U.S.C.
§501 and the Government GP&BR and must be approved by the NIH Printing
Officer and by the Director of the Departmental Printing and Publication
Management Staff, in accordance with the HHS Printing Management
Manual.
In March 1999, the Office of
the Inspector General (OIG) issued a final report, which concluded that
the NIH did not always adhere to the GPO regulations regarding the
required distribution of copies of printed publications to the Federal
Depository Libraries, or the provision of single copies to the GPO for
cataloging and indexing purposes. In addition, the OIG found that the NIH
did not report its monthly commercial printing activity to the GPO as
required. In response to that report, the NIH has reestablished the NIH
Central Printing and Publications Management Organization (CPPMO)2,
as required in the GP&BR, to ensure future compliance with Federal
printing rules and procedures.
In October 2001, the NIH
Office of Management Assessment completed its review of the NIH Printing
Program, and concluded that the NIH had corrected the weaknesses
identified in the March1999 OIG report, but that by making publications
available to Federal Depository Libraries by online distribution of
electronic copies instead of tangible copies, the NIH could save thousands
of dollars. The recommendation to incorporate this as a best practice has
now been included in this Manual Chapter.
This updated Manual Chapter
incorporates all GPO requirements for ICs and other entities at the NIH.
[1] The NIH Printing
Officer is now the Central Printing and Publications Management Office (CPPMO)
Manager.
[2] See Section D, Items 1
and 2, for the NIH Organizational location of the CPPMO.
C. Policy: Based
on law and regulation, the NIH is required, except when exempted by statute,
to arrange for printing through the GPO. Compliance with the GP&BR is
also required, except where exempted by statute. The PHS Act §284(c)(4)
specifically exempts the Directors of Institutes from these laws and
regulations, insofar as the requirement to obtain printing through the GPO.
However, all of NIH, (including all ICs), must adhere to Title 44, Chapter
19, U.S.C., Subpart 1903, which requires that all Government publications
(except those determined to be required for strictly administrative purposes
having no public interest or educational value, and documents classified for
reasons of national security) must be made available to the Federal
Depository Library Program (FDLP) of the GPO Library Service, the Library of
Congress and the Cataloging and Indexing Program (C&I). In January,
2001, the GPO issued a new dissemination/distribution policy for the
FDLP. This policy, as directed by Congress, places heavy emphasis on making
publications available to Federal Depository Libraries by online
distribution of electronic copies rather than tangible ones.
Finally, Title 44 U.S.C. Chapter 19 §1902
requires monthly and semi-annual reports. Compliance with these requirements
is assured for acquisition of printing for Centers and other NIH entities,
solely due to the need for interaction with the NIH Printing Officer, CPPMO.
However, Institutes that choose to contract for printing from sources other
than the GPO must provide the copies of these publications to the sources
noted above, and report such publications to the CPPMO as a part of their
own duties.
D. Responsibilities
1. Central
Printing and Publications Management Office (CPPMO):
Provides a coordinated program controlling the development, production,
procurement, and distribution of printed materials. At the NIH, the
Reprographic Communications Branch (RCB), Division of Support Services (DSS),
Office of Research Services (ORS) is the organization where the CPPMO
resides.
2. CPPMO Manager: The
NIH Printing Officer, RCB, DSS, ORS, serves as the CPPMO Manager and is
the focal point for management of publications and the reporting process.
3. Contracting Officer:
A contracting officer who is acquiring printing for a Center or entity
other than an Institute is responsible to ensure that contracts for
printing, either as a direct acquisition, or as peripheral deliverables of
a contract, are accomplished through the GPO and comply with the GP&BR
established by the Congressional JCP. This can be readily accomplished
through communications with the CPPMO. Contracting officers acquiring
printing for Directors of Institutes may arrange for the acquisition of
such printing without regard to these regulations; however, they must
comply with the FDLP and C&I requirements, as well as commercial
printing activities reporting requirements.
E. References:
1. Title 44, Chapters 5 and
19, United States Code, Production and Procurement of Printing and
Binding, 44 U.S.C. §§103, 501, 502, 1902, 1903, and 1905 (http://www.access.gpo.gov/aboutgpo/title44/44usc.html).
2. Government Printing and
Binding Regulations, Joint Committee on Printing, U.S. Congress (February
1990), Items 35-1, 35-2, 35-3.
3. GPO Circular Letter 413 (http://www.access.gpo.gov/customer-service/cir413.html).
4. GPO Circular Letter 456,
Guidelines for the Provision of Government Publications for Depository
Library Distribution, (http://www.access.gpo.gov/customer-service/cir456.html).
Paragraph 4, Procedures, states that the ordering procedures may be found
in GPO Circular Letter No. 452, Use of GPO Form 3868, Notification of
Intent to Publish (http://www.access.gpo.gov/customer-service/cir457.html).
5. Federal Acquisition
Regulation (FAR) Part 8.8, 48 C.F.R. §8.800.
6. Section 301 of the Public
Health Service (PHS) Act, 42 U.S.C. §241.
7. Sections 405(b) and (c)(4)
of the PHS Act, 42 U.S.C. §284(b) and (c)(4).
8. Section 486 of the PHS
Act, 42 U.S.C. §286.
9. NIH Manual, Chapter 1130,
Delegations of Authority,
General Administration No. 4,
Printing and Reproduction (June 12, 1985),
Program: General No. 3
, Publish Articles and Results of Scientific Research
(June 12, 1985), and
Program: General No. 18, PHS Act, Title III (June 12, 1985).
10. NIH Manual, Chapter 1183,
Publications, (March 31, 1985), or latest issuance in effect (http://www1.od.nih.gov/oma/manualchapters/management/1183/).
F. Procedures:
1. Printing Procured for Directors of Institutes
Section 405(c)(4) of the PHS
Act, 42 U.S.C. §(c)(4) specifically exempts Directors of Institutes from
the GPO printing requirements, as well as from any approval requirements
of the HHS for printing by the GPO. The acquisition of printing for
Institute Directors is, therefore, exempt from the GP&BR. In other
words, all contracting officers acquiring printing for Institute Directors
may contract for printing services without regard to the statute that
requires that printing be acquired through the GPO, and they do not need
any further clearance or approval to proceed with their printing
requirements (but see Item 3 below for clearance requirements for
publications; Item 4 below for waivers and exemptions; Item 6 below for
FDLP, Library of Congress and C&I requirements, and reporting
requirements). Also see Item 2 below for procedures to follow should the
Institute determine to utilize the services of the RCB, DSS, and ORS to
acquire its printing needs
2. Printing Procured for Centers and NIH Entities Other than
Institutes
Under 44 U.S.C. §501, all
printing by Government agencies must be done by the GPO. The contracting
officer who is acquiring printing directly, or as a peripheral deliverable
under a contract for Centers and other entities that cannot be classified
as Institutes, (e.g., NLM, FIC, the NIH Office of the Director, etc.),
must comply with 44 U.S.C. §501 and the GP&BR, and seek approval of
these printing requirements from the NIH CPPMO. In addition, approval must
be obtained from the Director of the Departmental Printing and Publication
Management Staff. See Item 3 below for clearance requirements for
publications; Item 4 below for waivers and exemptions; and Item 6 below
for printing and reporting requirements.
3. Clearance Requirements for Publications
The
Manual Chapter 1183, Publications, requires that any publication
(including books, bibliographies, chapters of a book or textbook,
booklet, brochure, collection of abstracts, fact sheets, house organs,
indices, leaflets, manuals, monographs, newsletters, pamphlets,
reviews, periodicals, proceedings, recurring report, statistical
compendium, etc.), prepared by any NIH component directly or through
a contract must be sent for Health and Human Service (HHS) clearance
through the Editorial Operations Branch, using Form HHS-615, Publication
Planning and Clearance Request. This clearance requirement
does not apply to publication of articles in journals. See NIH Manual
Chapter 1183 for further information regarding this requirement.
4. Waivers and Exemptions
On March 19, 1984, the JCP
granted the HHS a waiver of paragraphs 38 and 46-1 of the GP&BR to
permit the initial publication of articles written by employees of the HHS
in privately published journals, encyclopedias and textbooks. This
includes permission to pay page charges and to purchase separates of the
articles (commonly referred to as reprints without covers and associated
publication costs) at the time of their publication, directly from the
publisher.
In addition, under Section
301(a)(1) of the PHS Act, the PHS has allowed private publishers to print
the results of PHS scientific research in technical journals and
distribute any required copies within the Federal Government or to experts
within the specific field.
Title III of the GP&BR,
Items 35-2, 35-3, and 35-4 exempts three types of printing from the
prohibition under 44 U.S.C. §501 to directly contract for printing:
procurement of
writing, editing, and preparation of manuscripts and illustrations,
and administrative printing as part of contracts;
duplicating of less
than 5,000 units of only one page, or less than 25,000 units in the
aggregate of multiple pages. Pages may not exceed a maximum image
size of 10-3/4 x 14-1/4 inches. (Under Item 2-1, printing in excess
of these amounts must be authorized by the Departmental central
printing and publications management organizations, or by the Joint
Committee itself); and
printing of less than
250 duplicates from original microform.3
[3] Please note that the
limitations of Title III do not apply to printing procured by Institutes,
but only to printing which is acquired by Centers and NIH entities other
than Institutes, e.g., NLM, FIC, etc.
5. Approvals
Before publishing reprints,
new editions and/or revisions of publications, periodicals, newsletters,
informational bulletins and proceedings or transcripts, all Centers and
NIH entities other than Institutes should review the latest edition of the
NIH Manual Chapter 1183, Publications, to determine the proper review and
approval procedures.
6. Distribution Requirements
NOTE: This section applies to all Government publications.
Title 44, Chapter 19 of the
United States Code, 44 U.S.C. §1903, requires that all Government
publications, with the exception of those determined to be required for
strictly administrative purposes having no public interest or educational
value and documents classified for reasons of national security, be made
available to the FDLP.
If printing is to be acquired directly for an Institute (i.e.,
outside of the auspices of the CPPMO, NIH), the following procedures MUST be followed:
The acquisition of printing directly through commercial sources
for Institutes
a. The project officer must
contact the GPO Superintendent of Documents prior to issuing the
requirement for printing in order to ascertain the additional number of
copies required for the FDLP. The cost for printing these extra copies
shall be borne by the Institute responsible for the issuance.
GPO Contacts:
Betty Jones 202-512-1071
FAX: 202-512-1432
e-mail: bjones@gpo.gov
Earl Lewter 202-512-1129
FAX: 202-512-1636
e-mail: elewter@gpo.gov
Acquisitions Desk 202-512-1585
FAX: 202-512-1196
e-mail: sdaniel@gpo.gov
b. Detailed procedures for the FDLP
(1) Determine whether the
publication is suitable for depository distribution. To assist in your
determination, you may obtain advice from one of the GPO contacts above.
(2) Ascertain how many additional copies are
required by the FDLP.
(3) Include this amount plus 15 file copies
for the Library of Congress in the print order.
(4) The Institute bears the
printing and binding costs of all copies.
(5) Direct the commercial printer (or
contractor) to deliver the required number of copies addressed exactly as
follows:
FDLP Copies (Number of copies to be determined by GPO):
Depository Copies
U.S. Government Printing Office
Depository Receiving Station
Stop: SSLA, ATTN: Mr. James
Maudlin
Jackson Alley, Room A-150
Washington, DC 20401
File Copies:
15 File Copies
Library of Congress
Madison Building
Exchange and Gift Division
Federal Documents Section
C Street, N.E.
Washington, DC 20540
Note that the words "Depository Copies" and "15 File
Copies" must be part of the address label.
c. Detailed Procedures for C&I Program
The Institute must furnish
the C&I with 2 copies of every publication produced or procured
through other than GPO sources, except those determined to be
required for strictly administrative or operational purposes having no
public interest or educational value. These copies are to be
forwarded to:
Chief, Cataloging Branch
Library Programs Services (SLLC)
U.S. Government Printing Office
Washington, DC 20401
d. Detailed Procedures for
GPO Form 3868, "Notification of Intent to Publish."
The GPO Form 3868 is used to
notify the Superintendent of Documents of a forthcoming publication. At
least thirty days prior to submission of a publication for printing,
Institutes acquiring printing commercially should complete and submit GPO
Form 3868 on-line.
Hard copy submissions should
include two completed of the GPO Form 3868 and be mailed to:
U.S. Government Printing Office
Document Control Branch
STOP: SSMC
Washington, DC 20401
Telephone: 202-512-1707
FAX: 202-512-1657
e-mail: salespubs@gpo.gov
e. Commercial Printing Activity Reports - Monthly and Semi-Annual
Per Title 44, U.S. Code,
Chapter 19 §1902, Institutes printing publications directly through
commercial sources must furnish a monthly listing of those publications to
the GPO’s Superintendent of Documents. Semi-annual Commercial Printing
Activity Reports are also required by the JCP of the U.S. Congress.
Institutes shall submit their monthly and semi-annual printing reports to
the NIH CPPMO for consolidation and submission.
To facilitate reporting
requirements, the RCB, DSS has developed a new on-line
database, which
allows Institutes to input commercial printing information. For additional information, contact the Printing Management Team at
301-496-6781.
Institutes may request the
RCB to conduct a cost analysis based on GPO, FDLP and Library of Congress
file copy requirements to determine the most effective procurement method
(i.e., commercial printer vs. GPO). If the Director of an Institute
decides not to directly acquire printing services, the CPPMO will handle
all FDLP, Library of Congress and C&I requirements, as well as
reporting requirements.
Acquiring Printing
Services using the RCB, DSS, ORS (including those printing requirements
that are a peripheral part of an NIH contract): The following procedures
are to be followed for the acquisition of printing for Centers and
entities of NIH other than Institutes, and for Institutes desiring to
acquire their printing services using the RCB and DSS:
a. The RCB will ensure that
printing materials are in compliance with all regulations and reporting
requirements and that the required copies have been sent to the FDLP, the
Library of Congress, and the C&I.
b. Centers and entities other
than Institutes, (and those Institutes that opt to use the RCB services)
will not be charged by GPO for the cost of printing additional FDLP copies.
Please note that the costs of printing the additional copies for the FDLP,
Library of Congress, and C&I can be substantial and, therefore,
Institutes are encouraged to discuss requirements with an RCB printing
specialist prior to commercially procuring such printing.
c. All reporting requirements
will be handled by RCB, DSS, and ORS.
G. Record Retention and Disposal:
All records (e-mail and non-e-mail) pertaining to this chapter must be
retained and disposed of under the authority of NIH Manual 1743,
"Keeping and Destroying Records," Appendix 1, NIH Records Control Schedule, Item
2600-A-4, "Routine Procurement Files."
NIH e-mail messages:
The NIH e-mail messages, (messages, including attachments, that are created
on the NIH computer systems or transmitted over the NIH networks) that are
evidence of the activities of the agency or have informational value are
considered Federal records. These records must be maintained in
accordance with current NIH Records Management guidelines. If necessary,
back-up file capability should be created for this purpose. Contact your IC
Records Officer for additional information.
All e-mail messages are
considered Government property, and if requested for a legitimate Government
purpose, must be provided to the requester. Employees’ supervisors, the
NIH staff conducting official reviews or investigations, and the Office of
the Inspector General may request access to or copies of the e-mail
messages. The e-mail messages must also be provided to Congressional
Oversight Committees if requested, and are subject to the Freedom of
Information Act requests. Since most e-mail systems have back-up files that
are sometimes retained for significant periods of time, e-mail messages and
attachments may be retrievable from back-up files after they have been
deleted from an individual’s computer. The back-up files are subject to
the same requests as the original messages.
H. Management Controls:
The purpose of this Manual issuance is to provide updated guidance to
contracting officers and program officials on the statutes, regulations, policies and
procedures regarding the acquisition of printing at the NIH.
1. Office Responsible for Reviewing Management Controls Relative
to this Chapter: The Division of
Acquisition Policy and Evaluation (DAPE), Office of Acquisition Management
and Policy (OAMP), is accountable for the method used to ensure that
management controls are implemented and working.
2. Frequency of Reviews: Ongoing
3. Method of Review: The
Request for Contract (RFC) format contains a requirement for the contracting
officer/project officer to check off the applicability of the acquisition of
printing services in the instant contract action, and the requirement for
providing copies to the FDLP, the Library of Congress, and the C&I. In
addition, the RFC format provides a block to indicate the contracting
officer’s/ project officer’s awareness of the reporting requirement. The
DAPE/OAMP will maintain appropriate oversight through reviews of IC
presolicitation and preaward contract files conducted by the NIH Board of
Contract Awards. The NIH Board of Contract Awards reviews a percentage of
contract actions from each IC. Issues, including compliance with printing
regulations and policies, are identified by the Board and provided to the IC
for corrective action. When repetitive issues are identified, these are
brought to the attention of the Acquisition Management Committee, which is
responsible for addressing and resolving common acquisition issues. In
addition, the Head of the Contracting Activity, (HCA), is routinely notified
of any difficulties in IC implementation of policy. Depending on the nature
and extent of the problem, the HCA may recommend additional policy guidance
or training of contract staff.
In addition, the ORS as part of
its oversight responsibility for the NIH Printing Program, will perform
support visits to NIH components with separate printing authority on an
annual basis to assist with determining compliance with NIH policy.
Visit schedules and agendas will be developed and issued by the ORS at the
beginning of each calendar year.
4. Review Reports: The
HCA is routinely notified of problems and takes necessary action to resolve
them. |